FY 2007 UPK RFR
Massachusetts
Department of Early Education and Care
Universal Pre-Kindergarten (UPK) Pilot Program
Classroom Quality Grants
Request for Response (RFR)
January 16, 2007
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amended 1/19/07
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FY 2007 UPK RFR
PART I – OVERVIEW, PURPOSE, TIMELINE, ELIGIBILITY, FUNDING, CONTACT
INFORMATION, SUBMISSION INSTRUCTIONS
Background:
Early Education and Child Care services for preschool aged children in Massachusetts
are currently delivered through a mixed delivery system which includes child care
centers, family child care homes, public preschool programs, and Head Start programs.
EEC is responsible for licensing early education and child care programs throughout
Massachusetts and for providing financial assistance to low-income families for child
care services, in addition to information and referral services, inclusive programming
for children with special needs, parenting support, and professional development
opportunities for staff in the early education and care field. These efforts affect
thousands of early education and care providers, who serve more than 140,000
preschool aged children. In addition, in its broadest role, EEC serves as a source of
child care information to over 500,000 families in Massachusetts with young children.
Chapter 139 of the Acts of 2006, Item 3000-5075 provides $4.6 million in new funding
to EEC for pilot implementation grants to provide preschool programs and services to
children from the age of 2 years and 9 months until they are kindergarten eligible in the
community in which they live, through a mixed service delivery system, including
cities, towns, regional school districts, educational collaboratives, Head Start
programs, and licensed child care providers. EEC has developed this Request for
Response (RFR) for these pilot implementation grants for Universal Pre-Kindergarten
(UPK) services. In preparation for this RFR, EEC issued a Request for Information
(RFI) in November of 2006 to survey providers about their preschool programming.
This information was used to analyze the administration and delivery of UPK services,
to help identify the characteristics of high quality preschool programs and to determine
ways to ensure that UPK services meet the needs of working families. The RFI was
purely for informational purposes. Providers who did not respond to the RFI may still
apply for this grant.
There are two types of grants available during this UPK Program Pilot Year: 1) UPK
Classroom Quality Grants, as described in this RFR; and 2) UPK Assessment
Planning Grants, which will be available to programs that meet all of the UPK
Quality Criteria (see Eligibility section of this RFR), with the exception of the use of
one of the four EEC approved assessment tools. The purpose of the UPK Assessment
Planning RFR is to support programs in meeting the UPK criteria so that they will be
positioned to participate in the UPK Program in subsequent years. The UPK
Assessment Planning RFR will be posted on the EEC website and on Comm-PASS
on Tuesday, January 23, 2007.
Purpose:
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The purpose of the UPK Pilot Program is to:
 promote school readiness and positive outcomes for children participating in UPK
Pilot Classrooms;
 define measurable quality program characteristics that lead to school readiness;
 support and enhance the quality of services for all children in qualifying
classrooms and especially for children at-risk of school failure and/or poor
developmental outcomes;
 maximize parent choice by ensuring participation from all program types within a
mixed public and private service delivery system;
 support program’s use of child assessment systems/tools to effectively measure
children’s progress across all developmental domains and improve program
quality;
 identify the scope of data collection and technology needs at the program and
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FY 2007 UPK RFR
Timeline for RFR
Process:
Grant Eligibility:
system level to inform the development of a state-wide system of child assessment;
and
 inform the longer-term implementation of a program of universally accessible,
high-quality early childhood education.
RFR posted on Comm-PASS and EEC website:
1/16/2007
Submission of written questions - due date:
1/23/2007
Response to written questions posted on EEC website: 1/30/2007
RFR due:
2/9/2007
Evaluation of responses:
2/10- 3/8/2007
Awards posted week of: (estimated)
3/9/2007
Eligible applicants may include:
 Licensed center-based programs;
 Licensed independent family child care programs;
 Licensed family child care system affiliated programs (family child care
Systems must apply on behalf of all eligible providers wishing to participate);
 Public school preschool programs;
 Head Start programs; and
 Licensed-exempt programs, including private schools.
All grant applicants must be serving preschool aged children (age 2 years 9 months to
Kindergarten eligible in the community in which they live).
UPK Pilot Program – Classroom Quality Grants
Required Criteria
Eligible classrooms must meet all of the following criteria. If a program has multiple
classrooms, funding is available only to those classrooms within the program that meet
all of these criteria:
1. Serve or be willing to serve EEC subsidized children;
2. Provide or be willing to provide access to full-day, full-year services for
working families;
3. Provide a minimum number of hours of a developmentally appropriate
program as evidenced by:
a. Use of Guidelines for Preschool Learning Experiences;
b. Use of one of four EEC approved assessment tools, since January
2006:
 Work Sampling,
 High Scope Child Observation Record (COR),
 Creative Curriculum Developmental Continuum, or
 Ages and Stages;
c. Having access to a qualified professional to ensure appropriate
administration of developmentally appropriate program.
4. Meet two out of three additional quality criteria:
a. Be EEC Licensed* or License-Exempt;
b. Have a teacher/provider with a bachelor’s degree (BA/BS) in any
subject along with specialized training in early childhood education for
each EEC qualifying classroom/family child care home;
c. Have National Association for the Education of Young Children
(NAEYC) accreditation for group child care programs OR have a
Child Development Associate (CDA) credential or National
Association for Family Child Care (NAFCC) accreditation for family
child care.
*Please note: Licensed programs must have a license which is in good standing.
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FY 2007 UPK RFR
Funding:
A total of up to $2.8 million in funding is available in FY 2007 for grants to qualifying
UPK classrooms, a portion of which will be one-time funding not continuing into FY
2008, and a portion of which will be funded on a six-month basis from January-June
2007. Subject to appropriation, a total of $4.6M will be available in FY 2008 for fullyear continuation grants to qualifying programs/classrooms.
Awards will be made directly to programs based on the number of classrooms meeting
the UPK quality criteria. Award amounts will be based on a combination of total
classroom enrollment and the number of subsidized pre-school aged children served.
Qualifying programs will also receive a portion of the FY 2007 funds for one-time
“start-up” expenses associated with the implementation of UPK at the program or
classroom level. The proposed funding formula is anticipated to be as follows:
Total
Classroom
Enrollment
X
$500
(A)
+
Total
Classroom
Subsidized
Enrollment*
X
$1,500
(B)
+
One-Time
Start-Up
Funds
=
Total UPK
Classroom
Quality
Grant**
X
20% of (A+B)
(C)
(A+B+C)
*For the purposes of this RFR, award level calculations will be based on the following
definitions of "subsidized enrollment:”
 EEC subsidized children (Community Partnerships for Children (CPC), contract,
voucher)
 Head Start funded children
 For public school programs only, classroom-based enrollment multiplied by a factor of
the school's participation rate in the federal free/reduced lunch program.
EEC is also collecting information through this RFR about children whose enrollment is
funded by private scholarships. If private scholarship eligibility is equivalent to EEC
income eligibility, these children may also be included in award level calculations.
**Classroom grants will be prorated depending on the total number of hours the qualifying
classroom meets all UPK quality criteria.
Priority for selection of grantees will be given to programs with the highest
concentration of subsidized enrollment, as defined above.
For the purposes of ensuring adequate geographic and program type representation,
EEC reserves the right to do the following:

to modify the priority criteria for selection of actual grantees;

to limit the number of classrooms for which a given applicant may receive quality
grants; and

to modify the above funding formula.
Use of Funds:
UPK Classroom Quality Grants (A+B from formula above) may be used to*:


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increase teacher salaries;
enhance program’s ability to interpret and use assessment data to improve
program quality;
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FY 2007 UPK RFR





purchase hardware, software, or training to fully implement the electronic
component of the assessment tool currently in use;
enhance developmentally appropriate practice;
provide staff professional development opportunities;
incorporate comprehensive services into the program needed to meet
children’s social-emotional or physical health needs; and
provide or facilitate access to wrap-around services for working families.
First Year Start-Up Funds (“C” from formula above) may be used to:
 upgrade technology systems to enable electronic collection and submission of
assessment data including the purchasing of hardware associated with one of
the four EEC approved assessment tools;
 provide one-time training for staff or program administrators in administering
child assessments associated with one of the four EEC approved assessment
tools; and
 improve classroom materials or purchase program supplies/equipment needed
to support the delivery of UPK quality level services.
*Continuation funding for UPK Classroom Quality Grants in FY 2008 is subject to state budget
appropriations and budget language.
Please Note: If recipients do not currently have the capacity to submit assessment data
electronically to EEC in required form, funds must be used for that purpose first.
Grant Duration:
Grant funding will be awarded upon approval through June 30, 2007.
Contact:
Nicole Yacovone
Nicole.Yacovone@massmail.state.ma.us or 617-988-7822
Written Questions
and Answers:
Written questions may be submitted to EEC by January, 23, 2007 to:
eecgrants@massmail.state.ma.us (please put “UPK RFR Questions” in the subject
heading of the email)
or
Massachusetts Department of Early Education and Care
51 Sleeper Street, 4th Floor
Boston, MA 02210
Attn: UPK RFR Questions
EEC will post responses to questions by January 30, 2007 on the website at
www.eec.state.ma.us and on Comm-PASS.
RFR Due
Date
February 9, 2007
Required Forms:
Part II: UPK Classroom Quality Grant Questionnaire
Part III: UPK Classroom Quality Grant Criteria Documentation
Part IV: Fiscal Documentation
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amended 1/19/07
Proposals must be received at the Department of Early Education and Care by
4:30pm on the due date. Proposals mailed, but not received by the date and time
specified, will not be reviewed.
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FY 2007 UPK RFR
Other
Requirements
Once grantees are selected and actual grant amounts determined, grantees will be
required to submit a detailed budget page supplied by EEC, which must be reviewed
and approved by EEC before funding will be awarded.
Appendix A – Grant Negotiation, Payment Terms, and Deliverables
Additional
Information:
Appendix B- Grant Expenditures, Termination, Recoupment of Funds, and Relevant
Laws
PART II– UPK CLASSROOM QUALITY GRANT QUESTIONNAIRE
Bidders must complete and submit the UPK Classroom Quality Grant Questionnaire with their RFR
response.
Questionnaires may be submitted to EEC by either:
1. Completing the on-line version (available starting January 22, 2007) through the EEC website
www.eec.state.ma.us. Completing the on-line version of the survey is strongly encouraged, but
not required. Waiting for the application to become available on-line will not penalize the
applicant in any way.
2. Emailing a completed copy of the questionnaire to eecgrants@massmail.state.ma.us Please
include “UPK RFR” and the name of your Program in the subject line of the email message.
3. Mailing - Applicants who are unable to complete the on-line survey or submit the questionnaire
electronically may submit 4 paper copies of the questionnaire, as well as the required forms, in a
sealed envelope clearly identified with the respondent’s name and address, and the name of the
Request for Responses. If applicants need to submit paper copies of the questionnaire, they
should submit it on plain 8 ½ x 11 inch paper, single-spaced, twelve point font or greater, two
sided copies.
Please note: Separate applications have been created for each program type responding to this RFR.
Please ensure that the questionnaire is the appropriate document for your program type. Questionnaires
are available for the following five program types:
1. Licensed Center Based Programs;
2. License Exempt, Private School Programs;
3. License Exempt, Public School Programs;
4. System Affiliated Family Child Care Programs; and
5. Independent Family Child Care Programs.
PART III – UPK CLASSROOM QUALITY GRANT CRITERIA DOCUMENTATION
Bidders must complete and submit the following required criteria documentation with their RFR
response:
A. Copy of current CPC, or Voucher agreement, or statement of willingness to serve EEC subsidized
children.
B. Copy of partnership agreement(s) for full-day, full-year care (if full-day, full-year care is not
already provided directly) or detailed statement of plan to enter into such an agreement(s) or to
expand program hours, including timeframes for when such a plan will be implemented.
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FY 2007 UPK RFR
C. Copy of degree or final transcript with degree noted for each teacher with at least a BA degree
(see Part III, Question 7.)
D. Sample of redacted copies of actual assessments for children in the family child care home or
program.
E. Statement that the program agrees to aggregate classroom child assessment data, submit it to
EEC, and maintain individual child assessment data over the next five years for monitoring
purposes.
F. Statement agreeing to submit two sets of eligible classroom assessment data for the Fall and the
Spring of FY 2007 to EEC by June 2007.
G. If applicable to document enrollment in your program subsidized through private scholarships, a
copy of the application form for private scholarship funding for your program, including income
eligibility levels and other requirements.
PART IV – FISCAL DOCUMENTATION
Applicants must complete and submit the following required forms with their RFR response:
 Standard Contract Form (with original signature);

An executed Commonwealth Terms and Conditions for Health and Human Services (unless a
respondent is registered in MMARS as having one already executed and on file; if so, please note this
in your response);

Request for Taxpayer Identification Number and Certification (unless already on file with the
Commonwealth; if so, please note this in your response); (W9)

Contractor Authorized Signatory Listing (unless already on file with the Commonwealth; if so, please
note this in your response);

Authorization for Electronic Funds Payment (EFT) Form (unless already on file with the
Commonwealth; if so, please note this in your response).
The forms listed above are also listed within the Forms tab and Specifications tab of the Comm-PASS
Solicitation record for this RFR. These forms are also available at www.mass.gov/osd under the Related
Links section.
PART V – SUBMISSION CHECKLIST AND INSTRUCTIONS
SUBMIT ON-LINE at http://www.eec.state.ma.us/ beginning 1/22/07 or MAIL TO EEC
PART II– UPK CLASSROOM QUALITY GRANT
Electronic submission of Part II- UPK Classroom Quality Grant
QUESTIONNAIRE
Questionnaire is strongly encouraged, but not required.
The on-line version of the UPK RFR application and directions
will be available on 1/22/07 and will allow applicants to respond
to the RFR via the EEC Web Site at http://www.eec.state.ma.us/
Waiting for the application to become available on-line will not
penalize the applicant in any way.
MAIL TO EEC (with original signatures on all documents requiring a signature)
PART III – UPK CLASSROOM QUALITY GRANT Hard copies must be mailed to EEC with original signatures on
CRITERIA DOCUMENTATION
all documents requiring a signature.
PART IV – FISCAL DOCUMENTATION
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FY 2007 UPK RFR
Please include contact information on all hard copy documents mailed to EEC.
Mailed copies of applicable portions of the RFR must be received at the following address by February
9, 2007 by 4:30 pm:
Massachusetts Department of Early Education and Care
51 Sleeper Street, 4th Floor
Boston, MA 02210
Attn: UPK Pilot RFR
APPENDIX A – GRANT NEGOTIATION, PAYMENT TERMS, AND DELIVERABLES
EEC will negotiate with the selected Grantee(s) the specific deliverables and timeline for their completion
prior to the commencement of this project. Payments will be made according to the final negotiated terms.
EEC will have sole discretion to determine whether a deliverable has been successfully completed by a
Grantee thereby triggering a payment.
If during the project, a Grantee would like to request a change in the required services, deliverables, or
timeline, the Grantee may propose such changes to EEC who may agree to implement such changes. The
parties may mutually agree to such change(s) through a written memorandum. A formal grant amendment
will not be required.
Grantees are encouraged to use Electronic Funds Transfers (EFT). EFT allows for payments to be made
from the Commonwealth to grantees electronically and is the preferred method of payment for all payees
doing business with the Commonwealth. Use of EFT significantly reduces payment delays through a
reduction in processing and mailing time. Registering a grantee for EFT payments requires completion of
an Electronic Funds Transfer form by the Grantee and submission to EEC as part of contract execution.
To initiate any grant payments, grantees must submit a Request for Funds Form for the appropriate fiscal
year. Throughout the grant term, grantees must seek EEC’s approval for any budget changes by filing EEC
Amendment Forms. Within sixty (60) days of the termination of a grant, a grantee must submit an FR1 Final
Financial Report and repay the Commonwealth for any unexpended funds. These forms are available at
EEC’s website, www.eec.state.ma.us.
Forms must be sent to the following address:
Massachusetts Department of Early Education and Care
51 Sleeper Street, 4th Floor
Boston, MA 02210
Attn: Sandra Fortier-Hollow, Associate Commissioner of Accounting
APPENDIX B – GRANT EXPENDITURES, TERMINATION, RECOUPMENT OF FUNDS, AND
RELEVANT LAW
All grant recipients must use the grant monies in accordance with the terms and requirements set forth in
this Request for Responses, in addition to applicable EEC policies, regulations and/or state or federal
laws. EEC reserves the right to recoup any and all monies which are not spent in accordance with such
terms and/or laws. EEC further reserves the right to discontinue grant funding to any recipient who
violates any of the grant terms and/or conditions which are incorporated into this Request for Responses.
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.
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FY 2007 UPK RFR
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