OMB#2-appendix- A-c

APPENDIX A
AUTHORIZING STATUTES

S. 20

One Hundred Third Congress
of the
United States of America
AT T H E F I R S T S E S S I O N
Begun and held at the City of Washington on Tuesday,
the fifth day of January, one thousand nine hundred and ninety-three

An Act
To provide for the establishment of strategic planning and performance measurement
in the Federal Government, and for other purposes.

Be it enacted by the Senate and House of Representatives of
the United States of America in Congress assembled,
SECTION 1. SHORT TITLE.

This Act may be cited as the ‘‘Government Performance and
Results Act of 1993’’.
SEC. 2. FINDINGS AND PURPOSES.

(a) FINDINGS.—The Congress finds that—
(1) waste and inefficiency in Federal programs undermine
the confidence of the American people in the Government and
reduces the Federal Government’s ability to address adequately
vital public needs;
(2) Federal managers are seriously disadvantaged in their
efforts to improve program efficiency and effectiveness, because
of insufficient articulation of program goals and inadequate
information on program performance; and
(3) congressional policymaking, spending decisions and program oversight are seriously handicapped by insufficient attention to program performance and results.
(b) PURPOSES.—The purposes of this Act are to—
(1) improve the confidence of the American people in the
capability of the Federal Government, by systematically holding
Federal agencies accountable for achieving program results;
(2) initiate program performance reform with a series of
pilot projects in setting program goals, measuring program
performance against those goals, and reporting publicly on their
progress;
(3) improve Federal program effectiveness and public
accountability by promoting a new focus on results, service
quality, and customer satisfaction;
(4) help Federal managers improve service delivery, by
requiring that they plan for meeting program objectives and
by providing them with information about program results
and service quality;
(5) improve congressional decisionmaking by providing
more objective information on achieving statutory objectives,
and on the relative effectiveness and efficiency of Federal programs and spending; and
(6) improve internal management of the Federal Government.

S. 20—2
SEC. 3. STRATEGIC PLANNING.

Chapter 3 of title 5, United States Code, is amended by adding
after section 305 the following new section:
‘‘§ 306. Strategic plans
‘‘(a) No later than September 30, 1997, the head of each agency
shall submit to the Director of the Office of Management and
Budget and to the Congress a strategic plan for program activities.
Such plan shall contain—
‘‘(1) a comprehensive mission statement covering the major
functions and operations of the agency;
‘‘(2) general goals and objectives, including outcome-related
goals and objectives, for the major functions and operations
of the agency;
‘‘(3) a description of how the goals and objectives are to
be achieved, including a description of the operational processes,
skills and technology, and the human, capital, information,
and other resources required to meet those goals and objectives;
‘‘(4) a description of how the performance goals included
in the plan required by section 1115(a) of title 31 shall be
related to the general goals and objectives in the strategic
plan;
‘‘(5) an identification of those key factors external to the
agency and beyond its control that could significantly affect
the achievement of the general goals and objectives; and
‘‘(6) a description of the program evaluations used in
establishing or revising general goals and objectives, with a
schedule for future program evaluations.
‘‘(b) The strategic plan shall cover a period of not less than
five years forward from the fiscal year in which it is submitted,
and shall be updated and revised at least every three years.
‘‘(c) The performance plan required by section 1115 of title
31 shall be consistent with the agency’s strategic plan. A performance plan may not be submitted for a fiscal year not covered
by a current strategic plan under this section.
‘‘(d) When developing a strategic plan, the agency shall consult
with the Congress, and shall solicit and consider the views and
suggestions of those entities potentially affected by or interested
in such a plan.
‘‘(e) The functions and activities of this section shall be considered to be inherently Governmental functions. The drafting of
strategic plans under this section shall be performed only by Federal
employees.
‘‘(f) For purposes of this section the term ‘agency’ means an
Executive agency defined under section 105, but does not include
the Central Intelligence Agency, the General Accounting Office,
the Panama Canal Commission, the United States Postal Service,
and the Postal Rate Commission.’’.
SEC. 4. ANNUAL PERFORMANCE PLANS AND REPORTS.

(a) BUDGET CONTENTS AND SUBMISSION TO CONGRESS.—Section
1105(a) of title 31, United States Code, is amended by adding
at the end thereof the following new paragraph:
‘‘(29) beginning with fiscal year 1999, a Federal Government performance plan for the overall budget as provided for
under section 1115.’’.

S. 20—3
(b) PERFORMANCE PLANS AND REPORTS.—Chapter 11 of title
31, United States Code, is amended by adding after section 1114
the following new sections:
‘‘§ 1115. Performance plans
‘‘(a) In carrying out the provisions of section 1105(a)(29), the
Director of the Office of Management and Budget shall require
each agency to prepare an annual performance plan covering each
program activity set forth in the budget of such agency. Such
plan shall—
‘‘(1) establish performance goals to define the level of
performance to be achieved by a program activity;
‘‘(2) express such goals in an objective, quantifiable, and
measurable form unless authorized to be in an alternative
form under subsection (b);
‘‘(3) briefly describe the operational processes, skills and
technology, and the human, capital, information, or other
resources required to meet the performance goals;
‘‘(4) establish performance indicators to be used in measuring or assessing the relevant outputs, service levels, and outcomes of each program activity;
‘‘(5) provide a basis for comparing actual program results
with the established performance goals; and
‘‘(6) describe the means to be used to verify and validate
measured values.
‘‘(b) If an agency, in consultation with the Director of the
Office of Management and Budget, determines that it is not feasible
to express the performance goals for a particular program activity
in an objective, quantifiable, and measurable form, the Director
of the Office of Management and Budget may authorize an alternative form. Such alternative form shall—
‘‘(1) include separate descriptive statements of—
‘‘(A)(i) a minimally effective program, and
‘‘(ii) a successful program, or
‘‘(B) such alternative as authorized by the Director
of the Office of Management and Budget,
with sufficient precision and in such terms that would allow
for an accurate, independent determination of whether the program activity’s performance meets the criteria of the description; or
‘‘(2) state why it is infeasible or impractical to express
a performance goal in any form for the program activity.
‘‘(c) For the purpose of complying with this section, an agency
may aggregate, disaggregate, or consolidate program activities,
except that any aggregation or consolidation may not omit or minimize the significance of any program activity constituting a major
function or operation for the agency.
‘‘(d) An agency may submit with its annual performance plan
an appendix covering any portion of the plan that—
‘‘(1) is specifically authorized under criteria established
by an Executive order to be kept secret in the interest of
national defense or foreign policy; and
‘‘(2) is properly classified pursuant to such Executive order.
‘‘(e) The functions and activities of this section shall be considered to be inherently Governmental functions. The drafting of
performance plans under this section shall be performed only by
Federal employees.

S. 20—4
‘‘(f) For purposes of this section and sections 1116 through
1119, and sections 9703 and 9704 the term—
‘‘(1) ‘agency’ has the same meaning as such term is defined
under section 306(f) of title 5;
‘‘(2) ‘outcome measure’ means an assessment of the results
of a program activity compared to its intended purpose;
‘‘(3) ‘output measure’ means the tabulation, calculation,
or recording of activity or effort and can be expressed in a
quantitative or qualitative manner;
‘‘(4) ‘performance goal’ means a target level of performance
expressed as a tangible, measurable objective, against which
actual achievement can be compared, including a goal expressed
as a quantitative standard, value, or rate;
‘‘(5) ‘performance indicator’ means a particular value or
characteristic used to measure output or outcome;
‘‘(6) ‘program activity’ means a specific activity or project
as listed in the program and financing schedules of the annual
budget of the United States Government; and
‘‘(7) ‘program evaluation’ means an assessment, through
objective measurement and systematic analysis, of the manner
and extent to which Federal programs achieve intended objectives.
‘‘§ 1116. Program performance reports
‘‘(a) No later than March 31, 2000, and no later than March
31 of each year thereafter, the head of each agency shall prepare
and submit to the President and the Congress, a report on program
performance for the previous fiscal year.
‘‘(b)(1) Each program performance report shall set forth the
performance indicators established in the agency performance plan
under section 1115, along with the actual program performance
achieved compared with the performance goals expressed in the
plan for that fiscal year.
‘‘(2) If performance goals are specified in an alternative form
under section 1115(b), the results of such program shall be described
in relation to such specifications, including whether the performance
failed to meet the criteria of a minimally effective or successful
program.
‘‘(c) The report for fiscal year 2000 shall include actual results
for the preceding fiscal year, the report for fiscal year 2001 shall
include actual results for the two preceding fiscal years, and the
report for fiscal year 2002 and all subsequent reports shall include
actual results for the three preceding fiscal years.
‘‘(d) Each report shall—
‘‘(1) review the success of achieving the performance goals
of the fiscal year;
‘‘(2) evaluate the performance plan for the current fiscal
year relative to the performance achieved toward the performance goals in the fiscal year covered by the report;
‘‘(3) explain and describe, where a performance goal has
not been met (including when a program activity’s performance
is determined not to have met the criteria of a successful
program activity under section 1115(b)(1)(A)(ii) or a corresponding level of achievement if another alternative form is used)—
‘‘(A) why the goal was not met;
‘‘(B) those plans and schedules for achieving the established performance goal; and

S. 20—5
‘‘(C) if the performance goal is impractical or infeasible,
why that is the case and what action is recommended;
‘‘(4) describe the use and assess the effectiveness in achieving performance goals of any waiver under section 9703 of
this title; and
‘‘(5) include the summary findings of those program evaluations completed during the fiscal year covered by the report.
‘‘(e) An agency head may include all program performance
information required annually under this section in an annual
financial statement required under section 3515 if any such statement is submitted to the Congress no later than March 31 of
the applicable fiscal year.
‘‘(f) The functions and activities of this section shall be considered to be inherently Governmental functions. The drafting of program performance reports under this section shall be performed
only by Federal employees.
‘‘§ 1117. Exemption
‘‘The Director of the Office of Management and Budget may
exempt from the requirements of sections 1115 and 1116 of this
title and section 306 of title 5, any agency with annual outlays
of $20,000,000 or less.’’.
SEC. 5. MANAGERIAL ACCOUNTABILITY AND FLEXIBILITY.

(a) MANAGERIAL ACCOUNTABILITY AND FLEXIBILITY.—Chapter
97 of title 31, United States Code, is amended by adding after
section 9702, the following new section:
‘‘§ 9703. Managerial accountability and flexibility
‘‘(a) Beginning with fiscal year 1999, the performance plans
required under section 1115 may include proposals to waive
administrative procedural requirements and controls, including
specification of personnel staffing levels, limitations on compensation or remuneration, and prohibitions or restrictions on funding
transfers among budget object classification 20 and subclassifications 11, 12, 31, and 32 of each annual budget submitted
under section 1105, in return for specific individual or organization
accountability to achieve a performance goal. In preparing and
submitting the performance plan under section 1105(a)(29), the
Director of the Office of Management and Budget shall review
and may approve any proposed waivers. A waiver shall take effect
at the beginning of the fiscal year for which the waiver is approved.
‘‘(b) Any such proposal under subsection (a) shall describe the
anticipated effects on performance resulting from greater managerial or organizational flexibility, discretion, and authority, and shall
quantify the expected improvements in performance resulting from
any waiver. The expected improvements shall be compared to current actual performance, and to the projected level of performance
that would be achieved independent of any waiver.
‘‘(c) Any proposal waiving limitations on compensation or remuneration shall precisely express the monetary change in compensation or remuneration amounts, such as bonuses or awards, that
shall result from meeting, exceeding, or failing to meet performance
goals.
‘‘(d) Any proposed waiver of procedural requirements or controls
imposed by an agency (other than the proposing agency or the
Office of Management and Budget) may not be included in a

S. 20—6
performance plan unless it is endorsed by the agency that established the requirement, and the endorsement included in the proposing agency’s performance plan.
‘‘(e) A waiver shall be in effect for one or two years as specified
by the Director of the Office of Management and Budget in approving the waiver. A waiver may be renewed for a subsequent year.
After a waiver has been in effect for three consecutive years, the
performance plan prepared under section 1115 may propose that
a waiver, other than a waiver of limitations on compensation or
remuneration, be made permanent.
‘‘(f) For purposes of this section, the definitions under section
1115(f) shall apply.’’.
SEC. 6. PILOT PROJECTS.

(a) PERFORMANCE PLANS AND REPORTS.—Chapter 11 of title
31, United States Code, is amended by inserting after section 1117
(as added by section 4 of this Act) the following new section:
‘‘§ 1118. Pilot projects for performance goals
‘‘(a) The Director of the Office of Management and Budget,
after consultation with the head of each agency, shall designate
not less than ten agencies as pilot projects in performance measurement for fiscal years 1994, 1995, and 1996. The selected agencies
shall reflect a representative range of Government functions and
capabilities in measuring and reporting program performance.
‘‘(b) Pilot projects in the designated agencies shall undertake
the preparation of performance plans under section 1115, and program performance reports under section 1116, other than section
1116(c), for one or more of the major functions and operations
of the agency. A strategic plan shall be used when preparing agency
performance plans during one or more years of the pilot period.
‘‘(c) No later than May 1, 1997, the Director of the Office
of Management and Budget shall submit a report to the President
and to the Congress which shall—
‘‘(1) assess the benefits, costs, and usefulness of the plans
and reports prepared by the pilot agencies in meeting the
purposes of the Government Performance and Results Act of
1993;
‘‘(2) identify any significant difficulties experienced by the
pilot agencies in preparing plans and reports; and
‘‘(3) set forth any recommended changes in the requirements of the provisions of Government Performance and Results
Act of 1993, section 306 of title 5, sections 1105, 1115, 1116,
1117, 1119 and 9703 of this title, and this section.’’.
(b) MANAGERIAL ACCOUNTABILITY AND FLEXIBILITY.—Chapter
97 of title 31, United States Code, is amended by inserting after
section 9703 (as added by section 5 of this Act) the following
new section:
‘‘§ 9704. Pilot projects for managerial accountability and
flexibility
‘‘(a) The Director of the Office of Management and Budget
shall designate not less than five agencies as pilot projects in
managerial accountability and flexibility for fiscal years 1995 and
1996. Such agencies shall be selected from those designated as
pilot projects under section 1118 and shall reflect a representative

S. 20—7
range of Government functions and capabilities in measuring and
reporting program performance.
‘‘(b) Pilot projects in the designated agencies shall include proposed waivers in accordance with section 9703 for one or more
of the major functions and operations of the agency.
‘‘(c) The Director of the Office of Management and Budget
shall include in the report to the President and to the Congress
required under section 1118(c)—
‘‘(1) an assessment of the benefits, costs, and usefulness
of increasing managerial and organizational flexibility, discretion, and authority in exchange for improved performance
through a waiver; and
‘‘(2) an identification of any significant difficulties experienced by the pilot agencies in preparing proposed waivers.
‘‘(d) For purposes of this section the definitions under section
1115(f) shall apply.’’.
(c) PERFORMANCE BUDGETING.—Chapter 11 of title 31, United
States Code, is amended by inserting after section 1118 (as added
by section 6 of this Act) the following new section:
‘‘§ 1119. Pilot projects for performance budgeting
‘‘(a) The Director of the Office of Management and Budget,
after consultation with the head of each agency shall designate
not less than five agencies as pilot projects in performance budgeting for fiscal years 1998 and 1999. At least three of the agencies
shall be selected from those designated as pilot projects under
section 1118, and shall also reflect a representative range of Government functions and capabilities in measuring and reporting program
performance.
‘‘(b) Pilot projects in the designated agencies shall cover the
preparation of performance budgets. Such budgets shall present,
for one or more of the major functions and operations of the agency,
the varying levels of performance, including outcome-related
performance, that would result from different budgeted amounts.
‘‘(c) The Director of the Office of Management and Budget
shall include, as an alternative budget presentation in the budget
submitted under section 1105 for fiscal year 1999, the performance
budgets of the designated agencies for this fiscal year.
‘‘(d) No later than March 31, 2001, the Director of the Office
of Management and Budget shall transmit a report to the President
and to the Congress on the performance budgeting pilot projects
which shall—
‘‘(1) assess the feasibility and advisability of including a
performance budget as part of the annual budget submitted
under section 1105;
‘‘(2) describe any difficulties encountered by the pilot agencies in preparing a performance budget;
‘‘(3) recommend whether legislation requiring performance
budgets should be proposed and the general provisions of any
legislation; and
‘‘(4) set forth any recommended changes in the other
requirements of the Government Performance and Results Act
of 1993, section 306 of title 5, sections 1105, 1115, 1116, 1117,
and 9703 of this title, and this section.
‘‘(e) After receipt of the report required under subsection (d),
the Congress may specify that a performance budget be submitted
as part of the annual budget submitted under section 1105.’’.

S. 20—8
SEC. 7. UNITED STATES POSTAL SERVICE.

Part III of title 39, United States Code, is amended by adding
at the end thereof the following new chapter:
‘‘CHAPTER 28—STRATEGIC PLANNING AND
PERFORMANCE MANAGEMENT
‘‘Sec.
‘‘2801.
‘‘2802.
‘‘2803.
‘‘2804.
‘‘2805.

Definitions.
Strategic plans.
Performance plans.
Program performance reports.
Inherently Governmental functions.

‘‘§ 2801. Definitions
‘‘For purposes of this chapter the term—
‘‘(1) ‘outcome measure’ refers to an assessment of the
results of a program activity compared to its intended purpose;
‘‘(2) ‘output measure’ refers to the tabulation, calculation,
or recording of activity or effort and can be expressed in a
quantitative or qualitative manner;
‘‘(3) ‘performance goal’ means a target level of performance
expressed as a tangible, measurable objective, against which
actual achievement shall be compared, including a goal
expressed as a quantitative standard, value, or rate;
‘‘(4) ‘performance indicator’ refers to a particular value
or characteristic used to measure output or outcome;
‘‘(5) ‘program activity’ means a specific activity related
to the mission of the Postal Service; and
‘‘(6) ‘program evaluation’ means an assessment, through
objective measurement and systematic analysis, of the manner
and extent to which Postal Service programs achieve intended
objectives.
‘‘§ 2802. Strategic plans
‘‘(a) No later than September 30, 1997, the Postal Service
shall submit to the President and the Congress a strategic plan
for its program activities. Such plan shall contain—
‘‘(1) a comprehensive mission statement covering the major
functions and operations of the Postal Service;
‘‘(2) general goals and objectives, including outcome-related
goals and objectives, for the major functions and operations
of the Postal Service;
‘‘(3) a description of how the goals and objectives are to
be achieved, including a description of the operational processes,
skills and technology, and the human, capital, information,
and other resources required to meet those goals and objectives;
‘‘(4) a description of how the performance goals included
in the plan required under section 2803 shall be related to
the general goals and objectives in the strategic plan;
‘‘(5) an identification of those key factors external to the
Postal Service and beyond its control that could significantly
affect the achievement of the general goals and objectives;
and
‘‘(6) a description of the program evaluations used in
establishing or revising general goals and objectives, with a
schedule for future program evaluations.

S. 20—9
‘‘(b) The strategic plan shall cover a period of not less than
five years forward from the fiscal year in which it is submitted,
and shall be updated and revised at least every three years.
‘‘(c) The performance plan required under section 2803 shall
be consistent with the Postal Service’s strategic plan. A performance
plan may not be submitted for a fiscal year not covered by a
current strategic plan under this section.
‘‘(d) When developing a strategic plan, the Postal Service shall
solicit and consider the views and suggestions of those entities
potentially affected by or interested in such a plan, and shall
advise the Congress of the contents of the plan.
‘‘§ 2803. Performance plans
‘‘(a) The Postal Service shall prepare an annual performance
plan covering each program activity set forth in the Postal Service
budget, which shall be included in the comprehensive statement
presented under section 2401(g) of this title. Such plan shall—
‘‘(1) establish performance goals to define the level of
performance to be achieved by a program activity;
‘‘(2) express such goals in an objective, quantifiable, and
measurable form unless an alternative form is used under
subsection (b);
‘‘(3) briefly describe the operational processes, skills and
technology, and the human, capital, information, or other
resources required to meet the performance goals;
‘‘(4) establish performance indicators to be used in measuring or assessing the relevant outputs, service levels, and outcomes of each program activity;
‘‘(5) provide a basis for comparing actual program results
with the established performance goals; and
‘‘(6) describe the means to be used to verify and validate
measured values.
‘‘(b) If the Postal Service determines that it is not feasible
to express the performance goals for a particular program activity
in an objective, quantifiable, and measurable form, the Postal Service may use an alternative form. Such alternative form shall—
‘‘(1) include separate descriptive statements of—
‘‘(A) a minimally effective program, and
‘‘(B) a successful program,
with sufficient precision and in such terms that would allow
for an accurate, independent determination of whether the program activity’s performance meets the criteria of either description; or
‘‘(2) state why it is infeasible or impractical to express
a performance goal in any form for the program activity.
‘‘(c) In preparing a comprehensive and informative plan under
this section, the Postal Service may aggregate, disaggregate, or
consolidate program activities, except that any aggregation or
consolidation may not omit or minimize the significance of any
program activity constituting a major function or operation.
‘‘(d) The Postal Service may prepare a non-public annex to
its plan covering program activities or parts of program activities
relating to—
‘‘(1) the avoidance of interference with criminal prosecution;
or
‘‘(2) matters otherwise exempt from public disclosure under
section 410(c) of this title.

S. 20—10
‘‘§ 2804. Program performance reports
‘‘(a) The Postal Service shall prepare a report on program
performance for each fiscal year, which shall be included in the
annual comprehensive statement presented under section 2401(g)
of this title.
‘‘(b)(1) The program performance report shall set forth the
performance indicators established in the Postal Service performance plan, along with the actual program performance achieved
compared with the performance goals expressed in the plan for
that fiscal year.
‘‘(2) If performance goals are specified by descriptive statements
of a minimally effective program activity and a successful program
activity, the results of such program shall be described in relationship to those categories, including whether the performance failed
to meet the criteria of either category.
‘‘(c) The report for fiscal year 2000 shall include actual results
for the preceding fiscal year, the report for fiscal year 2001 shall
include actual results for the two preceding fiscal years, and the
report for fiscal year 2002 and all subsequent reports shall include
actual results for the three preceding fiscal years.
‘‘(d) Each report shall—
‘‘(1) review the success of achieving the performance goals
of the fiscal year;
‘‘(2) evaluate the performance plan for the current fiscal
year relative to the performance achieved towards the performance goals in the fiscal year covered by the report;
‘‘(3) explain and describe, where a performance goal has
not been met (including when a program activity’s performance
is determined not to have met the criteria of a successful
program activity under section 2803(b)(2))—
‘‘(A) why the goal was not met;
‘‘(B) those plans and schedules for achieving the established performance goal; and
‘‘(C) if the performance goal is impractical or infeasible,
why that is the case and what action is recommended;
and
‘‘(4) include the summary findings of those program evaluations completed during the fiscal year covered by the report.
‘‘§ 2805. Inherently Governmental functions
‘‘The functions and activities of this chapter shall be considered
to be inherently Governmental functions. The drafting of strategic
plans, performance plans, and program performance reports under
this section shall be performed only by employees of the Postal
Service.’’.
SEC. 8. CONGRESSIONAL OVERSIGHT AND LEGISLATION.

(a) IN GENERAL.—Nothing in this Act shall be construed as
limiting the ability of Congress to establish, amend, suspend, or
annul a performance goal. Any such action shall have the effect
of superseding that goal in the plan submitted under section
1105(a)(29) of title 31, United States Code.

S. 20—11
(b) GAO REPORT.—No later than June 1, 1997, the Comptroller
General of the United States shall report to Congress on the
implementation of this Act, including the prospects for compliance
by Federal agencies beyond those participating as pilot projects
under sections 1118 and 9704 of title 31, United States Code.
SEC. 9. TRAINING.

The Office of Personnel Management shall, in consultation
with the Director of the Office of Management and Budget and
the Comptroller General of the United States, develop a strategic
planning and performance measurement training component for
its management training program and otherwise provide managers
with an orientation on the development and use of strategic planning and program performance measurement.
SEC. 10. APPLICATION OF ACT.

No provision or amendment made by this Act may be construed
as—
(1) creating any right, privilege, benefit, or entitlement
for any person who is not an officer or employee of the United
States acting in such capacity, and no person who is not an
officer or employee of the United States acting in such capacity
shall have standing to file any civil action in a court of the
United States to enforce any provision or amendment made
by this Act; or
(2) superseding any statutory requirement, including any
requirement under section 553 of title 5, United States Code.
SEC. 11. TECHNICAL AND CONFORMING AMENDMENTS.

(a) AMENDMENT TO TITLE 5, UNITED STATES CODE.—The table
of sections for chapter 3 of title 5, United States Code, is amended
by adding after the item relating to section 305 the following:
‘‘306. Strategic plans.’’.

(b) AMENDMENTS TO TITLE 31, UNITED STATES CODE.—
(1) AMENDMENT TO CHAPTER 11.—The table of sections for
chapter 11 of title 31, United States Code, is amended by
adding after the item relating to section 1114 the following:
‘‘1115.
‘‘1116.
‘‘1117.
‘‘1118.
‘‘1119.

Performance plans.
Program performance reports.
Exemptions.
Pilot projects for performance goals.
Pilot projects for performance budgeting.’’.

(2) AMENDMENT TO CHAPTER 97.—The table of sections for
chapter 97 of title 31, United States Code, is amended by
adding after the item relating to section 9702 the following:
‘‘9703. Managerial accountability and flexibility.
‘‘9704. Pilot projects for managerial accountability and flexibility.’’.

S. 20—12
(c) AMENDMENT TO TITLE 39, UNITED STATES CODE.—The table
of chapters for part III of title 39, United States Code, is amended
by adding at the end thereof the following new item:
‘‘28. Strategic planning and performance management ........................... 2801’’.

Speaker of the House of Representatives.

Vice President of the United States and
President of the Senate.

dkrause on GSDDPC29 with PUBLIC LAWS

121 STAT. 1436

PUBLIC LAW 110–134—DEC. 12, 2007
‘‘(h) LIMITED ENGLISH PROFICIENT CHILDREN.—
‘‘(1) STUDY.—Not later than 1 year after the date of enactment of the Improving Head Start for School Readiness Act
of 2007, the Secretary shall conduct a study on the status
of limited English proficient children and their families participating in Head Start programs (including Early Head Start
programs).
‘‘(2) REPORT.—The Secretary shall prepare and submit to
the Committee on Education and Labor of the House of Representatives and the Committee on Health, Education, Labor,
and Pensions of the Senate, not later than September 30,
2010, a report containing the results of the study, including
information on—
‘‘(A) the demographics of limited English proficient children from birth through age 5, including the number of
such children receiving Head Start services and Early Head
Start services, and the geographic distribution of children
described in this subparagraph;
‘‘(B) the nature of the Head Start services and of the
Early Head Start services provided to limited English proficient children and their families, including the types,
content, duration, intensity, and costs of family services,
language assistance, and educational services;
‘‘(C) procedures in Head Start programs and Early
Head Start programs for the assessment of language needs
and the transition of limited English proficient children
to kindergarten, including the extent to which such programs meet the requirements of section 642A for limited
English proficient children;
‘‘(D) the qualifications and training provided to Head
Start teachers and Early Head Start teachers who serve
limited English proficient children and their families;
‘‘(E) the languages in which Head Start teachers and
Early Head Start teachers are fluent, in relation to the
population, and instructional needs, of the children served;
‘‘(F) the rate of progress made by limited English proficient children and their families in Head Start programs
and in Early Head Start programs, including—
‘‘(i) the rate of progress made by limited English
proficient children toward meeting the additional educational standards described in section 641A(a)(1)(B)(ii)
while enrolled in such programs;
‘‘(ii) a description of the type of assessment or
assessments used to determine the rate of progress
made by limited English proficient children;
‘‘(iii) the correlation between such progress and
the type and quality of instruction and educational
programs provided to limited English proficient children; and
‘‘(iv) the correlation between such progress and
the health and family services provided by such programs to limited English proficient children and their
families; and
‘‘(G) the extent to which Head Start programs and
Early Head Start programs make use of funds under section 640(a)(2)(D) to improve the quality of such services

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dkrause on GSDDPC29 with PUBLIC LAWS

PUBLIC LAW 110–134—DEC. 12, 2007

121 STAT. 1437

provided to limited English proficient children and their
families.
‘‘(i) RESEARCH AND EVALUATION ACTIVITIES RELEVANT TO
DIVERSE COMMUNITIES.—For purposes of conducting the study
described in subsection (h), activities described in section
640(l)(5)(A), and other research and evaluation activities relevant
to limited English proficient children and their families, migrant
and seasonal farmworker families, and other families from diverse
populations served by Head Start programs, the Secretary shall
award, on a competitive basis, funds from amounts made available
under section 640(a)(2)(D) to 1 or more organizations with a demonstrated capacity for serving and studying the populations
involved.
‘‘(j) REVIEW OF ASSESSMENTS.—
‘‘(1) APPLICATION OF STUDY.—When the study on Developmental Outcomes and Assessments for Young Children by the
National Academy of Sciences is made available to the Secretary, the Secretary shall—
‘‘(A) integrate the results of the study, as appropriate
and in accordance with paragraphs (2) and (3), into each
assessment used in Head Start programs; and
‘‘(B) use the results of the study to develop, inform,
and revise as appropriate the standards and measures
described in section 641A, consistent with section
641A(a)(2)(C)(ii).
‘‘(2) INFORM AND REVISE.—In informing and revising any
assessment used in the Head Start programs, the Secretary
shall—
‘‘(A) receive recommendations from the Panel on
Developmental Outcomes and Assessments for Young Children of the National Academy of Sciences; and
‘‘(B) with respect to the development or refinement
of such assessment, ensure—
‘‘(i) consistency with relevant, nationally recognized professional and technical standards;
‘‘(ii) validity and reliability for all purposes for
which assessments under this subchapter are designed
and used;
‘‘(iii) developmental and linguistic appropriateness
of such assessments for children assessed, including
children who are limited English proficient; and
‘‘(iv) that the results can be used to improve the
quality of, accountability of, and training and technical
assistance in, Head Start programs.
‘‘(3) ADDITIONAL REQUIREMENTS.—The Secretary, in carrying out the process described in paragraph (2), shall ensure
that—
‘‘(A) staff administering any assessments under this
subchapter have received appropriate training to administer such assessments;
‘‘(B) appropriate accommodations for children with
disabilities and children who are limited English proficient
are made;
‘‘(C) the English and Spanish (and any other language,
as appropriate) forms of such assessments are valid and
reliable in the languages in which they are administered;
and

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APPENDIX B
FEDERAL REGISTER NOTICES

34755

Federal Register / Vol. 73, No. 118 / Wednesday, June 18, 2008 / Notices
parents or guardians in the spring of
2009, 2010, and 2012. A small set of
additional items will provide
information on the parents’ perception

of the children’s well-being. The
tracking updates will primarily be
conducted over the telephone with inperson follow-up as necessary.

Respondents: Treatment and control
group members in the Head Start Impact
Study.

ANNUAL BURDEN ESTIMATES
Number of respondents

Number of responses per
respondent

Average burden hours per
response

Tracking Interview ............................................................................................

4,667

1

.25

1,166.75

Estimated Total Annual Burden Hours .....................................................

........................

........................

........................

1,166.75

Instrument

Additional Information:
Copies of the proposed collection may
be obtained by writing to the
Administration for Children and
Families, Office of Planning, Research
and Evaluation, 370 L’Enfant
Promenade, SW., Washington, DC
20447, Attn: ACF Reports Clearance
Officer. E-mail address:
OPREInfoCollection@acf.hhs.gov. All
requests should be identified by the title
of the information collection.
OMB Comment:
OMB is required to make a decision
concerning the collection of information
between 30 and 60 days after
publication of this document in the
Federal Register. Therefore, a comment
is best assured of having its full effect
if OMB receives it within 30 days of
publication.
Written comments and
recommendations for the proposed
information collection should be sent
directly to the following:
Office of Management and Budget,
Paperwork Reduction Project. FAX:
202–395–6974. Attn: Desk Officer for
ACF.
Dated: June 9, 2008.
Brendan C. Kelly,
OPRE Reports Clearance Officer.
[FR Doc. E8–13432 Filed 6–17–08; 8:45 am]
BILLING CODE 4184–01–M

DEPARTMENT OF HEALTH AND
HUMAN SERVICES
Administration for Children and
Families
Proposed Information Collection
Activity; Comment Request
Proposed Project
Title: Early Head Start Family and
Child Experiences Survey (Baby
FACES).
OMB No. New Collection
Description: The Administration for
Children and Families (ACF), U.S.
Department of Health and Human
Services, is conducting a descriptive
study of Early Head Start Programs
(Early Head Start Family and Child
Experiences Survey, or Baby FACES).
Baby FACES is a longitudinal study of
a nationally representative sample of
programs and children in two cohorts
(perinatal and age 1) that will collect
information about programs, services,
families, and children. Data for Baby
FACES will be annually collected
through interviews with parents,
teachers, home visitors, and program
directors/managers, as well as direct
child assessments, videotaped parent
child interactions, and observations of
the home environment when children

Total burden
hours

are two and three years old. Data
collection will also include quality
observations of child care center
classrooms and home visits conducted
by program staff.
Data will be collected on a sample of
approximately 2,000 children and
families selected at random from 90
Early Head Start programs. Over the life
of the project, Baby FACES will involve
four waves of data collection, ending
when the second cohort of children
(perinatal cohort) reaches 36 months of
age. This information collection request
covers the first three years of data
collection. All waves of data collection
will acquire program level information
through an hour-long program director
interview. Additionally, staff from all
programs will complete a simple service
tracking form every week for each child
in the sample for all years to determine
what services are being delivered to
families.
Respondents: Parents of EHS
Children, EHS Children, EHS Teachers,
Home Visitors, and Program Directors/
Managers.

ANNUAL BURDEN ESTIMATES
Annual number of respondents

rwilkins on PROD1PC63 with NOTICES

Instrument

Number of responses per respondent

Average burden hour per
response

Estimated annual burden
hours

Parent Interview .............................................................................................
Program Director/Manager Interview .............................................................
Child Care Provider Interview ........................................................................
Home Visitor Interview ...................................................................................
Teacher/Home Visitor Child Rating ...............................................................
Family Service Tracking ................................................................................
Child Direct Assessment ...............................................................................
Parent-Child Interaction .................................................................................

1,715
90
180
270
450
450
907
907

1
1
1
1
2.6
136
1
1

1
1
1
1
0.25
0.1666
1
0.25

1,715
90
180
270
293
10,200
907
227

Total Burden Hours ................................................................................

........................

..........................

........................

12,975

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34756

Federal Register / Vol. 73, No. 118 / Wednesday, June 18, 2008 / Notices

In compliance with the requirements
of Section 3506(c)(2)(A) of the
Paperwork Reduction Act of 1995, the
Administration for Children and
Families is soliciting public comment
on the specific aspects of the
information collection described above.
Copies of the proposed collection of
information can be obtained and
comments may be forwarded by writing
to the Administration for Children and
Families, Office of Planning, Research
and Evaluation, 370 L’Enfant
Promenade, SW., Washington, DC
20447, Attn: ACF Reports Clearance
Officer. E-mail address:
OPREinfocollection@acf.hhs.gov. All
requests should be identified by the title
of the information collection.
The Department specifically requests
comments on (a) Whether the proposed
collection of information is necessary
for the proper performance of the
functions of the agency, including
whether the information will have
practical utility; (b) the accuracy of the
agency’s estimate of the burden of the
proposed collection of information; (c)
the quality, utility, and clarity of the
information to be collected; and (d)
ways to minimize the burden of the
collection of information on

respondents, including through the use
of automated collection techniques or
other forms of information technology.
Consideration will be given to
comments and suggestions submitted
within 60 days of this publication.
Dated: June 11, 2008.
Brendan C. Kelly,
OPRE Reports Clearance Officer.
[FR Doc. E8–13658 Filed 6–17–08; 8:45 am]
BILLING CODE 4184–01–M

DEPARTMENT OF HEALTH AND
HUMAN SERVICES
Administration for Children and
Families
Submission for OMB Review;
Comment Request Title: Community
Based Child Abuse Prevention
Program (CBCAP).
OMB No.: 0970–0155.
Description: The Program Instruction,
prepared in response to the enactment
of the Community-Based Grants for the
Prevention of Child Abuse and Neglect
(administratively known as the
Community Based Child Abuse
Prevention Program, (CECAP), as set

forth in Title II of Pub. L. 108 36, Child
Abuse Prevention and Treatment Act
Amendments of 2003, and in the
process of reauthorization, provides
direction to the States and Territories to
accomplish the purposes of (1)
supporting community-based efforts to
develop, operate, expand, and where
appropriate to network, initiatives
aimed at the prevention of child abuse
and neglect, and to support networks of
coordinated resources and activities to
better strengthen and support families to
reduce the likelihood of child abuse and
neglect, and; (2) fostering an
understanding, appreciation, and
knowledge of diverse populations in
order to be effective in preventing and
treating child abuse and neglect. This
Program Instruction contains
information collection requirements that
are found in Pub. L. 108–36 at Sections
201; 202; 203; 205; 206; 207; and
pursuant to receiving a grant award. The
information submitted will be used by
the agency to ensure compliance with
the statute, complete the calculation of
the grant award entitlement, and
provide training and technical
assistance to the grantee.
Respondents: State Governments.

ANNUAL BURDEN ESTIMATES
Number of respondents

Number of responses per
respondent

Average burden hours per
response

Application .......................................................................................................
Annual Report ..................................................................................................

52
52

1
1

40
24

2,080
1,248

Estimated Total Annual Burden Hours .....................................................

........................

........................

........................

3,328

rwilkins on PROD1PC63 with NOTICES

Instrument

Additional Information:
Copies of the proposed collection may
be obtained by writing to the
Administration for Children and
Families, Office of Administration,
Office of Information Services, 370
L’Enfant Promenade, SW., Washington,
DC 20447, Attn: ACF Reports Clearance
Officer. All requests should be
identified by the title of the information
collection. E-mail address:
infocollection@acf.hhs.gov.
OMB Comment:
OMB is required to make a decision
concerning the collection of information
between 30 and 60 days after
publication of this document in the
Federal Register. Therefore, a comment
is best assured of having its full effect
if OMB receives it within 30 days of
publication. Written comments and
recommendations for the proposed
information collection should be sent
directly to the following:

VerDate Aug<31>2005

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Jkt 214001

Office of Management and Budget,
Paperwork Reduction Project. Fax: 202–
395–6974. Attn: Desk Officer for the
Administration for Children and
Families.
Dated: June 11, 2008.
Janean Chambers,
Reports Clearance Officer.
[FR Doc. E8–13661 Filed 6–17–08; 8:45 am]
BILLING CODE 4184–01–M

DEPARTMENT OF HEALTH AND
HUMAN SERVICES
National Institutes of Health
Government-Owned Inventions;
Availability for Licensing
National Institutes of Health,
Public Health Service, HHS.

AGENCY:
ACTION:

PO 00000

Notice.

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hours

SUMMARY: The inventions listed below
are owned by an agency of the U.S.
Government and are available for
licensing in the U.S. in accordance with
35 U.S.C. 207 to achieve expeditious
commercialization of results of
federally-funded research and
development. Foreign patent
applications are filed on selected
inventions to extend market coverage
for companies and may also be available
for licensing.

Licensing information and
copies of the U.S. patent applications
listed below may be obtained by writing
to the indicated licensing contact at the
Office of Technology Transfer, National
Institutes of Health, 6011 Executive
Boulevard, Suite 325, Rockville,
Maryland 20852–3804; telephone: 301/
496–7057; fax: 301/402–0220. A signed
Confidential Disclosure Agreement will
be required to receive copies of the
patent applications.

ADDRESSES:

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APPENDIX B PLACEHOLDER FOR 2ND PACKAGE

APPENDIX C
RECRUITING MATERIALS

1. Consent Letter
2. Program Brochure
3. Fact Sheet
4. Parent Brochure
5. Advance Letter
6. Parent Interview Advance Letter Year 1
7. Parent Interview Advance Letter Year 2

P.O. Box 2393
Princeton, NJ 08543-2393
Telephone (609) 799-3535
Fax (609) 799-0005
www.mathematica-mpr.com

Spring 2009
BABY FACES 2009 CONSENT FORM
We are inviting you and your child to participate in the Early Head Start Family and Child
Experiences Survey (Baby FACES). The purpose of Baby FACES is to learn more about families in
Early Head Start and the kinds of services Early Head Start provides to families with infants and
toddlers. Information from this study will be used to help Early Head Start better serve all children
and their families. Baby FACES is sponsored by the Administration for Children and Families of the
U.S. Department of Health and Human Services and is being conducted by Mathematica Policy
Research, Inc. (MPR), an independent research company.
If you agree to participate and are one of the families selected for the study…
We will interview you in spring 2009, and each spring your child is enrolled in Early Head
Start until he or she is 3 years old. We will ask you questions about the kinds of things your child
can do, about your family’s activities and routines, about your feelings, and about your health.
These interviews will take about one hour and will be conducted in your language. We will give you
$35 after each interview to thank you for your help.
We will ask your child to do some activities so we can find out how Early Head Start helps
children learn and grow. When your child is age 2 and again at age 3, we will ask him or her to take
part in some fun activities, such as doing a puzzle, with a trained researcher. These activities take
about 30 minutes. Each time your child participates, he or she will receive a special gift as a thankyou.
We will ask your child’s Early Head Start primary caregivers or home visitors some
questions so that we can learn more about the progress your child is making.
You can choose whether you and your child will be part of the study. Your participation is
completely voluntary. Your decision will not influence the Early Head Start services you and your
child are receiving. No one from the Early Head Start program will see or hear your answers or be
informed about how your child does on the activities. All of the study results will be reported for
groups of parents and children, and no results will be reported for individuals. There is one
exception—if we learn that a child has been abused or is endangered, we are required by law to
report this to the appropriate authorities, which could result in official action in accordance with state
law.
If you have any questions about the Baby FACES study, please call Cassandra Meagher,
Survey Director, toll free at xxx-xxx-xxxx. If you have any questions about your rights as a research
volunteer, please call [NAME] toll free at xxx-xxx-xxxx.
Please sign the enclosed consent form and give it to your Early Head Start home visitor or
primary caregiver. Thank you for helping us.

C.3
An Affirmative Action/Equal Opportunity Employer

I have read this consent form and understand what I am being asked to do.
I agree that my child and I will participate in this study. I also agree to have Baby FACES
researchers collect some information from my child’s home visitors or primary caregivers in
Early Head Start. I will be paid $35 each time I am interviewed, and I will also receive a gift
for my child each time my child is assessed. I may withdraw this consent at any time
without penalty.
Date:
Signature of Parent/Guardian
who will participate in the interview:

|

| |/| | |/| | |
Month
Day
Year

Printed Name of Parent/Guardian
who will participate in the interview:
(PRINT)
… Mother

Relationship to Child:

… Father

… Grandmother

… Other Guardian

Child’s Birthday:
Child’s Name:

|
(PRINT)

| |/| | |/| | |
Month
Day
Year

What language does your child use most often at home?
… English

… Spanish

… Other

Please telephone me at this number to make my appointment: (

)

-

Area Code

Please interview me in:
… English

… Spanish

… Other

To help us arrange for your interview, please circle the times you are usually available.
PLEASE CIRCLE MORE THAN ONE TIME
Monday

Tuesday

Wednesday

Thursday

Friday

7:00 AM – 10:00 AM

7:00 AM – 10:00 AM

7:00 AM – 10:00 AM

7:00 AM – 10:00 AM

7:00 AM – 10:00 AM

10:00 AM – 1:00 PM

10:00 AM – 1:00 PM

10:00 AM – 1:00 PM

10:00 AM – 1:00 PM

10:00 AM – 1:00 PM

1:00 PM – 5:00 PM

1:00 PM – 5:00 PM

1:00 PM – 5:00 PM

1:00 PM – 5:00 PM

1:00 PM – 5:00 PM

5:00 PM – 7:00 PM

5:00 PM – 7:00 PM

5:00 PM – 7:00 PM

5:00 PM – 7:00 PM

5:00 PM – 7:00 PM

After 7:00 PM

After 7:00 PM

After 7:00 PM

After 7:00 PM

After 7:00 PM

White Copy to MPR

Yellow Copy to On-Site Coordinator

C.4

Pink Copy to Parent

baby
FACES

babyFACES

What is Early Head Start?
Early Head Start is a federally funded,
community-based program for low-income
families with infants and toddlers and
pregnant women. Its goal is to promote
healthy prenatal outcomes for pregnant
women, enhance the development of
very young children, and support child
and family well-being. Early Head Start
provides families with early education
services, home visits, parenting education,
comprehensive health and mental health
services, and high-quality child care.

The Early Head Start Family and Child Experiences Survey

www.acf.hhs.gov/programs/opre

What is Baby FACES?
Baby FACES - the Early Head Start Family and Child
Experiences Survey - will provide descriptions of the
characteristics, experiences, and outcomes for children
and families served by Early Head Start. Baby FACES
also will collect information on Early Head Start program
services and delivery. All of this information will be used
to help Early Head Start improve services to infants and
toddlers and their families.
Who will participate in Baby FACES?
Approximately 2,100 children and families from 90 Early
Head Start programs from around the country will be
randomly selected to participate in the study. Children
from each selected program will be chosen by chance
from two cohorts (perinatal and age 1). The study will
continue until the pre-birth children are 3 years old.
Participation in the study is completely voluntary for
programs and families.

What kind of information will be collected?
Information will be gathered through direct child
assessments and interviews with parents, teachers, home
visitors, and program directors. The study also will
include observations of classrooms, home visits, parentchild interactions, and the home environment as well as
child ratings by primary caregivers and teachers.
When will the information be collected?
During the course of the study, Baby FACES will collect
information on programs and families in spring over four
years 2009-2012.
Who is Conducting Baby FACES?
Mathematica Policy Research (MPR), Incorporated is
conducting the study under contract to the Administration
for Children and Families, U.S. Department of Health
and Human Services.

If you would like more information about BabyFACES or other Early Head Start research,
visit the Office of Planning, Research and Evaluation web site at:

www.acf.hhs.gov/programs/opre.

Early Head Start Family and Child Experiences
Survey (Baby FACES)
The Research Team

Since its founding in 1995, Early Head Start has provided program services for lowincome pregnant women and families with infants and toddlers based on a foundation of
rigorous research combined with an emphasis on continuous program improvement. The
Early Head Start Family and Child Experiences Study (Baby FACES) is the next step in a
comprehensive research agenda aimed at maintaining an up-to-date, extensive knowledge
base to support Early Head Start policies and programs.
Baby FACES is a periodic, longitudinal study designed to be a reliable source of data for
describing the experiences of Early Head Start children and their families. Your program
is invited to participate in this national study sponsored by the Administration for Children and Families.
The study will be conducted by Mathematica Policy Research, Inc. (MPR), a respected,
independent policy research organization whose studies of early childhood and education
initiatives, and other programs, have been used to inform national policymakers for more
than 35 years. MPR is consulting with nationally recognized experts in early childhood
and Early Head Start programs including Tammy Mann, of ZERO TO THREE; Judith
Jerald, of Save the Children; and Brenda Jones Harden, of the University of Maryland.
To meet the challenges and realize the full promise of Baby FACES, MPR has assembled
an exemplary team with knowledge of and experience in Early Head Start and early childhood research and practice. Our study design will ensure both high-quality and timely
Baby FACES data and enhance its potential to provide a profile of the Early Head Start
program and its participants. We are committed to translating research findings into formats that programs and policymakers can use.

Selecting Programs

The study will include 90 randomly selected, nationally representative Early Head Start
programs that meet eligibility criteria. Programs’ eligibility will be determined from the
most recently available Head Start Program Information Report (PIR) database (program
year 2006–2007). Programs must directly provide Early Head Start services to children to
be included in the study.

Selecting Families

We will select a representative sample of families with children in two age cohorts: perinatal and age 1.

Collecting Information

Baby FACES will use a comprehensive set of data collection instruments designed to assess program services and implementation, children’s growth and development, and parent-child relationship and home environment quality. A team of Mathematica staff will
gather the data through direct child assessments and interviews with parents, primary
caregivers, home visitors, and program directors. The study will also include observations
of child care center classrooms, home visits, and the home environment, and information
on services that families receive throughout the year (provided by program staff).

C.7

On-Site Assistance

We will establish a cooperative partnership with an on-site coordinator (OSC) from each
program. We will ask the OSC to help with getting consent from families to participate in
the study, scheduling child assessments, setting up parent interviews, and helping to collect information on services families receive. Our plan will detail procedures for scheduling make-up visits for children who were absent during the data collection week; for
interviewing in person, or by telephone, parents who could not be interviewed during our
main visit to the site; and for completing family services tracking information.

Confidentiality

MPR is committed to respecting the privacy of respondents and maintaining the confidentiality of the data entrusted to us. Having conducted many studies involving disadvantaged
populations, MPR is experienced in implementing stringent security procedures. Study
results will be reported only in group form; we will not present data on child performance
by primary caregiver, by class, or by program. In this way, the confidentiality of children,
families, primary caregivers, and programs will be carefully guarded. At the beginning of
the study, we will inform parents about the study and our confidentiality policies; we will
also distribute consent forms that allow parents to remove their child from the study if
they so choose. The survey director will be responsible for making sure that interviewers
and assessment staff understand the necessity of maintaining strict confidentiality. All
staff involved with the study will sign confidentiality pledges.

To Find Out More

Contact Cheri Vogel, project director, at Mathematica Policy Research, Inc. (MPR),
(609) 716-4546 : cvogel@mathematica-mpr.com.

C.8

Early Head Start
Family and Child
Experiences
Survey
Baby FACES
Family Brochure
Experiences in Early Head Start
U.S. Department of Health and Human Services
Administration for Children and Families

C.9

The Early Head Start Family and Child Experiences Survey (Baby FACES) is the largest
national study of Early Head Start ever undertaken to gather information about families served by
Early Head Start. The Office of Head Start and your local Early Head Start program are working
hard to improve services—Baby FACES is helping us learn how we are doing.
To understand Early Head Start better, the Baby FACES research team collects information in
many different ways. If your family is selected, we will ask to interview you each spring that your
child is in Early Head Start. We will ask you questions about yourself, your family, and your
experience with Early Head Start.
Participating families will be interviewed once a year and receive $35 for each interview. We
will also meet with your child each year and ask him or her to do a set of activities so that we can
learn about children’s development. The activities we will ask your child to do are the kinds of
things children do at Early Head Start. You will also receive a gift for your child each time he or so
does these activities.
All the answers you and your child give are confidential. They will never be shared with
anyone from Early Head Start. The decision to take part in the study is yours. However, if you
decide not to be part of Baby FACES (even though we hope you will), it will not affect your or your
child’s Early Head Start participation.
Baby FACES is sponsored by the Administration for Children and Families, the government
agency which oversees Early Head Start. The work is being conducted by Mathematica Policy
Research, Inc. (MPR). All staff members working on Baby FACES have lots of experience doing
research with young children and their families, and have been fully trained for this study.
If you have any questions about Baby FACES, you may call Mathematica’s toll-free number XXXX-XXX-XXXX between 9 A.M. and 9 P.M. Eastern Time. If you call after these hours, you may
leave a message and we will return your call.
C.11

More than 2,000 families and children from Early Head Start programs across the nation are
participating in the first round of Baby FACES. We hope yours will be one of the families helping
us in Baby FACES.
Thank you for your participation! Your help is valuable to us and to all Early Head Start
children and families!

C.12

P.O. Box 2393
Princeton, NJ 08543-2393
Telephone (609) 799-3535
Fax (609) 799-0005
www.mathematica-mpr.com

Spring 2009
Dear [FILL PARENT]:
[FILL Program NAME] is participating in the Early Head Start Family and Child Experiences Survey
(Baby FACES). This study will gather information that will help the Early Head Start program improve
services to families with infants and toddlers. The survey is sponsored by the Administration for Children
and Families of the U.S. Department of Health and Human Services and is being conducted by Mathematica
Policy Research, Inc., an independent research company. This is a very important study, and we strongly
encourage selected families to participate if they can!
If you consent to be in the study and your family is selected to participate in it, we will interview you in
spring 2009, and each spring thereafter that your child is enrolled in Early Head Start until he or she is 3 years
old. We will ask you questions about the kinds of things your child can do, about your family’s activities and
rules, about your feelings, and about your health. These interviews will take about one hour and will be
conducted in your language. We will give you $35 each time you are interviewed to thank you for your help.
So that Baby FACES can find out how Early Head Start helps children learn and grow, each year we will
also ask your child to complete some fun activities at his or her child care center or through a home visit.
These activities take about 30 minutes. We will also ask your child’s Early Head Start primary caregiver or
home visitor how your child is progressing, and we will measure your child’s height and weight. Each time
your child participates, your child will receive a special thank-you gift.
You can choose whether or not you and your child will be part of the study. Your decision about
participation will not affect the Early Head Start services you and your child are receiving. Also, we want to
assure you that all information from this study will be strictly confidential. Nothing that you share with us
will ever be connected with your name or your child’s name. The information will not be shared with your
Early Head Start program and will not be passed on to any school or government agency in a way that can be
connected with you. The information that is collected will appear only in reports in which individual names
are never used and in which individuals are never identified. There is one exception—if we learn that a child
has been abused or is endangered we must report this to the appropriate authorities, which could result in
official action in accordance with state law.
If you have any questions about the Baby FACES study, please call me toll free at [xxx-xxx-xxxx]. I
would be happy to talk with you. If you have any questions about your rights as a research volunteer, please
call XXXX toll free at [xxx-xxx-xxxx].
Please sign the attached consent form and give it to your Early Head Start home visitor or primary
caregiver at the Early Head Start program. Thank you for helping us.
Sincerely,

[MPR Baby FACES COORDINATOR]

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P.O. Box 2393
Princeton, NJ 08543-2393
Telephone (609) 799-3535
Fax (609) 799-0005
www.mathematica-mpr.com

Spring 2009
Dear [FILL PARENT]:
Thank you for agreeing to participate in the Early Head Start Family and Child Experiences
Survey (Baby FACES). This study will gather information that will help the Early Head Start
program improve services to families with infants and toddlers. The survey is sponsored by the
Administration for Children and Families of the U.S. Department of Health and Human Services and
is being conducted by Mathematica Policy Research, Inc., an independent research company.
As part of the study, we are interviewing families in the Early Head Start Family and Child
Experiences Survey (Baby FACES). In about one week, an interviewer from Mathematica will call
to ask you questions about the kinds of things your child can do, about some of your family’s
activities and rules, about some of your feelings, and about your health. This interview will take
about one hour and will be conducted in your language. We will give you $35 and a book for your
child after each interview to thank you for your help.
If you prefer, we can set up an appointment to interview you in-person when our staff visits
your child’s Early Head Start program [DATE OF FIELD VISIT].
We want to assure you that any information from this study will be strictly confidential. None of
the information will ever be connected with your name or your child’s name. The information will
not be shared with your Early Head Start program and will not be passed on to any school or
government agency in a way that can be connected with an individual family or child.
If you have any questions about the Baby FACES study, please call me toll free at [xxx-xxxxxxx]. I would be happy to talk with you. If you have any questions about your rights as a research
volunteer, please call XXXX toll free at [xxx-xxx-xxxx].

Sincerely,

[MPR Baby FACES COORDINATOR]

C.15

P.O. Box 2393
Princeton, NJ 08543-2393
Telephone (609) 799-3535
Fax (609) 799-0005
www.mathematica-mpr.com

Baby FACES
Spring 2010
Dear [FILL PARENT]:
Last spring, you and your child, along with your child’s Early Head Start program, participated
in the Early Head Start Family and Child Experiences Survey (Baby FACES). The Baby FACES
study is sponsored by the Administration for Children and Families of the U.S. Department of
Health and Human Services. Mathematica Policy Research, Inc., an independent research company,
is conducting Baby FACES. The study is gathering information that will help the Early Head Start
program improve services to families with infants and toddlers.
Our staff will be contacting you in about one week to conduct an interview similar to the one
you participated in last spring. We will ask you questions about the kinds of things your child can
do, about some of your family’s activities, about some of your feelings, and about your health. The
interview will take about one hour and can be done by telephone, or if you prefer, we can set up an
appointment to interview you in-person during our visit to your child’s Early Head Start program on
[DATE OF FIELD VISIT]. The interview will be conducted in your language, and we will give you
$35 and a book for your child to thank you for your help.
When we complete your interview over the phone or schedule an appointment for an in-person
interview, we will also schedule a home visit for the week of [DATE OF FIELD VISIT]. Baby
FACES wants to find out how Early Head Start programs help children learn and grow and how the
Early Head Start services help parents learn to teach their children new skills. During the home visit,
the Mathematica interviewer will do some fun activities with you and your child, such as playing
with a toy farm or looking at a new book, to see how you and your child play together.
We want to assure you that any information from this study will be strictly confidential. The
information will not be shared with your Early Head Start program and will not be passed on to any
school or government agency in a way that can be connected with an individual family or child.
If you have any questions about the Baby FACES study, please call me toll free at [xxx-xxxxxxx]. I would be happy to talk with you. If you have any questions about your rights as a research
volunteer, please call XXXX toll free at [xxx-xxx-xxxx].

Sincerely,

[MPR Baby FACES COORDINATOR]

C.17