Issuing Organization: United Way of Massachusetts Bay and Merrimack Valley (UWMBMV) or United Way

Issuing Organization: United Way of Massachusetts Bay and Merrimack Valley (UWMBMV) or United Way Grant Application Title: QRIS 2013 Program Quality Improvement Grant - Round Two Application Type: Request for Proposals Release Date: August 2, 2013 Funds Type: Race to the Top Early Learning Challenge Grant (RTTT-ELCG) Funds Source: Federal Proposal Due Date and Time: Proposals will be accepted for consideration beginning August 27, 2013 and reviewed on an on-going basis. No proposal for this round of funding will be accepted after 4:00 p.m. on September 10, 2013. Content Expert: Wendy Valentine, Director Community Impact, United Way TABLE OF CONTENTS Introduction and Background on the QRIS 2 Grant Purpose and Description 3 Administrative Information 4 Eligibility 7 Funding 9 Required Grant Components 11 Fund Use 13 Accounting Practices and Procedures 17 Evaluation and Award Process 18 Outcomes and Measures 20 Appendix A: Recommended Grant Preparation 21 Appendix B: Terms, Grant Expenditures, Termination 22 Appendix C: Technical Assistance for Grant Applicants 23 QRIS PQIG-Rd2 2013 Page 1

INTRODUCTION AND BACKGROUND ON THE QRIS The work of the Massachusetts Department of Early Education and Care (EEC) is steeped in the notion that brain building is in progress for young children in enriching environments with caring adults and meaningful and engaging interactions. The latest science shows that these early experiences actually build the architecture of the developing brain; much like a house is built from the bottom up. When you understand the sequence and process by which brains are built, it s easy to understand why it s wiser to start every child out strong. Trying to change behavior or build new skills on a weak foundation requires more work and is less effective than providing brain building interactions and environments early in life. Brain building is an investment that yields high returns; an investment in the economic prosperity of everyone in Massachusetts as the next generation will pay that back through a lifetime of productivity and responsible citizenship. We know that children's earliest experiences are especially important because building the human brain begins even before birth; a strong foundation in early years greatly increases the chance of positive outcomes. In its efforts to recognize and develop high quality early education and care programs, EEC has implemented a Quality Rating and Improvement System (QRIS) which defines levels of quality for programs and requirements for moving up the levels of the system. PURPOSE OF THE QUALITY RATING AND IMPROVEMENT SYSTEM (QRIS) EEC is committed to helping ensure that all children have access to quality programs. The creation and implementation of a system to improve and support quality statewide is a key strategy in the EEC s Board Strategic Five-Year Plan. To view EEC s Strategic Plan please visit the EEC web site using the following link: http://www.mass.gov/eec. Massachusetts developed QRIS as a method to assess, improve, and communicate the level of quality in early care and education and after-school settings. QRIS provides an opportunity for continuous improvement of early education and care and out-of-school time programs. MASSACHUSETTS QRIS EEC fully implemented the Massachusetts QRIS in January 2011. Interested early education and care and out of school time programs across the mixed delivery system were informed and encouraged to enroll in the System. Enrollment in QRIS included a program completing an online self-assessment application of their program s quality level based on QRIS standards and measures for EEC s review and confirmation of assigned rating. Effective FY12, as a condition of receiving certain funding opportunities, such as Universal Pre-Kindergarten funds, Head Start funds, Inclusive Pre-School funds, and contracts for child care slots and vouchers, programs are required to participate in QRIS to be eligible for receiving the funding. QRIS PQIG-Rd2 2013 Page 2

GRANT PURPOSE AND DESCRIPTION PURPOSE OF THIS GRANT OPPORTUNITY EEC has contracted with the United Way of Massachusetts Bay and Merrimack Valley (United Way) to administer the QRIS 2013 Program Quality Improvement Grant. United Way and EEC are interested in supporting programs/educators to engage in a process of continuous quality improvement. This grant application s purpose is to provide QRIS Program Quality Improvement Grants to eligible programs/educators in the mixed delivery system to engage in program planning for quality improvements and to make direct program improvements, in pursuit of upward progress on the levels defined in the QRIS system. Two different types of eligible funding options will be available to programs/educators through the second round of this grant application, program planning grant funding and durable goods/services grant funding. All grant applications must demonstrate that purchases will be linked to specific standards which programs seek to achieve. United Way anticipates funding 300-400 programs/educators with this second round of grant funding. INDIVIDUAL PROGRAM PLANNING FUNDING This funding option is specifically designed to be used to support compensation for a consistent, familiar substitute staff person to allow the program s staff/educators out-of-classroom planning time during the regular work day when they will not be responsible for the care of children. This includes age level, classroom teacher joint planning time and is not primarily to be used to relieve a single teacher. However, teachers should also work with instructional leaders to review and plan for children and environmental improvements. INDIVIDUAL DURABLE GOODS AND SERVICES FUNDING This funding option is specifically designed to be used for the purchase of durable goods and services that are linked to a QRIS standard area to support a program in advancing in QRIS. QRIS PQIG-Rd2 2013 Page 3

ADMINISTRATIVE INFORMATION GENERAL INFORMATION 1. This is a rolling grant application process. Submission of an application does not guarantee that your program will be awarded a grant. Proposals will be accepted for consideration beginning 8-27-2013 and reviewed on an ongoing basis. No proposal for this round of funding will be accepted after 4:00 p.m. on 9-10-2013. 2. Proposals for funding that meet all the grant eligibility requirements will be evaluated. While grant proposals will be accepted on a rolling basis, when multiple applications are being considered at one time United Way, in collaboration with EEC, will ensure funding is allocated in a manner which ensures diversity in terms of geographic and program/educator type representation to the extent possible based on the applications received. 3. United Way will not review any application that is missing the required information. Therefore, it is important that you ensure that all sections of the application are complete to avoid the possibility of failing to meet the qualifications of the response evaluation or having your score reduced for incomplete information. 4. All funds awarded to a program/educator will be paid on a reimbursement basis. If an applicant is approved for funding, the program/educator must purchase the services or goods and, after receiving the services or goods, submit evidence of their out-of-pocket expenses for reimbursement. Educators/programs are encouraged to request reimbursement in a timely manner as soon as funds are fully expended. Only one request for reimbursement may be submitted. 5. The grant application must be completed online. Applicants who only submit signed copies of required documents will not be considered for funding. 6. United Way will accept questions and answer them on an ongoing basis until 8-24-2013. All questions regarding this grant application must be submitted in writing to QRIS@supportunitedway.org by 8-24-2013 at 4:00 p.m. with QRIS 2013 Round Two Program Quality Improvement Grant Question in the subject line. United Way expects to post several Question and Answer documents at http://www.cybergrants.com/qrisgrants. 7. Question and Answer documents and the dates and locations for the Applicant Technical Assistance and Support Meetings will be posted on http://www.cybergrants.com/qrisgrants. 8. Applicants with questions about the content of the QRIS standards and/or about using the online QRIS Program Manager (QPM) should refer to the documents located at http://www.mass.gov/eec/qris. Additional questions not answered in these documents should be addressed to EEC at: eechelpdesk@massmail.state.ma.us. 9. All funds from this grant must be expended, and products/services received by grantees, by 2-14-2014 for the grantee to receive reimbursement of funds. All requests for reimbursement must be received on or before 2-28-2014. QRIS PQIG-Rd2 2013 Page 4

TIMELINE 8-2-2013 Round Two Grant Application Request for Proposals Released 8-6-2013 => Applicant Technical Assistance and Support Meetings 8-10-2013 (dates and locations to be announced) 8-24-2013 All Questions must be submitted in writing by this date 8-27-2013 Online Grant Application Opens 9-5-2013 Final Question and Answer Document Posted 9-10-2013 All mailed documents required by the grant application must be postmarked by this date 9-10-2013 QRIS Program Quality Improvement Grant Application Closes (United Way reserves the right to extend this deadline if available funds are not fully allocated based on the number of applications received by this date) 9-17-2013 All mailed documents required by the grant application must be received by this date 10-19-2013 List of Grant Recipients Posted 2-14-2014 All goods and services purchased by grantees with these grant funds must be received and accepted by this date 2-28-2014 Final Outcomes and Measures Form must be completed online and all requests for reimbursement must be received by this date All funds from this grant must be expended, and products/services received by grantees, by 2-14-2014. QRIS PQIG-Rd2 2013 Page 5

INSTRUCTIONS TO APPLICANTS 1. Grant Proposal Due Dates: Proposals will be accepted for consideration beginning 8-27-2013 and reviewed on an ongoing basis. All mailed documents required by the grant application must be received by 9-17-2013. No proposal for this round of funding will be accepted after 4:00 p.m. on 9-17-2013. 2. Label Envelope/Package: QRIS 2013 Round Two Program Quality Improvement Grant 3. Mailed documents (as required by the online grant application) must be sent in a single envelope postmarked by 9-10-2013, and must be received by 9-17-2013. Note that the grant application must be completed online and a link to the application may be found at http://www.cybergrants.com/qrisgrants. The online grant application will open on or about 8-27-2013. SUBMISSION ADDRESS Several documents attached to the online application will need to be printed, signed, and mailed. Submit copies of all required documents to: ATTN: QRIS 2013 Round Two Program Quality Improvement Grant United Way of Massachusetts Bay and Merrimack Valley 100 Merrimack Street, Suite 307 Lowell, MA 01852-1706 QRIS PQIG-Rd2 2013 Page 6

ELIGIBILITY To be eligible for the 2013 Round Two QRIS Program Quality Improvement Grant, a program/educator must meet all six eligibility requirements outlined below. 1. Be part of EEC s mixed delivery system which includes licensed or license-exempt group and center based programs, out-of-school time programs, family child care homes, public preschool programs, Universal Pre-Kindergarten programs, and Head Start programs. This grant opportunity is not available to residential and placement programs. 2. Currently be serving at least one child receiving financial assistance as of September 10, 2013. For the purposes of this grant, children receiving financial assistance are defined as: a. Children accessing care through EEC contracts or vouchers b. Children funded with Head Start dollars c. Privately subsidized children from families meeting EEC income eligibility criteria (i.e., total household income at or below 50% of the state median income) with supporting documentation from the program where the child is enrolled d. Children attending preschool programs operated by public schools that: Have a high proportion of preschool children qualifying for free/reduced lunch; or Are at risk of or have been determined to be under-performing in accordance with sections 1J and 1K of Chapter 69 of the Massachusetts General Laws; and/or Have been placed in the accountability status of identified for improvement, corrective action, or restructuring pursuant to Massachusetts Department of Elementary and Secondary Education s regulations; or Have been designated Commonwealth priority schools or Commonwealth Pilot Schools pursuant to Massachusetts General Laws Chapter 69, sec. 1J and 1K. 3. Submit a final self-assessed QRIS level 1, 2, 3, or 4 application in EEC s online QRIS Program Manager (QPM) by 8-15-2013. a. Programs/educators will document their participation by submitting a printed copy of the program s QRIS Summary of Application Profile from QPM. The summary contains the program s self-assessed QRIS level; the QRIS program identification number; and the status of application reads Final Submitted to EEC. b. Programs/educators that have previously submitted a QRIS application in EEC s QPM will use their self-assessed rating to apply for this grant. To view updated information on the QRIS, please click on this link: http://www.mass.gov/eec/qris. For technical assistance regarding QPM, please contact the EEC Help desk at eechelpdesk@massmail.state.ma.us. c. EEC and/or the United Way will verify whether or not a grant applicant has achieved QRIS Level 1, 2, 3, or 4 status and thus is eligible to apply for this grant. QRIS PQIG-Rd2 2013 Page 7

There will be no formal right to an appeal or debriefing regarding EEC s and/or the United Way s decision(s) in this regard. However, EEC and/or the United Way may decide as a courtesy to explain what, if any, QRIS Level 1, 2, 3 and/or 4 requirements were not met by a particular program/educator. d. Programs/educators at QRIS Levels 1, 2, 3, and 4 are eligible for program planning funding or durable goods and services funding. e. Level 4 programs are only eligible to apply for grant funding that will assist them to meet QRIS standards for which they have submitted an exemption. QRIS Level 1 2 3 4 Eligible for program planning time grants yes yes yes yes Eligible for durable goods and services grants yes yes yes yes 4. Participate in the Massachusetts Professional Qualifications Registry (PQR), per EEC s licensing regulations. All educators in a program must be listed in the PQR by 9-10-2013. a. Programs applying for the QRIS 2013 Round Two Program Quality Improvement Grant must demonstrate that they are participating in the PQR. b. All educators in a program will need to be listed in PQR; for example, if a program has 15 educators, each educator must have a PQR number. c. All educators must be linked to the program in the PQR. d. Access to the PQR can be found at: https://www.eec.state.ma.us/pqregistry 5. Programs must complete all grant submission requirements including: a. Complete online grant application by 9-10-2013. b. Submit required documents by mail by 9-10-2013. (See Required Grant Components section below for further detail.) 6. Be in good licensing and fiscal standing with the state NOTE: Programs that previously received QRIS Quality Improvement Grant funding are eligible to apply for this funding opportunity if they meet all six eligibility requirements. QRIS PQIG-Rd2 2013 Page 8

FUNDING Programs/educators may only submit ONE application for grant funding and must select only one funding option. Programs/educators may not apply individually and as an affiliate of a Lead Agency. Programs/educators that submit more than one application may be disqualified for funding. Programs/educators may not receive a grant more than once during any calendar year. Programs/educators will be eligible to receive a QRIS Quality Program Improvement grant annually. Programs/educators may choose to submit an application on their own for either of the grant funding options, even if the program is affiliated with a Lead Agency, Public School District or Family Child Care System. If the program/educator chooses to apply individually, the program/educator must not also be included in the affiliate agency s/system s grant application. Funding for the grant is through reimbursement. All funds must be expended by the program/educator first and then submitted for reimbursement. All funds from this grant must be expended, and products/services received by grantees, by 2-14-2014 for the grantee to receive reimbursement of funds. All requests for reimbursement must be received before 2-28-2014. INDIVIDUAL PROGRAM PLANNING FUNDING 1. A program/educator that serves 20 children or less will be eligible for up to $3,000. 2. A program that serves 21-99 children will be eligible for up to $5,000. 3. A program that serves 100 children or more will be eligible for up to $7,000. 4. The number used to determine eligibility is the number of currently enrolled children, not the licensed capacity. 5. Programs/educators may submit requests for lesser amounts. INDIVIDUAL DURABLE GOODS AND SERVICES FUNDING 1. A program/educator that serves 20 children or less will be eligible for up to $3,000. 2. A program that serves 21-99 children will be eligible for up to $5,000. 3. A program that serves 100 children or more will be eligible for up to $7,000. 4. The number used to determine eligibility is the number of currently enrolled children, not the licensed capacity. 5. Programs/educators may submit requests for lesser amounts. LEAD AGENCY GRANT APPLICATION SUPPORT 1. For the purposes of this grant opportunity, Lead Agency, in addition to Public School Districts and Family Child Care Systems, is intended to refer to an established public or private corporate entity with demonstrated experience providing administration and QRIS PQIG-Rd2 2013 Page 9

management of grants for more than one early education and care or out-of-school time program which the entity owns or is affiliated with. 2. In order to be considered for grant funding on behalf of group and/or school age programs affiliated with a Lead Agency, the Lead Agency must submit a complete set of the financial forms listed below with original signatures by 9-10-2013. This is in addition to the forms that must be submitted for each of their affiliate programs. a. Completed Document Cover Page b. A signed Commonwealth Terms & Conditions form c. A signed W-9 with DUNS # d. A signed Contractor Authorized Signatory Listing e. A signed Executive Order 504 Certification f. A signed Federal Funding Accountability and Transparency Act g. A signed RTTT Certification Regarding Lobbying 3. Lead Agencies, Public School Districts, or Family Child Care Systems may apply on behalf of up to no more than fifteen (15) of their affiliated programs with a maximum grant of no more than $45,000 per umbrella agency (including administrative costs not to exceed 8%). A Lead Agency s association with multiple program types will not increase the maximum amount of funding available to a Lead Agency. 4. Lead Agencies, Public School Districts, or Family Child Care Systems may apply for Program Planning Funding and Durable Goods and Services Funding on behalf of up to no more than fifteen (15) of their affiliated programs, but each affiliated program may receive only one funding option. 5. Preference in funding will be given to proposals that clearly demonstrate that the unique needs of each program/educator have been considered; the use of identical templates to create multiple proposals from a Lead Agency or System is not allowed, and these applications may be disqualified. 6. Grants will be site specific (not classroom specific) based on the program types provided in the QRIS Standards, which include: a. Center/School Based Programs b. Family Child Care Programs c. After School and Out-of-School Time Programs 7. Each program type that falls within the same site should fill out an application and will be considered as an individual application; specifically, if an after school and out-of-school time program is located at the same site as a center/school based program, each program type should fill out a separate application and will be considered for funding separately. 8. Programs may propose to advance more than one level on the QRIS, but a proposal to advance more than one level will not result in additional funding, as grant requests may not exceed the specified amount for each grant type for each group and school aged program site and/or each family child care home site. QRIS PQIG-Rd2 2013 Page 10

REQUIRED GRANT COMPONENTS ONLINE GRANT APPLICATION 1. To apply for this grant, programs must complete an application. Information about accessing the online application may be found at the following link: http://www.cybergrants.com/qrisgrants. The link to the online grant application will be available on or about 8-27-2013. 2. Within the application, programs can expect to find the following questions: a. Program Contact information b. Lead Agency Contact Information (if applicable) c. Number of children receiving financial assistance on September 10, 2013 d. Description, cost and rationale for substitute staff that the program proposes to pay in order to move to the next level of the QRIS (for program planning funding only) e. Description, price and rationale for goods/services that the program proposes to purchase to move to the next level of the QRIS (for durable goods and services funding only) f. Budget form price and vendor for goods and services the program is proposing to purchase 3. United Way reserves the right to add additional questions. At this time, United Way does not expect programs/educators to complete extensive narrative questions for this application. REQUIRED DOCUMENTS The following required documents are required as part of this grant application (all required documents must be submitted). Links to required forms are available at http://www.cybergrants.com/qrisgrants. 1. Mailed and postmarked by 9-10-2013: a. Completed Document Cover Page b. A signed Commonwealth Terms & Conditions form c. A signed W-9 with DUNS # d. A signed Contractor Authorized Signatory Listing e. A signed Executive Order 504 Certification f. A signed Federal Funding Accountability and Transparency Act g. A signed RTTT Certification Regarding Lobbying h. A copy of a valid EEC License (required for licensed programs) or signed Acknowledgement of Meeting EEC Licensing Standards (required for license-exempt programs) i. QRIS Summary of Application Profile from EEC s QPM - A printed copy of the summary from the QPM showing a program s self-assessed level, QRIS number, and status as Final-Submitted to EEC. Access the QPM to complete a QRIS Program Self Assessment here: http://www.mass.gov/eec/qris. QRIS PQIG-Rd2 2013 Page 11

j. Professional Qualifications Registry Summary A printed copy of the PQR summary listing staff members associated with the program. Access the PQR here: https://www.eec.state.ma.us/pqregistry. k. Detailed Schedule Form (required for Individual Program Planning Funding only) For Program Planning Funding, a detailed scheduled of when planning time will occur over the 4 months, in addition to the educator(s) name(s) and titles must be submitted. This form is only an example and programs may submit the information requested in the sample form in their own format. 2. Received by United Way by 9-17-2013: a. All mailed documents required by the grant application must be postmarked by 9-10-2013 and received by 9-17-2013. 3. Due 2-28-2014 (for programs/educators receiving grant funding): a. Final Outcomes and Measures Form - Information about accessing this online form will be sent to grantees by 1-28-2014, and online responses will be due 2-28-2014 For more details about the information that will be collected in this form, see the Outcomes and Measures section on page 20 of this document. b. Evidence submitted of program/educator expenses for reimbursement. This documentation must be submitted to UWMB before 2-28-14 for the grantee to receive reimbursement of funds. QRIS PQIG-Rd2 2013 Page 12

FUND USE Fund use for this initiative must be directly aligned with the applicable QRIS standard area to compensate substitute staffing or purchase goods/services that will allow an educator/program to advance in QRIS. Once approved for grant funding, programs/educators may purchase goods/services up to the amount approved. ALL goods/services must be purchased and received by grantees on or before 2-14-2014. Expenses reflecting the purchase/receipt of goods/services must be submitted to United Way for reimbursement on or before 2-28-2014. Educators/programs are encouraged to request reimbursement in a timely manner as soon as funds are fully expended. Only one request for reimbursement may be submitted. For all products and services purchased for the durable goods and services funding, three (3) bids from vendors must be secured prior to the purchase. For Individual Program Planning funding, a detailed scheduled of when planning time will occur over the grant period, in addition to the educator(s)/administrators name(s) and titles, must be submitted. FUND USE FOR INDIVIDUAL PROGRAM PLANNING FUNDING 1) Eligible Purchases/Expenditures for Individual Program Planning Funding: ALL substitute staffing compensated through program planning funding MUST be linked to a QRIS standard area and support a program in advancing in QRIS. This funding option is specifically designed to be used to support compensation for a consistent, familiar substitute staff person to allow the program s staff/educators out-of-classroom planning time during the regular work day when they would otherwise be responsible for the care of children. Individual Program Planning grant funds may be used to pay for the following: a. Compensation for a consistent, familiar substitute staff person to allow the program s staff/educators planning time to: Complete require Observational tools (Environmental Rating Scales and CLASS or ARNET) and plan to address issues in the Program related to QRIS identified in the tools Complete Individual Professional Development Plan (IPDP) b. Overtime for the classroom teachers and assistant teachers to: Complete require observational tools (Environmental Rating Scales and CLASS or ARNET) Plan to address issues in the Program related to QRIS identified in the tools and/or to complete IPDP c. Compensation for a consistent, familiar substitute staff person to allow the program s administrator/ instructional leaders planning time to: Support staff in their QRIS planning Plan to address issues in the Program related to QRIS identified in the tools and/or QRIS self-assessment d. Overtime for the program administrator/ instructional leaders to: QRIS PQIG-Rd2 2013 Page 13

Support staff in their QRIS planning plan to address issues in the Program related to QRIS identified in the tools and/or QRIS self-assessment Applicants applying for these funds must identify the classroom teacher(s)/educator(s)/administrator(s)/instructional leader(s) who will be afforded the program planning time. Only up to 50% of the Program Planning Funds requested by a program may be allocated to program administrator(s)/instructional leader(s) support; at least 50% of the funds must be allocated to support classroom educators. 2) Ineligible Purchases for Individual Program Planning Funding: Grant funding shall not be used by educators/programs to pay for the following: a. Professional development; time funded by this grant may not be counted as training hours to meet EEC yearly licensing requirements b. Release time for staff to attend college courses, complete homework or any other related professional development activities not specifically linked to QRIS program planning c. To support additional staff in the classroom or home to meet educator/child staffing ratios d. To provide 1:1 services to a specific child e. Durable goods and services f. Compensation for substitute staff for out-of-classroom planning time after 2-14- 2014 g. Travel h. Bonuses for program staff FUND USE FOR INDIVIDUAL DURABLE GOODS AND SERVICES FUNDING 1) Eligible Purchases/Expenditures for Individual Durable Goods and Services Funding: ALL purchases to be reimbursed with approved grant funding MUST be linked to a QRIS standard area and support a program in advancing in QRIS. Durable Goods and Services funding may be used to pay for the following: a. Costs associated with Certified Playground Inspection b. Health Care consultation c. Materials that support QRIS progress and contribute to quality indoor and outdoor environments: Materials for staff or parent resource centers Non-consumable/durable goods for interest areas in order to offer a variety of age appropriate materials and equipment available and accessible to all children Portable sink with running water for hand washing Materials to better reflect the language and culture of the children in the classroom QRIS PQIG-Rd2 2013 Page 14

Materials identified by use of a QRIS measurement tool (e.g. the ECERS, CLASS) to achieve a higher score required to advance to the next level of the QRIS d. Purchase of curriculum aligned with MA guidelines e. Translation of materials and resources into parents primary or preferred languages f. Consultant regarding environmental design of space to support upward movement on the QRIS g. Technology/Electronic equipment directly related to meeting a QRIS standard (e.g. software, cameras, game consoles that offer opportunities for exercise) h. A tablet, e.g. ipad, with a cost not to exceed $500 to be used for child assessment purposes only i. Maintenance and replacement costs that support quality indoor and outdoor environments 2) Ineligible Purchases for Individual Durable Goods and Services Funding: Grant funding shall not be used by educators/programs to pay for the following: a. Professional development and/or staff training (i.e. staff trainings, college courses, etc.) b. Computers and other hardware, including printers and cables c. Goods and/or services that are delivered after 2-14-2014 d. Travel e. If an educator/program receives other EEC grant funds, these grant funds shall not be use to purchase duplicative goods or services f. Consumables for the learning environment (e.g. craft supplies, ink cartridges, etc.) g. Stipends or bonuses for program staff h. A tablet, e.g. ipad, with a cost exceeding $500 or for use by children in the classroom i. Purchase of any one time activity that does not support sustaining quality in a program in the long term (e.g. DJ services, food and beverages, etc.) FUND USE FOR LEAD AGENCIES 1) Grant funds for durables goods and services received by lead agencies on behalf of programs must be disbursed directly to those individual programs or providers receiving grant awards after deducting applicable administrative expenses. 2) Grant funds for program planning received by lead agencies on behalf of programs must be disbursed directly to those individual programs or providers receiving grant awards after deducting applicable administrative expenses with the following exception. If the lead agency is collaborating with the provider on the provision of substitute staffing and directly compensating the substitute staff, funds to compensate substitute staff may be deducted from the grant funds before the balance is disbursed directly to those individual programs or providers receiving grant awards. In this case, the lead agency must notify the individual programs or providers of these deductions in writing and a copy of this notice must be maintained with the documentation of grant fund awards and activities; QRIS PQIG-Rd2 2013 Page 15

this notice must contain the staffing schedule, substitute name, hourly rate, and the total amount of the deduction. 3) Lead Agencies may not deduct in excess of 8% of individual grants for administrative costs. VENDORS All durable goods and services purchased with these grant funds must be purchased on the following basis: 1. Grantees should select three vendors to provide estimates for said purchases in order to ensure the lowest price possible. 2. Grantees must maintain the quotes from the three vendors in their files and make them available to United Way and/or EEC upon request. 3. If an item is unique and not available from more than one vendor in Massachusetts, grantees must maintain the quote from the single vendor and a written statement to that effect in their files and make this available to United Way and/or EEC upon request. 4. United Way, in collaboration with EEC, reserves the right to specify/approve an hourly maximum rate and/or a maximum total amount that can be spent on Consultants. QRIS PQIG-Rd2 2013 Page 16

ACCOUNTING PRACTICES AND PROCEDURES United Way and EEC must ensure that funds are used solely for authorized purposes and any instances of fraud, waste, abuse or error are properly mitigated. 1. All grantees and institutions receiving EEC grant funds need to develop an internal control framework that addresses accountability and ensures data quality, completeness, accuracy and timely reporting of all amounts funded by United Way and EEC. 2. Correct transactions must: Reflect the actual values involved Contain sufficient detail for proper identification and classification Be posted in a timely manner in the proper period Be stored securely Be readily retrievable for inquiry or reporting, and Be safeguarded against improper alteration 3. Source documents are important because they establish the authenticity and provide evidence to support transactions. PROCEDURES/GUIDELINES 1. Upon receipt of an approved award of QRIS grant funds, and prior to recording transactions relating to the grant, the program/educator must make provisions to track grant funds separately; these funds may not be intermingled with money from other funding sources. 2. The program/educator must maintain separate documentation of grant fund awards and activities. 3. All programs/educators receiving QRIS grant funds must be ready to provide whatever documentation is necessary for United Way and EEC to provide the necessary reports and to document compliance with any state and or federal grant requirements, including all documentation related to obligations and expenditures. QRIS PQIG-Rd2 2013 Page 17

EVALUATION AND AWARD PROCESS United Way, in collaboration with EEC, will ensure funding is allocated in a manner which ensures diversity in terms of geographic and program/educator type representation (as represented in the QRIS Standard type: Family Child Care, After School and Out-of-School Time (ASOST), and Center/School Based) to the extent possible based on the applications received. Once geographic and mixed delivery system representation is ensured, if United Way receives applications for funding beyond the allocated amount, EEC reserves its right to allocate additional funds, subject to availability, and accept additional grant applications, prioritizing programs where 50% or more of the children are receiving EEC financial assistance. Programs/educators applying for Program Planning Funding will be scored on the following criteria: Category 0 points 4 points Proposed expenditures are related to the QRIS standard area selected Proposed expenditures are allowable Provided an adequate explanation for proposed expenditures, including staff person, description of planning activity, cost, and quantity of time Costs associated with planned activities seem reasonable To accomplish activities within the grant period seems reasonable, given the deadline The proposal is likely to move the program toward the next QRIS level Few requests are linked to selected standard area Very few expenditures are allowable Did not provide narrative with adequate explanation for proposed expenditures Costs for many activities are not reasonable Does not appear able to accomplish plan on or before the deadline Proposal is unlikely to move program toward the next level All or most requests are linked to selected standard area All or most expenditures are allowable Provided narrative with adequate explanation for all or most proposed expenditures Costs for all or most activities are reasonable Appears able to accomplish a majority of plan on or before the deadline Proposal is likely to move program toward the next level QRIS PQIG-Rd2 2013 Page 18

Programs/educators applying for Durable Goods and Services Funding will be scored on the following criteria: Category 0 points 4 points Proposed expenditures are related to the QRIS standard area selected Proposed expenditures are allowable Provided an adequate explanation for proposed expenditures, including description, vendor and price Costs associated with planned purchases/expenditures seem reasonable To accomplish activities within the grant period seems reasonable, given the deadline The proposal is likely to move the program toward the next QRIS level. Few requests are linked to selected standard area Very few expenditures are allowable Did not provide narrative with adequate explanation for proposed expenditures Costs for many purchases/expenditures are not reasonable Does not appear able to accomplish plan on or before the deadline Proposal is unlikely to move program toward the next level All or most requests are linked to selected standard area All or most expenditures are allowable Provided narrative with adequate explanation for all or most proposed expenditures Costs for all or most purchases/expenditures are reasonable Appears able to accomplish a majority of plan on or before the deadline Proposal is highly likely to move program toward the next level QRIS PQIG-Rd2 2013 Page 19

OUTCOMES AND MEASURES The primary outcome of this grant is for programs/educators to make upward progress on the QRIS. 1. All awarded grantees must complete the online Final Outcomes and Measures Form, which United Way will provide, to document the program quality improvements made with this grant funding. The link to this online form will be sent to grantees by 1-14- 2014, and responses will be due by 2-28-2014. A link to the online form will also be posted at http://www.cybergrants.com/qrisgrants. 2. Programs/educators will be expected to report on: a. How grant funds were expended b. Their self-assessed rating at the beginning of the grant c. Their self-assessed rating at the end of the grant period d. Quality change or improvement on identified indicators e. Impact of change or improvement on program, classrooms, and/or children f. Any additional resources needed to meet criteria in identified QRIS Standard areas g. The number of educators impacted through this grant h. The number of children and youth impacted through this grant i. How the proposed expenditures employ the best use of resources to enhance quality and/or move your program to the next QRIS level 3. Grantees will be asked to participate in a voluntary evaluation of their perceptions of the 2013 QRIS Program Quality Improvement Grant - Round Two to help inform the next iterations of the QRIS in Massachusetts. QRIS PQIG-Rd2 2013 Page 20

APPENDIX A: RECOMMENDED GRANT PREPARATION Programs/educators should strongly consider completing the following activities in preparation for the application process. 1. Review the QRIS Standards: http://www.mass.gov/eec/qris. 2. Complete a QRIS Self-Assessment or, if completed, review current QRIS Self- Assessment. 3. Reflect on the QRIS Self-Assessment and consider where the program/educator could spend funds most effectively to support the advancement of at least one level on the QRIS system. 4. Research tools, materials, and/or services the program/educator may include in the proposal. 5. Gather quotes for the purchase of materials and services from vendors for the Durable Goods and Services funding. 6. Gather information for description, cost, and rationale for substitute staff for the Program Planning funding. 7. Create a timeline and preliminary plan for use of the funds in your program. Please note that all funds from this grant must be expended, and products/services received by grantees, by 2-14-2014. 8. Review standard financial forms that will be required as part of the application process. Ensure that all information needed to complete these forms is current. Original copies of these forms must be submitted with this grant application even if these forms are currently on file with EEC and/or United Way from a previous grant opportunity. 9. Review Acknowledgement of Meeting EEC Licensing Standards (required only for license-exempt programs) 10. Programs will be required to have a DUNS number to apply for this grant. Obtaining a DUNS number may take up to thirty days. More information may be found at this link: http://www.whitehouse.gov/sites/default/files/omb/grants/duns_num_guide.pdf Please visit http://fedgov.dnb.com/webform to request your DUNS Number via the Web or call 1-866-705-5711. QRIS PQIG-Rd2 2013 Page 21

APPENDIX B: TERMS, GRANT EXPENDITURES, TERMINATION, RECOUPMENT OF FUNDS AND RELEVANT LAW GRANT PAYMENT The grant payment will be mailed to you after documentation of expenses reflecting the purchase/receipt of goods/services has been submitted to United Way for reimbursement. All grant recipients must use the grant monies in accordance with the terms and requirements set forth in this Grant Application and the Commonwealth Terms and Conditions, in addition to applicable United Way and EEC policies, regulations and/or state or federal laws. United Way and EEC reserve the right to recoup any and all monies which are not spent in accordance with such terms, conditions, policies, regulations, and/or laws. United Way and EEC further reserve the right to recoup grant funding from any recipient who violates any of the grant terms, requirements, and/or conditions which are incorporated into this Grant Application. United Way and EEC have the right to suspend, amend, and/or terminate the grant funding in the event of a Budget reduction initiated under M.G.L. c. 29, sec. 9C. The selected grantee must comply with all applicable provisions of the Massachusetts General Laws, State Finance Law, 815 Code of Massachusetts Regulations 2.00 et seq. (regarding grants), and the Office of the State Comptroller s policies and procedures regarding grants. AMENDMENTS NOT AFFECTING FUNDING CHANGES If during the project, either United Way or a Grantee would like to request a change in the required services, deliverables, or timeline which do not affect funding changes, United Way or the Grantee may propose such changes to the other. The parties must mutually agree to such change(s) in writing. A written memorandum may be used to memorialize such changes; a formal grant amendment will not be required. PROGRAMMATIC BUDGET ADJUSTMENTS: If during the project, a Grantee would like to request a change from the original approved budget, thus changing deliverables, or timeline, the Grantee may propose such changes to United Way who may agree to implement such changes. This is done by completing a Budget Adjustment Request Form. This form is available through the online grant application. A completed and submitted online Budget Adjustment Request Form is required 30 days in advance of proposed changes and in any case where the original budget line is changed by more than 10%. United Way, in collaboration with EEC, reserves the right to approve or deny any proposed changes. QRIS PQIG-Rd2 2013 Page 22

APPENDIX C: TECHNICAL ASSISTANCE FOR GRANT APPLICANTS The 2013 QRIS Program Quality Improvement Grant Round Two is intended to offer funding to support programs to advance towards a higher level on the QRIS system, support programs/educators to engage in a process of continuous quality improvement, and enhance outcomes for all children in Massachusetts, especially those populations with high needs. The purpose of this appendix is to provide general technical assistance to applicants for the 2013 QRIS Program Quality Improvement Grant. Key Resources for programs and educators to have available as they review and reflect on their grant application include: A copy of their QRIS Summary of Application Profile from EEC s QPM (A printed copy of the summary page from the QPM) - Access the QPM QRIS Program Self Assessment at http://www.mass.gov/eec/qris QRIS Standards (EEC Website) Standard Documents at http://www.mass.gov/edu/birth-grade-12/early-education-and-care/qris/qris-resourcesfor-programs.html QRIS Resources for Programs (EEC Website) - http://www.mass.gov/edu/birth-grade- 12/early-education-and-care/qris/qris-resources-for-programs.html As you review the RFP and online grant application you are encouraged to thoughtfully reflect on the following questions. Does your current Program Improvement Plan align with the proposed purchases or expenditures in the grant application? Am I able to link the proposed purchase or expenditure with at least one QRIS standard area that will move the program towards the next level of the QRIS? Are all the proposed purchases and expenditures allowable? Did the application include detailed information in the narrative for the item, the cost, and the vendor (if applicable)? Will all goods and services purchased with grant funds be received, accepted, and ready for use on or before the grant deadline? Would I be able to document for an EEC Fiscal Audit that all requirements outlined in the Fund Use section have been met, including bids for items? QRIS PQIG-Rd2 2013 Page 23

Common reasons past grant applications received low scores and may not have been funded include: the grant application requested funding for items that were not allowable the grant application contained expenditures that began or ended outside of the grant period the grant application did not contain adequate narrative information about the requested purchase or expenditure, the cost of the items, and/or the vendors that would be used to make these purchases little or no alignment between the program improvement information detailed in the QPM Summary and proposed expenditures. Conclusion For this opportunity for QRIS Program Quality Grant Funding, please carefully review each of your proposed purchases and expenditures to ensure they reflect the items that will best support your program as it moves towards the next level of the QRIS. Questions regarding the QRIS should be directed toward your EPS grantee or the contact provided as specific grants are released. The EPS grantee contact information may be found on EEC s website at Educator and Provider Support Grant at http://www.mass.gov/edu/birth-grade-12/early-education-andcare/workforce-and-professional-development/educator-and-provider-support-eps-grant.html. Additional Questions Questions regarding the Program Quality Improvement Grant should be directed to the QRIS Team at United Way at QRIS@supportunitedway.org. Questions about the content of the QRIS standards and/or about using the online QRIS Program Manager (QPM) should refer to the documents located at http://www.mass.gov/eec/qris. Additional questions not answered in these documents should be addressed to EEC at: eechelpdesk@massmail.state.ma.us. QRIS PQIG-Rd2 2013 Page 24