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HEAD START PROGRAM PLAN DUE: MAY 30, 2012

State of MinnesotaHead Start Program Plan

INTRODUCTION

1. Background Pursuant to Minnesota Statutes, section 119A.535, Head Start organizations must submit a plan to the department for approval. Program Plans are required to be submitted annually by Head Start programs to the commissioner of the Minnesota Department of Education (MDE). An approved and current plan must be on file with MDE in order for a Head Start program to receive state appropriated funds for the 2013 fiscal year.

CONTENTS OF FUNDING APPLICATION PACKET1. Cover Page and General Application Instructions (Microsoft Word document)2. Part A (Microsoft Word document)3. Part B (Microsoft Excel document)

APPLICATION DUE DATESTo ensure approval of funding and operations starting July 1, 2012, completed application materials must be received by the following due dates:

No later than Wednesday, May 30, 2012, the completed but unsigned Word and Excel documents or files must be emailed to Mike Brown at mike.p.brown@state.mn.us. PDF versions will not be accepted.

No later than Friday, June 8, 2012, MDE must receive two copies of the completed application, both with original signatures. An authorized signature is required on three different pages of the application. Copied signatures will not be accepted. The two completed and signed applications and one set of required attachments should be addressed to:

Lisa Boemer, Head Start Grant AdministratorMinnesota Department of Education1500 Highway 36 WestRoseville, Minnesota 55113

Documentation of approvals by the Parent Policy Council and the Agency Governing Board may be provided after these dates. This will not delay approval of funding. However, an initial payment will not be issued until the governing body approvals are received.

If you have any questions, please contact Mike Brown (mike.p.brown@state.mn.us; 651-582-8399).

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GENERAL APPLICATION INSTRUCTIONS

The program plan is used to inform MDE how a local agency proposes to use its state funding allocation and to provide other information as required by statutes and MDE. Most sections request information about the entire Head Start program regardless of funding source while a few sections are limited to state-funded activities.

The program plan is provided in two parts or documents. Save each document to a storage drive and, at the beginning of the document name or file name, insert a concise version of the agency name (e.g. AEOA SFY12 HS PP Part A).

Part A is a Word document with sections 1 through 6 primarily for narrative information. This includes the cover page, assurances, narrative and, if needed, the variation proposal. Most items in this part will automatically expand to allow longer responses, if needed. Each section should start at the top of a page. Please do not alter the design of the document. Text can be copied and pasted from other documents but do not copy pages or formatted sections.

Part B is an Excel document with sections 1 through 6 including program design and budget information. Each section can be selected using the labeled tab at the bottom of the worksheet. The cells shaded in yellow are protected or locked and will automatically calculate totals and other information as the result of entries in the white or unshaded cells. As needed, additional rows or columns can be inserted. The row height may need to be adjusted for longer entries in cells.

Plans which are complete will be reviewed in the order that they are received. Any omissions or errors in the plan forms will delay review and approval of the program plan and could delay the availability of SFY 2013 Head Start funds. MDE will communicate with the Head Start Director for corrections and clarifications related to the program plan.

SFY 2013 HEAD START ALLOCATION CHART

The provided chart displays the amount of state funds each Head Start agency is eligible to receive in the fiscal year starting July 1, 2012. This amount is based on the distribution formula specified in Minnesota Statutes 119A.52(a). To calculate each agency’s share of the state appropriation, current funded enrollment numbers and funding based on the approved federal operating budget were obtained from federal Head Start officials and the number of children in poverty under age five by program service area was obtained from census data. Federal funding amounts do not include temporary funds or other one-time funding.

The chart also includes each agency’s federal per child rate(s) based on the federal base grant and training and technical assistance (T&TA) funds. This rate is used to determine the number of children each agency is minimally required to serve with state funds.

ALLOWABLE USE OF THE STATE ALLOCATION

An agency may use its funding allocation to do one or more of the following:a. Add enrollment to its existing federal program design,b. Request approval to provide Early Head Start (EHS) services in full compliance with federal

requirements even though the agency is not currently authorized to use federal funds for EHS,

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c. Request approval for an innovative variation or initiative which requires a waiver from one or more federal Head Start requirements and/or an exemption from maintaining full enrollment to target a high-risk population.

Programs are encouraged to develop program variations or innovative initiatives to meet the needs of hard-to-serve eligible populations. Except in the case of a state-approved waiver and alternative, Minnesota Statutes 119A.53 mandates that state-funded services comply with all federal regulations and operate in a manner consistent with the federal-funded services including eligibility for enrollment.

Any proposed program model(s) including a program variation must be funded at a rate consistent with or less than the agency’s federal per child rate for HS or EHS as applicable. A program that is not currently authorized to use federal funds for Early Head Start (EHS) is allowed to use the average federal EHS rate within Minnesota to provide state-funded EHS services. How the agency chooses to distribute its allocation between HS and EHS will determine the total required enrollment.

If a program is unable to serve the minimum funded enrollment required by the full allocation, please contact MDE as soon as possible so funding can be reduced proportionately and redistributed to eligible programs.

SECTION-BY-SECTION INSTRUCTIONS

Part A

Sections 1 through 6 are contained in the Word document. Most items in this part will automatically expand to allow longer responses, if needed. Each section should start at the top of a page.

Section 1: Applicant Information

Provide the complete legal name of the agency which is eligible to receive the allocated funds. Complete other general contact information and identification for the agency.

Identify the names and contact information for the Executive Director, Head Start Director and Fiscal Contact.

Please identify the individual authorized to sign legal financial reports. This person must also sign the Certification of the State Budget Plan and Projected Monthly Expenditures in Part B, Section 6.

Section 2: State Funding Information

Funding Period: State funds are available for expenditure starting on July 1, 2012, or the date when the funding application receives final signatures of MDE approval, whichever occurs later. Expenditures are available through June 30, 2013, and cannot be carried forward beyond that date.

State Head Start Funding Total: Enter the funding amount being requested which cannot exceed the provided allocation and must match the totals identified in the Program Funding and Enrollment Summary (Part B, Section 1), the State Budget Plan (Part B, Section 4) and the Projected Monthly Expenditures (Part B, Section 5).

State Funded Enrollment Total: Enter the proposed state-funded enrollment total which is based on the federal per child rate(s) and matches the totals in the Program Funding and Enrollment Summary (Part B, Section 1), the Program Design Locations (Part B, Section 2) and the Program Design Schedules (Part B, Section 3).

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Section 3: Application Certification

Required Attachments: A checklist is provided to indicate the required documents that are included with the application. For the Parent Policy Council and Agency Governing Board approvals, provide signed documentation which indicates that each representative group reviewed and approved the proposed use of state funds as required by Head Start regulations. MDE will not release payment of the advance funds until documentation of governing body approvals is received.

Signature of Identified Official with Authority to Sign: The completed application must be signed and dated by an individual authorized by the agency’s governing board to represent the agency and file the application for funding. This individual certifies that the contents of the application are complete and accurate.

Section 4: Assurances

Starting in this section, enter a concise version of the agency name at the beginning of each section.

This section lists the legal obligations of the agency/program in accepting the state Head Start funds. Please carefully read all the provisions and the potential consequences for failure to comply. The individual certifying the application must also be the same person signing at the end of this section.

Section 5: Narrative

Answer all questions in this section. Minnesota Statutes 119A.535 requires each Head Start agency to have “a program design that ensures fair and equitable access to Head Start services for all populations and parts of the service area” and “a plan for providing Head Start services in conjunction with full-day child care programs to minimize child transitions, increase program intensity and duration, and improve child and family outcomes.”

Section 6: Proposal for State-Only Early Head Start or Innovative Initiative

Complete this form if proposing to use State Head Start funds in a manner other than adding enrollment to the program’s existing federal program design, even if proposing to continue a previously approved variation.

EHS: Check this if proposing the use of State funds to provide Early Head Start services without being approved to use federal funds for this purpose.

Innovative Initiative #: If proposing a variation which requires a waiver from any federal requirement, indicate the number of the proposal consistent with information in the Program Funding and Enrollment Summary (Part B, Section 1), the Program Design Schedules (Part B, Section 3) and the State Budget Plan (Part B, Section 4). This option applies to EHS only if proposing that services will NOT operate full-year or otherwise NOT be in full compliance with federal EHS requirements.

Initiative Name: If proposing an “Innovative Initiative”, provide a brief descriptive name which will also be used to identify the variation in the Program Funding and Enrollment Summary (Part B, Section 1).

Statement of Need: All proposals must respond to this item.

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Proposed Services and Evaluation: All proposals must respond to this item.

Requests for Exemption: If requesting a waiver or exemption, please explain in the space provided why the specific exemption is necessary in order to meet the stated needs. If requesting an exemption from a federal requirement, use the spaces provided to identify the specific regulation number and an alternative method to meet the intent of the regulation.

Part B

Sections 1 through 6 are contained in the Excel document or file. Each section can be selected using the labeled tab at the bottom of the worksheet. The cells shaded in tan are protected or locked and will automatically calculate totals and other information as the result of entries in the white or unshaded cells. As needed, additional rows or columns can be inserted. The row height may need to be adjusted for longer entries in cells.

Section 1: Program Funding and Enrollment Summary

Select the tab labeled “1. Summary.” This page identifies program funding and funded enrollment for all Head Start services including federal, state and other non-federal sources.

Federal Funding 1. Enter the month (e.g. November) when the agency’s federal HS/EHS annual award or funding

year starts.2. Enter the total annual budget amount for federal Head Start and/or Early Head Start including

base and training and technical assistance (T&TA) funding. Do not include any one-time funding, including ARRA.

3. Enter the funded enrollment for federal Head Start and/or Early Head Start. The federal per child rate will be automatically calculated.

State Head Start FundingEnter the budget amount and the funded enrollment number by age group for each proposed program model to be funded with the state Head Start allocation. 1. If using state funds to add enrollment to the federally approved program design for Regular

Head Start and/or Early Head Start, record the applicable information on the row with that label. 2. If proposing the use of state funds to provide Early Head Start services without the approved

use of federal funds for this purpose:a. Use the Early Head Start row if proposed services will be full-year and in full compliance

with federal EHS requirements.b. Use the Innovative Variation #1 row and label it Early Head Start if the proposed services

will NOT be full-year or otherwise NOT be in full compliance with all federal EHS requirements.

3. If proposing any other Innovative Services Variation, including a request to waive at least one federal or state requirement, use the first available Innovative Variation row and provide a brief descriptive name.

If choosing 2a, 2b or 3, you must complete Part A, Section 6: Proposal for State-Only Early Head Start or Innovative Initiative.The budget amount for each program model must match the total for each model in the State Program Budget (Part B, Section 4). The funding and enrollment totals will be automatically calculated and must match the totals for these items in other sections.

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Per Child Rate and Minimum Funded Enrollment (FE): For each program model, the per child rate will be automatically calculated. For Regular Head Start and Early Head Start, the minimum state funded enrollment required will also be calculated at the end of the row. The entered funded enrollment must be equal to or more than this minimum number.

Additional Non-Federal Funded Enrollment: Enter the total annual budget amount and funded enrollment for Head Start and/or EHS services made possible with other non-federal funding. Indicate the funded enrollment for each source and age category. This enrollment is normally reported on the PIR.

Total from All Sources: Funding and enrollment totals will be automatically calculated.

State Funds used as non-federal share for federal HS/EHS award: Identify the amount of state funds and, if applicable, the corresponding enrollment that has been committed to help meet the non-federal share requirement for federal HS/EHS funds.

Section 2: Program Design SchedulesSelect the tab labeled “2. Schedules.” Identify all program schedules from all sources – what state, federal or other non-federal HS/EHS funding pays for in full or in part.

Record only one number or answer for each applicable item in a column. In each row where an answer is expected to be other than a number, choices are indicated within the parentheses following the item’s label. An explanation of the choices for “Funding” and “Program Option” are provided in the instructions for Program Design Locations (Part B, Section 3).

Program schedules must comply with minimum federal requirements unless MDE has approved a waiver as part of a state-funded Innovative Variation. Identify any proposed Innovative Variation with a number which corresponds to the variation identified in Part A, Section 6; Part B, Sections 1 and 4.

Use separate columns for differences in items such as funding, age group, hours per day, days per year, etc. Schedules which are the same at different locations should be combined in one column.

Number the columns for schedules in order. If there are more than ten (10) schedules, add more columns by selecting a cell in the last column before the totals and insert columns as needed. As a result, it will likely print on more than one page.

The total enrollment of all program schedules must equal the total identified in the Program Funding and Enrollment Summary (Part B, Section 1) and the combined total in the Program Design Locations (Part B, Section 3). The total number of classes and groups must also equal the total in the Program Design Locations.

Program Option: Identify the program option which corresponds with the program schedule number. Use the following abbreviations as appropriate:

CB: center-based optionHB: home-based optionCombo: combination optionFCC: family child careCCC: child care center

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Section 3: Program Design Locations

Select the tab labeled “3. Locations.” Identify all locations for Head Start and Early Head Start enrollment from all sources (state, federal and other non-federal funding). If more than one program schedule (program option, hours per day, days per week, days per

year) operates at that location, use a separate row for each schedule. Group all program schedules for a location in succession.

If there are significant distinctions in how schedules and options are funded, use a separate row for each funding choice. Again, group all rows for a location in succession.

If additional rows are needed, select a cell in any row except the first one and insert additional rows as needed.

Location Name: Identify the location of the center, partnership, home-base area, etc., by the name commonly known in the community. If the community name is not included in the location name, please add this after the location name.

County: Enter the name of the county where the location (classrooms or home-base office) is situated.

Service Area: Identify each school district or portion of each school district (ex.: eastern half of Monroe ISD) where an eligible family can reside and be served by this specific location, schedule, etc. Please use the school district name instead of or in addition to the school district number. The geographic area should be unique to that row unless the service areas of two program schedules or locations overlap.

Program Schedule Number: Identify the number of the schedule corresponding with one column in the Program Design Schedules (Part B, Section 2). This indicates the number of class hours and days and the number of home visits which in combination are unique to that schedule. Different locations which have identical program schedules and the same age group and funding should be identified with the same schedule number.

Start Date and End Date: For each location, option and schedule, identify the date when classes or home-based option home visits will begin (usually a date in August or September) and the date when they will end. Full-year services should identify a date when significant turnover usually occurs. Identify the month and the day of the month but not the year (e.g. a start date of September 13 should be entered as 09/13).

Number of Classes/Groups: Enter the number of class groups or home-base groups for this location and schedule. One home visitor’s caseload counts as one home-base group. One double-session classroom counts as two classes. A family child care home counts as one group (Example A, below). A partnership with a child care center should count one class or group for each classroom where Head Start enrollment is served (Example C, below). The total number of classes/groups must equal the total number of classes/groups in the Program Design Schedules (Part B, Section 2).

EHS (0-2) and Reg.HS (3-4) Funded Enr.: Enter the number of enrollment slots assigned by age group to each location, schedule and/or funding. Do not identify the capacity if this exceeds the funded enrollment. The total for each age group must equal the totals identified in the Program Funding and Enrollment Summary (Part B, Section 1). The combined total must equal the total in the Program Design Schedules (Part B, Section 2).

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Partner Name: Enter the name of the organization and program in this column. If uncertain whether to identify the partner or how, please contact MDE. See the partnership examples below.

Figure 1: Partnership Examples: The first three are examples of child care partnerships to provide full-day services; the last three are examples of partnerships with school-based programs.

Example A (row 1) is a family child care home where three HS/EHS children are among those served.

Example B (row 2) is a child care center where there is a part-day Head Start classroom with wrap-around care for those who need it.

Example C (row 3) is a child care center where HS children are among those who receive full-day services in two classrooms.

Example D (row 4) is a school-based classroom which meets two or three days per week and enrollment includes nine HS children and others enrolled in School Readiness and/or Early Childhood Family Education.

Example E (row 5) is an ECSE classroom where five of the served children are Head Start enrolled.

Example F (row 6) is a school-based family literacy program where 16 children are dually enrolled in Head Start and ECFE.

Section 4: State Budget Plan

Select the tab labeled “4. Budget.” For the fiscal year, provide a separate, detailed budget for each state-funded program model identified. Follow the instructions and examples provided.

Identify line items in the appropriate categories. The space provided for justification and calculations must include adequate explanation for how the projected cost was determined. Provide calculations for personnel costs, other larger cost items and items based on a unit rate such as contracts, mileage and facility costs.

For each line item, enter the total program cost (all sources) and state-funded cost(s). The form will automatically calculate the state portion of the total program cost.

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If additional rows are needed, select a cell in any row except the first one and insert additional rows as needed. The row height may need to be adjusted for longer entries in cells.

The total for each model or variation must match the total in the Program Funding and Enrollment Summary (Part B, Section 1). The state Head Start Funding total must match the total in Part A, Section 2 and Part B, Section 1.

Please note that use of state funds for out-of-state travel and purchase of equipment requires specific prior approval. Provide as much explanation as possible for these items. Proposed equipment with a cost of at least $5,000 and a useful life of at least one year requires three bids before proceeding with the purchase. Use the space provided at the end of Part A, Section 5: Narrative to provide additional explanation as needed including budget changes from the prior funding application.

Section 5: Projected Monthly Expenditure of State Head Start Funds

Select the tab labeled “5. Projected Costs & 6. Cert”. For each month through the fiscal year, estimate the funds required for the state’s share of costs for Head Start/EHS services and operations. Financial reports which vary significantly from these projections will require explanation and may delay payment. Indicate the intended cycle or time periods for submitting financial reports.

Section 6: Certification of State Budget Plan and Projected Expenditures

The identified individual with authority to sign financial reporting forms (from Part A, Section 1) must sign to certify involvement in the preparation of the budget plan.

Questions

All questions related to the SFY 2013 State Head Start Program Plan should be directed to:Mike Brownmike.p.brown@state.mn.us651-582-8399

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