An Overview of the Head Start Recompete

Application

Executive Summary

In 2007, Congress enacted the Improving Head Start for School Readiness Act of 2007.

45 CFR 1307

(i) For the first time in history, this act required greater competition within communities for Head Start funding. Redesignation occurs through a redesignation process, often referred to as “recompetition”.

(ii) The goal of recompetition is to ensure HS funds are directed towards organizations that are able to provide the highest-quality services.

Why are Programs in Recompetition? 1. One Deficiency in meeting program performance

standards identified through monitoring 2. CLASS Scores below a minimum threshold or in the

lowest 10% in Emotional Support, Classroom Organization, or Instructional Support

3. Failure to establish, utilize and analyze children’s progress on agency established School Readiness Goals

4. Revocation of License to operate 5. Suspension by OHS 6. Debarment by another Federal or State agency or

disqualification from CACFP 7. Determination from Audit of being at risk for failing to

continue as“Going Concern”

Why are Programs in Recompetition?

Of those grantees assessed in CLASS in any year the 10% of grantees with the lowest average scores in each domain will be required to compete.

– Additionally, a grantee with an average score below established thresholds on any of the three CLASS domains will be required to compete (even if that means more than 10% compete based on that domain).

– If the lowest 10% in any of the three CLASS domains includes

grantees with a score of 6 or 7, those grantees would not be required to compete (even if this means that fewer than 10% would be required to compete based on that domain).

Who is Eligible to Apply? Public or private non-profit and for-profit agencies including: Faith-based organizations Community-based organizations Examples: school districts, Community Action

Agencies, non-profit early care and education programs, child care centers

Eligibility to apply is limited to organizations in the service-area that can provide services to children and families residing in that area.

Individuals, foreign entities are not eligible to compete for funding

What do I need to do to Apply?

DUNS Number System for Award Management an Grants.gov Registration Intergovernmental Review- The need for this process depends on the state in which the program resides. You can find more information about your states Single Point of Contact by visiting: http://www.whitehouse.gov/omb/grants_spoc

Application Disqualification Factors

Applications that request an award amount more than the Award Ceiling listed in the grant application

Applications from individuals, foreign entities, or sole proprietorship organizations

Exceeding the page limits of any section Applications submitted after the deadline and due

date A HS or EHS program that has had a “denial of

refunding” in the last five years

Project Description

Formatting 12 pt. font Pages sequentially

numbered 1-inch margins Double-spaced unless

specified Three main sections:

Phase One Phase Two Appendix

Helpful Tips Print out entire

application to make sure blank pages or spaces have not been inserted

Keep a hardcopy of the application for your files

If you go over the page limit your application will be disqualified

Phase I Section Page Limit: 100 pages

This section includes several sections: Table of Contents Demonstration of Need for Child Development & Health Services Achieving Early Learning and Development Outcomes

to Promote School Readiness for Children Past Performance Staffing and Supporting a Strong Early Learning

Workforce Organizational Capacity

Budget & Budget Justification (10 pages/ included in

the 100 page limit)

Project Description

Phase II A Brief Overview

No more than 30 double-spaced pages in length

Labeled as Phase II Designed to assess risk

within your organization Is not scored, but it is

considered in award decisions

Review Consists of: Internal Control

Compliance and Ethical Values

Accounting Policies and Procedures

Accounting System

Appendix

The appendix page limit is no more than 100 pages

Phase Two + Appendix =130 pages total Total Grant Application Length 100 pages – Phase I (includes 10 pg. budget

justification) 130 pages – Phase II and Appendix

Appendix documents may include resumes, letters of support, organizational charts, financial statements, partnership agreements, etc.

Application Package Components

Phase I Project Description

Provides the majority of the information by which the application is evaluated and scored

Should be concise, detailed and complete

Do not include any information that is not requested every word counts!

Best Practices Use cross-referencing rather

than repetition Supporting documents that will

not be directly funded by the grant or documents that do not pertain to an integral part of the grant-funded activity should be placed in the grant appendix

Phase I

List the contents of the application including the corresponding page numbers.

Double - space all section titles. List by section (i.e. Phase I, Phase II;

Appendix) and then heading. Can be more than one page, but counts

in the 100 page limit for Phase I.

Table of Contents

Order of Narrative 1. Table of Contents, 2. Demonstration of Need for Child

Development and Health Services,

3. Achieving Early Learning and Development Outcomes to Promote School Readiness for Children,

4. Past Performance, 5. Staffing and Supporting a Strong

Early Learning Workforce, 6. Organizational Capacity and

Governance, 7. Budget, and 8. Budget Justification (up to 10

single-spaced pages).It is okay to start the narrative on the same page directly after the TOC if you need to save space

Phase I Content of Abstract

1 page in length, single-spaced ( excluded from page limits) Provide a brief description of the proposed grant

including the needs to be addressed, the proposed services, and the population served.

List the following at the top of the Abstract: Project Title Applicant Name Address Contact Information E-mail Address Web Address if applicable

Application Instructions Overview

Notes About the Application Review Criteria Applications are reviewed and evaluated using criterion

described in the “V. Application Review Information” section.

This section should be followed “to the letter” As you are writing the proposal, highlight the criteria

points in the grant application to indicate those you have addressed

Applications are scored using a scale of 150 points The total points associated with each section are

weighted according to their importance.

Phase I

Core Component A: Demonstration of Need for Child Development and Health Services: Location, Population, and Service Delivery Options = 20 Points/150 Points Total

In this section you will: - Introduce your agency - Identify your geographic location - Describe why your area is in need of Head Start services - Describe your program options in detail - Demonstrate your community engagement and partnership

processes and agreements - Describe how the conditions of your community will be improved if

you are awarded the grant. - Describe how you will recruit and select participants and meet the

needs of special populations

Phase I Core Component A Addressing Section Criteria: Create a picture of your community using maps, charts,

and other illustrations Mention any significant characteristics of the local

population

“The geographic location of the proposed service area includes all of Tippecanoe County which covers 500 square

miles and is located in the northwest quadrant of Indiana between Chicago, IL and Indianapolis, IN. The county is

bisected by Interstate-65 and serves as a business, cultural and economic center for a multi-county area.”

Phase I

Describe how you will direct services to areas and populations with the greatest needs.

Demonstrate Your Community Presence & Engagement.

Provide evidence you have a community presence. Describe your plans and process for involving other service

providers and members of your community in determining the need for Head Start Services.

Describe commitments of exchange of services, resources, support or other agreements you have established with local service providers. Make sure to note that you will not supplant existing services.

Core Component A

Ways to Show your Community Presence & Engagement

Indicate services you already provide in the community (ex. child care, mental health, HS, EHS)

Garner support from other agencies that provide compatible services.

Create a chart of organizational partners and services Describe how partners participated in the development of your

community assessment and in program design decisions.

Phase I Core Component A

Community Collaboration Must include evidence of plans to collaborate with organizations

providing early childhood education and development programs: Child care programs Elementary Schools Disabilities Service Providers State preschool Birth to Five programs

Agreements and letters of support should go in the grant appendix not the narrative

Phase I Core Component A

Phase I

Describe your plan to meet the need for child development services Show how you will meet the needs of the children and families living in your community.

Further describe your population of focus. Justify the program options you are selecting using community

needs assessment data and demographic information. Describe data regarding the education, health, nutrition, social,

childcare and other service needs of the proposed children and families.

Ex: “ BHS program options will meet the needs of diverse circumstances for 237 families by providing full-day preschool for 101 children, wrap-around childcare for 50 of those children, and part-day

preschool for 136 children”

Addressing Section Criteria:

Core Component A

Align Community Needs to Your Proposed Services

Provide hard data that describes: The number of 3 and 4 yr. old children in your community in need of school

readiness services The extent to which children from low-income families are not meeting school

readiness goals The number of families in poverty Rates of unemployment High incidents of community health problems or violence or other similar factors Number of homeless children, number of children with special needs, number of

foster children Size of waiting lists for child care and other services The number of children with disabilities aged 3-5 yrs. The number of children who are dual language learners Estimated number of children needing full-day, full year care

Phase I Recruitment, Identification, and Enrollment Describe how you will recruit, identify and enroll targeted

participants and ensure services are directed to those most in need, Describe eligibility criteria and how you will ensure 10% of program enrollment is comprised of children with disabilities.

Explain the needs of children with disabilities, dual language learners, children in foster care and procedures for identification of these children. Include a discussion of their transportation needs.

Describe which program services you will provide directly and services you will provide through referrals.

Describe a plan to either increase the number of low-income the application proposes to serve or/and how you will improve the quality of services provided to children and families.

State how many children you will serve with the grant and how many you could serve without HS grant funds.

Describing the Education, Health, Nutrition, Social Service Needs of the Head Start Eligible Population

Start this area as a new section Make important points concisely Compare conditions of the general population to that of

Head Start eligible families Address at minimum

Education levels Health status or conditions requiring ongoing care Obesity rates SNAP usage Dental health Employment Housing issues

Core Component B: Achieving Early Learning and Development Outcomes to Promote School Readiness for Children 40 /150 pts.

In this section you will describe how you will implement the HS program components so that children will start school ready to succeed.

Use the HS Program Performance Standards as guidance in developing this section.

Make sure to provide enough detail for this section to stand alone.

Make sure to address any curriculum for support of additional domains (ex. Second Step, Pyramid)

Phase I

Describe your curriculum and its evidence base. Describe how you will establish school readiness goals

that address the domains of: Language and Literacy Cognition and General knowledge Approaches towards Learning Physical well being and motor development Social Development

Describe how parents are involved in the creation of

school readiness goals and how they were/will be consulted in determining your goals.

Phase I Core Component B

School readiness goals must be culturally and linguistically appropriate and aligned with the Head Start Child Development and Early Learning Framework, state Early Learning Guidelines, and the expectations of schools that children will attend after Head Start.

Describe how you will meet the needs of children with disabilities

including procedures to identify such children, plans to provide trained personnel and plans to provide services to assist children in making meaningful progress. Note 45, 60, 90 day deadlines for developmental screening and assessment Describe referral process to disabilities service providers Discuss your disabilities services plan Describe how you recruit these children How do you train staff in assessing children?

Core Component B

Phase I

Providing Services in Alignment with the HS Component areas

Describe how you will provide services to children and families in the areas of mental health, nutritional and oral health.

Describe how you will implement required screenings (health, sensory, developmental, oral health. Make sure to note how you will comply with 30, 45 and 90 day deadlines listed in

the performance standards Describe who will administer the screenings and what you will do with the results. Show how you will train staff (frequency, topics, duration) Note and justify the screenings and assessments that you utilize

Use the Head Start Program Performance Standards to design

and describe how services meet these criteria.

Phase I Core Component B

Addressing Criteria Regarding Program Quality: Describe the plan for systematically observing and

improving classroom practices Provide the names of the instruments you will utilize.

Most programs use CLASS & ECERS to rate teaching practices and classroom environments

Describe the validity and reliability of these tools and how often they are utilized and what you do with the results.

Phase I Core Component B

Describe the assessment protocols and responsibilities

Child Assessment and Use of Assessment Data:

Describe a plan to individualize instruction for each child and as necessary refer them to support services. Ex: “the progression of each child’s learning is assessed using

TS – Gold.

Describe process for analyzing and aggregating child outcomes data at least 3 times per year.

Describe how this data is used for communicating outcomes and continuous program improvement.

Describe how parents are informed of screening and assessment results.

Phase I Core Component B

Responding to Criteria Describing Partnerships:

Describe how your program will coordinate with other service providers such as child care and preschool programs, State pre-Kindergarten programs, and the Part C disabilities service provider.

Include a Letter of Agreement or Memorandum of Understanding in your appendix.

Phase I Core Component B

Addressing Parent Engagement: Describe how parents, fathers, grandparents, and kinship caregivers

will be included as partners in your program. Describe parent engagement activities, plans, and strategies

Including parent orientation and training. Describe family partnership process.

Must address: Support for parent/child relationships Opportunities for parental employment in the program Leadership opportunities Strategies for improving the financial well-being of families Also note barriers to parent participation and how you will

address these Discuss how children’s transitions are coordinated

Phase I Core Component B

Parent, Family and Community Engagement Framework: Describe how you will support families with mental health

challenges, domestic violence, homelessness, substance abuse. How will you provide information on the effective of drug exposure

on infants and fetal alcohol syndrome? Describe how you will implement the Framework.

http://eclkc.ohs.acf.hhs.gov/hslc/tta-system/family

Phase I Core Component B

Phase I Core Component C: Past Performance = 20/150 pts. Provide information about your past performance on:

Quality Improvement Rating Systems Record of strong child outcomes for formerly enrolled children Evidence of quality from use of teacher-child interaction ratings

scales Evidence of a successful staff development system Evidence of a of success in improving family self sufficiency

Explain how your past performance will inform your administration of the Head Start program

Describe the qualifications and experience of the management team Describe any programs that you operate that are different the Head

Start. Explain how you will adapt to programs differences

Core Component D: Staffing and Supporting a Strong Early Learning Workforce = 20/150 pts.

In this section you will describe the qualifications and experience levels of your staff and how your program supports ongoing coaching, training, and staff development. Describe how you will facilitate strong teacher/child interactions Describe how you will ensure staff implement evidence-based instructional

practices that are individualized to each child to support positive outcomes How will families services workers partner with families in supporting children’s

development Describe the organizational structure of your program. Discuss your governance

structure and staff hierarchy. Illustrate your program by showing the number of employees and the number of

employees that will be assigned to HS and funded with this grant. List the requirements for staff positions. Make sure to include a description of your

background check procedures.

Phase I

Direct Service Staff: Provide a description of each staff position, include a summary of

their duties, required qualifications, describe organizational structure Describe how you will orient new staff to your program Reference the Head Start Program Performance Standards in

regard to staff qualifications If you are an existing program create a chart that shows your

progress towards meeting the teacher degree requirements Describe staffing patterns and caseload sizes Describe how many staff are former parents Describe how you recruit staff Describe your process for hiring and evaluating staff

Phase I Core Component D

Staff Training Plans: Describe how you will provide ongoing professional

development for staff. Include a T and TA Plan in your appendix and describe

how you established training needs. Address how you will provide peer support, staff

supervision, coaching and mentoring. Describe how you will manage underperforming staff. Describe you performance evaluation policies and

procedures.

Phase I Core Component D

Phase I Core Component E: Organizational Capacity and Governance = 25/150 pts. Describe how your executive managers and governing board

exercise effective oversight of program operations and accountability for Federal funds.

Describe how the Policy Council included in the planning and decision-making process and how you implement a structure of shared governance.

How does your governance structure assure representations of the diversity of the community serviced?

How to do you set and monitor overall agency priorities and operational systems?

How do you conduct community assessments, annual self-assessments, ongoing monitoring, and outcome-based evaluations?

Phase I Core Component E

How does your organization oversight meet the program governance requirements established in Section 642(c) of the Head Start Act?

If applicable, provide a description of how your current governance structure would change in order to meet the Head Start Program Performance Standards.

Describe your systems for program planning, internal and external communication, recordkeeping, issuance of internal and external reports, and program self-assessment and monitoring.

Describe how you will provide effective financial management in operating a Head Start program.

Identify any delegates, their geographic areas and the number of children that will be served.

Meeting Governance Requirements:

Phase I

Describe your plan for meeting or exceeding State and local licensing requirements, and for being accessible by State and local authorities for the purposes of monitoring and ensuring compliance.

If you need to purchase facilities, provide a plan for how you will proceed in accordance with the requirements described in 45 CFR, Part 1309.

Demonstrate how you will provide timely and efficient implementation of all program components and services.

Demonstrate how you will conduct planning during the grant transition period.

Discuss your access to classroom space and facilities that meet State and local licensing standards.

Discuss your ability to provide transportation.

Core Component E

Phase I

Develop an application timetable that shows when children will begin receiving services.

Discuss how you plan to coordinate with other state programs and your participation in state systems of child development including Quality Rating Improvement Systems.

Provide QRIS rating if you are a current participant. If applicable state why you do not participate in the

QRIS.

Core Component E

Phase I

Reviewers will evaluate your budget to ensure the project costs are appropriate and reasonable.

Demonstrate that funds are budgeted to provide all services in a cost effective manner.

Demonstrate any start-up costs are justified. Demonstrate you will contribute to the non-federal share

match of 20% of total program funding.

Core Component F: Budget and Budget Justification = 15/150 pts.

Phase I Describe in detail all line item expenses associated with

the project and also provide any program income in the budget that your organization receives that contributes to the HS program.

Use object and class categories listed in the SF-424A Budget Information Non-Construction Programs form

Address the following budget categories:

Core Component F

Personnel Benefits Travel Supplies Contractual Construction Other

Bonus Points Maximum of 10 points

Bonus points are awarded to applicants that do not have agreements that prohibit another entity from applying for a HS or EHS grant.

Applicants that wish to receive the bonus points must include a commitment statement listed in the application in their grant narrative. The statement is already prepared and located in the grant instructions.

Phase II Not-Scored = 30 pages

Phase II is a financial review performed by ACF experts to assess the applicant organizations risk level by examining 3 areas: Section 1: Financial Management Systems Section 2: Financial Capability Section 3: Additional Information

Phase II Section 1: Financial Management Systems

Internal controls Describe standard financial and operating controls in place to ensure assets are protected against fraud, waste, abuse and mismanagement of Federal funds.

Accounting System Describe how you meet the requirement to prepare financial statements annually?

Timekeeping systems Payroll procedures Describe cost allocation pools (direct costs and

expenditures, indirect costs, unallowable costs)

Phase II Section 2: Financial Capability

Examines your ability to sustain operations and perform the planned program

Examines your debt to asset ratio

Phase II Section 3: Additional Information

Describe any audit findings or adverse audit opinions received by the organization within the last two years for any Federal grant program.

Describe the status of all issues and note those that have been resolved.

Provide an indirect cost rate and show the methodology for allocating costs to funding sources.

Describe your ability to meet the 15% limitation on development and administrative costs.

Summary of Page Limits

Required Standard Forms – in the grant package when it is released- no page limits.

Required certifications – no page limits Project Abstract - 1 page/single-spaced Project Description – 100 pages/double spaced

(includes all budget tables) Budget Justification – 10 single-spaced pages Appendices – 100 pages no spacing requirements Phase II – No more than 30 pages double-spaced

Standard Forms and Assurances

SF 424 – Application for Federal Assistance Project Performance Site Form SF424 A and B – Budget Information Certification Regarding Lobbying Disclosure of Lobbying Activities

Appendix Requirements

Third-Party Agreements Letters of Support Proof of Non-Profit Status Resumes of Key Staff Absence of Non-Compete Agreement Audit Certification SPOC Letter Commitment of Non-Federal Resources Equal Opportunity Survey Proof of application approval by Policy Council

Andrea Molarius Heartland Grant Solutions andreaheartlandgrants.org www.heartlandgrants.org