Grant Application

OMB No: 0970-0207
Expires 4/30/2003

Grant Application to Continue a Head Start or Early Head Start Program
Administration for Children and Families
Department of Health and Human Services

I. General Instructions

A. Introduction

The Administration for Children and Families (ACF) will make annual grant awards for 12-month periods to Head Start and Early Head Start grantees on a three-year grant application cycle. Applicants must submit a full project description, a budget, and a budget narrative in the first year of each three-year grant cycle. Applicants shall submit an abbreviated project description, a budget and budget narrative in each of the subsequent two years. Separate budgets must be completed for Early Head Start grants and Head Start grants even if funds are to be awarded in a single grant document.

B. Due Dates for the Submission of Applications

Applications should be submitted to ACF no later than 90 days prior to the end of the grant period. An original application and two copies should be submitted to the responsible ACF Grants Officer.

C. Content of Applications

Applicants must submit the following seven items in continuation applications for each year of the grant cycle. The Project Description and the Budget and Budget Justification must be submitted in full in the first year and the Project Description may be abbreviated in subsequent years, in accordance with the attached instructions in Part II, below.

Computer-generated facsimiles may be substituted for any of the forms in this packet. To facilitate review and processing of the application, all pages should be numbered.

1. Standard Form (SF) 424: Application for Federal Assistance

A copy of this form is attached.

Regarding the box in the upper right corner, "Applicant Identifier," insert the applicant's grant number.

Regarding Item 9, insert "Administration for Children and Families/DHHS."

Regarding Item 10, the Federal Domestic Assistance Number for the Head Start and Early Head Start Programs is 93.600.

Regarding Item 11, in addition to the title of the project, applicants should specify whether the submission is for a first-, second-, or third-year continuation or an application for supplemental funds or a request for a grant amendment.

Regarding Item 16, this program is covered under Executive Order 12372, Intergovernmental Review of Federal Programs, and 45 CFR Part 100, Intergovernmental Review of Department of Health and Human Services Programs and Activities. Applicants in States and jurisdictions participating in the Executive Order process should contact their State Single Points of Contact (SPOC) as soon as possible to alert them to the prospective application and to receive any necessary instructions.

2. SF 424A, Budget Information - Non-Construction Programs

The SF 424A must be submitted for all funding requests.

In programs where there are delegate agencies, a separate must should be submitted for each delegate agency and a combined form should be submitted for the grantee with the total costs associated with delegate agencies included in the Contractual Object Class Category, Section B., line 6f.

In Section B, Budget Categories, applicants should enter proposed budget amounts for Training and Technical Assistance funds in a column separate from the column for funds for program operations.

Federal program costs should be placed in the Object Class Categories in Section B, in accordance with Part III, Instructions for the Program Approach Form and the Line-item Budget.

In Section C, Non-Federal Resources, applicants should enter the amount of non-Federal Resources, including cash and in-kind contributions, that will be used to support the project.

Section D, Forecasted Cash Needs, and Section E, Budget Estimates of Federal Funds Needed for Balance of the Project, should be left blank.

Explanations and justifications of the amounts proposed in the SF 424A must be provided in Section A.3 of the Project Description, Budget and Budge Narrative Statement.

3. Program Approach Form and Line Item Budget Form for Head Start and Early Head Start

These forms are provided to help standardize the presentation of this information and to provide ease in presenting it. Applicants must complete these forms in accordance with Part III., Instructions for the Program Approach Form and Line-Item Budget for Head Start and Early Head Start.

In programs where there are delegate agencies, a separate Program Approach Form must be submitted for the grantee and for each delegate agency. A separate form must be submitted for Early Head Start and Head Start.

Applicants also must fill out the Program Approach and Line-Item Budget Forms for Head Start and Early Head Start as part of their grant applications. Separate forms must be submitted for Early Head Start and Head Start. Where programs are delegate, separate Program Approach Forms and Line Item Budget Forms must be completed for each delegate agency.

4. Project Description and Budget Justification

Applicants must submit a Project Description based upon Part II, Instructions for Completion of a Full and Abbreviated Project Description, Budget and Budget Justification for all Head Start or Early Head Start Grant Applications.

5. Policy Council Approval

Applicants must attach documentation of Policy Council approval of the application.

6. Indirect Cost Negotiated Agreement

Applicants must submit a copy of the most recent indirect cost agreement, if applicable, negotiated between the grantee or delegate agencies and the Department of Health and Human Services, Division of Cost Allocation, or other cognizant Federal agency.

7. Certifications, Disclosures, and Assurances

Applicants must sign and submit the attached Compendium of Required Certifications and Assurances, which includes: SF 424B Assurances - Non-Construction Programs; Drug-Free Workplace Requirements - Grantees Other than Individuals; Certification Regarding Environmental Tobacco Smoke; Certification Regarding Debarment, Suspension, and Other Responsibility Matters; Certification Regarding Lobbying, Certification For Contracts, Grants, Loans, and Cooperative Agreements. The compendium must be signed by a designated official of the governing body of the grantee agency.

II. General Instructions for Completion of a Full and Abbreviated Project Description, Budget and Budget Justification

All applicants must submit a Project Description, Budget, and Budget Justification based upon the following instructions:

Section A: All continuing applications. Applicants submitting applications for the first year of a three-year cycle should respond to the "Full Project Description" instructions, Applicants submitting applications for the second and third year of a three-year cycle should respond to the "Abbreviated Project Description" instructions.

Section B: Applicants requesting supplemental funds.

Section C: Applicants requesting grant amendments.

Project Descriptions should be concise and complete, but not unnecessarily lengthy.

A. CONTINUATION APPLICATION

1. Objectives, Need for Assistance, and Geographic Area

Full Project Description

Objectives and Need for Assistance : Applicants must submit a summary of significant findings from the most recent Community Assessment. Included should be a summary of each of the six categories of information required by the Head Start regulation on Eligibility, Recruitment, Selection, Enrollment and Attendance in Head Start, 45 CFR 1305.3(b):

The demographic make-up of Head Start eligible children, including number, location, and ethnic and racial composition.
Other child development programs serving Head Start eligible children.
The estimated number of children with disabilities.
Data regarding the education, health, nutrition and social service needs of Head Start eligible children.
The education, health, nutrition and social services needs of Head Start eligible children, as defined by their families and community institutions.
Resources available in the community.

Applicants should explain how the findings of the Community Assessment were used to help reach decisions in the six areas listed in 45 CFR 1305.3(c):

Determine the program's philosophy and long-range and short-range program objective.
Determine the type of services and program option or options to be provided.
Determine the recruitment area of the program.
If applicable, determine the recruitment areas of delegate agencies.
Determine the locations of centers and home-based programs.
Set the criteria that define the types of children and families that will be given priority for recruitment and selection.

Geographic Area: Applicants must identify their proposed service area and define it by county or sub-county areas, such as a municipality, town or census tract, or a Federally recognized Indian reservation. Maps or other graphic aids may be attached.

Abbreviated Project Description

Objectives, Need for Assistance and Geographic Area: Applicants must provide a summary of any significant changes in the information in the Community Assessment determined during the annual review of the Community Assessment including changes in the service area. The applicant must describe any proposed changes in the program that have resulted from a reconsideration of the decisions described in the six areas listed in 45 CFR 1305.3(c).

If there are no major changes, this should be stated in the application. No additional information is necessary.

2. Program Approach and Results or Benefits Expected
Full Project Description

Program Approach : Applicants must provide information regarding both their program's long range goals and the objectives to be accomplished during the three-year period. Goals and objectives must relate to the findings of the Community Assessment, be consistent with the philosophy of Head Start, and reflect the findings of the program's annual self-assessment.

Applicants must fill out the Program Approach Form, explained below in Section II, which specifies the kinds of Head Start services which will be provided.

Applicants must describe how they are going to deliver high quality services to children and families in all areas of service and program management defined by the Head Start Program Performance Standards (45 CFR Part 1304) and the Head Start Program Performance Standards on Services to Children with Disabilities (45 CFR Part 1308). Applicants must discuss how they plan to provide Early Childhood Development and Health Services, build Family and Community Partnerships and ensure effective Program Design and Management. Applicants must explain how their approach is linked to findings of the Community Assessment and the program's long-term and short term goals. Full written plans for implementing services should not be submitted.

Applicants must provide information on progress made in meeting program requirements and plans for improving the management and delivery of services. Specific needs for improvement identified through self-assessments, monitoring reports, cost analysis data, Program Information Report data, audits, fiscal reports and correspondence from the Regional Office should be discussed.

Results or Benefit Expected: Applicants must provide a brief summary of the results and benefits which are expected in meeting the goals and objectives of the program during the following three-year period.

Abbreviated Project Description

Program Approach : Applicants must provide information regarding changes to the local long?range goals and shorter term program objectives to be accomplished during the three?year cycle. If there are no changes to the program goals and objectives, this should be stated in the application. No additional information is required.

If major changes from the previous year's program are proposed, applicants must submit information to explain and justify the proposed changes. Major changes are the addition or discontinuance of a program option, addition or discontinuance of a delegate agency, reductions in total funded enrollment, and changes in the structure of Head Start/Early Head Start coordinating/management staff positions. If no major changes are being proposed, this should be stated in the application. No additional information is required.

Results or Benefit Expected: Applicants must provide a summary of results and benefits which have been realized in meeting the goals and objectives of their program in implementing major activities established for the previous program year.

3. Budget and Budget Justification

Full Project Description

Applicants should complete the Line-Item Budget for Head Start and Early Head Start which provides detail for each object class on the SF 424A. Applicants also must provide a narrative budget justification which that explains the necessity, reasonableness, and allocability of proposed costs. The budget justification should relate the proposed budget to the activities indicated in the Program Narrative.

Applicants must provide itemized lists of equipment purchases and contracts and a brief explanation of travel costs and of non-Federal resources used to meet the non-Federal match requirement. The budget narrative discussion should make reference to these lists, and should provide narrative discussion of any items that merit further explanation.

Applicants also should explain and justify any proposed renovations or construction, and any "other" direct costs (in object class (h) of the Line-Item Budget). The budget narrative should explain any situation or special programming that makes the data on the Program Approach Form and Line-Item Budget unusual.

Information must be provided regarding the source and amount of cash and other resources that will be used to support the project in addition to the Federal funds requested and the required non-Federal match. In instances where the Head Start program delivers services in cooperation with other child development and child care programs, such as State-funded preschool or child care, applicants should describe how coordination will be managed from a budgetary perspective, addressing such areas as shared staff, facilities, and equipment.

Abbreviated Project Description

Applicants must submit the Line-Item Budget for Head Start and Early Head Start and a budget justification annually.

B. APPLICATION FOR SUPPLEMENTAL FUNDS

For supplemental assistance requests, applicants must explain the reason for the request and justify the need for additional funding. Applicants must indicate whether the request is for a permanent funding increase or if the request is for one-time funds. An SF 424 and 424A form, including evidence of Policy Council approval of the request, also must be submitted. The budget and budget justification should include only those items for which additional funds are requested.

C. APPLICATION FOR GRANT AMENDMENT

Applicants wanting to make a major program change within the course of a grant year with no significant increase or decrease in funding must make a request for a grant amendment and secure written approval from the appropriate ACF grant office prior to making the change. Major changes include but are not limited to discontinuance of a delegate agency, reductions in total funded enrollment, and changes in the structure of Head Start/Early Head Start management staff positions.

Except for changes requiring prior approval, grantees do not need to submit grant amendments when transferring funds between and among the object class categories within the total approved budget of the project, provided funds are used for allowable program costs.

III. Instructions for the Program Approach Form and the Line-Item Budget for Head Start and Early Head Start

Grantees with delegate agencies should submit a separate Program Approach Form and a separate Line-Item Budget for each delegate agency and for the grantee agency. Grantees should enter their official grant number and, if appropriate, the official delegate identification number on each page of the Program Design and Line-Item Budget forms

The Program Approach Form for Head Start and Early Head Start consists of two parts; a Summary of Program Design and a Program Schedule, and is self-explanatory.

For the Line-Item Budget for Head Start and Early Head Start, the line items (or rows) are organized into the same budget categories as in the Object Class Categories in Section B of the SF 424A:

(a) Personnel (b) Fringe Benefits (c) Travel (d) Equipment (e) Supplies (f) Contractual (g) Construction (h) Other (i) Total Direct Charges and (j) Indirect Charges.

Note that on the SF 424A submitted for the grantee's entire program, the costs associated with delegate agencies are to be included in the Contractual Object Class Category.

On the Line-Budget form:

Enter the budgeted HS/EHS costs for program operations in the first column
Enter the budgeted HS/EHS costs for Training and Technical Assistance (known as Program Account 20) in the second column.
Enter the value of all budgeted non?Federal contributions (cash and in-kind contributions, including volunteers) in the third column.
Identify the number of staff proposed for personnel line items.

The sum of all grantee and delegate agency costs reported in these columns must equal the amounts specified in SF 424A of the grant application.

THE PAPERWORK REDUCTION ACT OF 1995 (Public Law 104-13)

Public reporting burden for this collection of information is estimated to average 33 hours per response, including the time for reviewing instructions, gathering and maintaining the data needed and reviewing the collection information. The project description is approved under the Office of Management and Budget (OMB) control number 0970-0207 which expires 4/30/2003.

An agency may not conduct or sponsor, and a person is not required to respond to, a collection of information unless it displays a currently valid OMB control number.