Applications for New Awards; Race to the Top-Early Learning Challenge, 53564-53594 [2011-21756]
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Federal Register / Vol. 76, No. 166 / Friday, August 26, 2011 / Notices
DEPARTMENT OF EDUCATION
DEPARTMENT OF HEALTH AND
HUMAN SERVICES
Applications for New Awards; Race to
the Top—Early Learning Challenge
Department of Education and
Department of Health and Human
Services.
ACTION: Notice.
AGENCIES:
Overview Information
Race to the Top—Early Learning
Challenge Notice inviting applications
for new awards for fiscal year (FY) 2011.
Catalog of Federal Domestic Assistance
(CFDA) Number: 84.412.
Dates: Applications Available: August
26, 2011.
Date of Meetings for Potential
Applicants: To assist States in preparing
the application and to respond to
questions, the Department of Education
(ED) and the Department of Health and
Human Services (HHS) (collectively, the
Departments) intend to host a Webinar
with potential applicants on September
1, 2011, to review the requirements,
selection criteria, and priorities for this
competition. The Departments also plan
to host a Technical Assistance Planning
Workshop for potential applicants on
September 13, 2011, in Washington, DC.
Registration information and additional
details for the September 1, 2011,
Webinar; the September 13, 2011,
workshop; and any other technical
assistance events are on the Race to the
Top-Early Learning (RTT–ELC) Web site
at https://www.ed.gov/programs/
racetothetop-earlylearningchallenge.
Deadline for Transmittal of
Applications: October 19, 2011.
Deadline for Intergovernmental
Review: December 19, 2011.
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Full Text of Announcement
I. Funding Opportunity Description
Purpose of Program: The purpose of
the RTT–ELC program is to improve the
quality of early learning and
development and close the achievement
gap for children with high needs. The
RTT–ELC grant competition focuses on
improving early learning and
development for young children by
supporting States’ efforts to increase the
number and percentage of low-income
and disadvantaged children in each age
group of infants, toddlers, and
preschoolers enrolled in high-quality
early learning and development
programs; and designing and
implementing an integrated system of
high-quality early learning and
development programs and services.
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Background: A critical focus of the
Obama Administration is supporting
America’s youngest learners and
helping ensure that children, especially
young children with high needs, such as
those who are low-income, English
learners, and children with disabilities
or developmental delays, enter
kindergarten ready to succeed in school
and in life. A robust body of research
demonstrates that high-quality early
learning and development programs and
services can improve young children’s
health, social emotional and cognitive
outcomes, enhance school readiness,
and help close the wide school
readiness gap 1 2 that exists between
children with high needs and their
peers at the time they enter
kindergarten.3 4
To address this school readiness gap,
the Administration has identified, as
high priorities, strengthening the quality
of early learning and development
programs and increasing access to highquality early learning programs for all
children, including those with high
needs. This commitment to early
education is reflected in the RTT–ELC
competition that we are announcing in
this notice.
On May 25, 2011, Secretaries Duncan
and Sebelius announced the RTT–ELC,
a new $500 million State-level grant
competition to be held in 2011 and
authorized under the American
Recovery and Reinvestment Act of 2009
(ARRA), as amended by section 1832(b)
of the Department of Defense and FullYear Continuing Appropriations Act,
2011. The Departments are
administering this competition jointly.
At its core, RTT–ELC demonstrates a
strong commitment by the
Administration to stimulate a national
effort to make sure all children enter
kindergarten ready to succeed. Through
1 Camilli, G., Vargas, S., Ryan, S., & Barnett, W.
S. (2010). Meta-analysis of the effects of early
education interventions on cognitive and social
development. Teachers College Record, 112(3),
579–620.
2 Reynolds, A.J., Temple, J.A., Ou, S., Arteaga,
I.A., & White, B.A.B. (2011). School-based early
childhood education and age-28 well-being: effects
by timing, dosage, and subgroups. Science,
Retrieved from https://www.sciencemag.org/content/
early/2011/06/08/
science.1203618.abstractldoi:l10.1126/
science.1203618.
3 Princiotta, D., Flanagan, K. D., and Germino
Hausken, E. (2006). Fifth Grade: Findings From The
Fifth-Grade Follow-up of the Early Childhood
Longitudinal Study, Kindergarten Class of 1998–99
(ECLS–K). (NCES 2006–038) U.S. Department of
Education.
4 Halle, T., Forry, N., Hair, E., Perper, K.,
Wandner, L., Wessel, J., & Vick, J. (2009).
Disparities in Early Learning and Development:
Lessons from the Early Childhood Longitudinal
Study—Birth Cohort (ECLS–B). Washington, DC:
Child Trends.
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the RTT–ELC, the Administration seeks
to help close the achievement gap
between children with high needs and
their peers by supporting State efforts to
build strong systems of early learning
and development that provide increased
access to high-quality programs for the
children who need it most. This
competition represents an
unprecedented opportunity for States to
focus deeply on their early learning and
development systems for children from
birth through age five. It is an
opportunity to build a more unified
approach to supporting young children
and their families—an approach that
increases access to high-quality early
learning and development programs and
services, and helps ensure that children
enter kindergarten with the skills,
knowledge, and dispositions toward
learning they need to be successful.
The RTT–ELC competition does not
create new early learning and
development programs, nor is it a
vehicle for maintenance of the status
quo. Rather, the RTT–ELC program will
support States that demonstrate their
commitment to integrating and aligning
resources and policies across all of the
State agencies that administer public
funds related to early learning and
development. It will further provide
incentives to the States that commit to
and implement high-quality early
learning and development programs
statewide.
As explained more fully elsewhere in
this notice, given the tight timeline for
obligating funds and in order to provide
States maximum time to prepare their
applications for this competition,
notice-and-comment rulemaking is
being waived for this competition.
Specifically, we are waiving rulemaking
for the priorities, requirements,
definitions, and selection criteria for
this new competition under section
437(d)(1) of the General Education
Provisions Act (GEPA). However, we
have solicited public participation in
two important ways as we developed an
approach to conducting and
implementing this competition. First,
we invited the public to provide general
input on the program from May 25
through June 30 on the ED.gov Blog. In
response to this invitation, we received
a total of 199 responses, which we
considered in our development of this
notice. From July 1 to July 11, we posted
on ED’s Web site a draft Executive
Summary of the competition, which
included draft competition priorities,
requirements, definitions, and selection
criteria, and we invited public input on
each of these elements of the
competition. During this period, we
received 349 responses reflecting the
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viewpoints of a variety of individuals
and early childhood, health, and
education organizations. These we also
considered in our development of this
notice.
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Current State Early Learning and
Development Systems
Many early learning and development
programs and services co-exist within
States, including Head Start/Early Head
Start programs, the Child Care and
Development Fund (CCDF) program
(pursuant to the Child Care and
Development Block Grant Act (42 U.S.C.
9858 et seq.)), State-funded preschool,
programs authorized under section 619
of part B of the Individuals with
Disabilities Education Act (IDEA) and
part C of IDEA, and other State and
locally supported programs. Each of
these programs has its own funding
stream and accompanying requirements,
standards, expectations, policies, and
procedures. Each also has its own
unique strengths and makes unique
contributions to young children and
their families. For States, the challenges
to be addressed by RTT–ELC are to
sustain and build on the strengths of
these programs, acknowledge and
appreciate their differences, reduce
inefficiency, improve quality, and
ultimately deliver a coordinated set of
services and experiences that support
young children’s success in school and
beyond.
The RTT–ELC Vision for State Early
Learning and Development Systems
Through the RTT–ELC competition,
we intend to fund applications that
demonstrate a State’s commitment and
capacity to building a statewide system
that raises the quality of early learning
and development programs so that all
children receive the support they need
to enter kindergarten ready to succeed.
Just as career and college readiness were
at the heart of ED’s Race to the Top
Phase 1 and Phase 2 competitions, a
commitment to building school
readiness for children entering
kindergarten is at the heart of this
competition.
As was the case with Race to the Top
Phase 1 and Phase 2, the bar to receive
an RTT–ELC grant will be high. And
just as those first two phases of Race to
the Top were organized around State
commitments to four specific reform
assurances articulated in the ARRA,
RTT–ELC is organized around five key
areas of reform. These five key areas
represent the foundation of an effective
early learning and development reform
agenda that is focused on school
readiness and ongoing academic
success. They are central to this
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competition’s priorities, requirements,
and selection criteria, and are as
follows:
(A) Successful State Systems;
(B) High-Quality, Accountable
Programs;
(C) Promoting Early Learning and
Development Outcomes for Children;
(D) A Great Early Childhood
Education Workforce; and
(E) Measuring Outcomes and Progress.
The first two of these, (A) and (B), are
core areas of focus for this competition.
As such, they are referred to throughout
this notice as ‘‘Core Areas,’’ and
applicants are required to respond to all
selection criteria under these Core
Areas. The reform areas in (C), (D), and
(E) are areas where applicants will
direct targeted attention to specific
activities that are relevant to their
State’s context. In this notice, we refer
to these areas as ‘‘Focused Investment
Areas,’’ and applicants are required to
address each Focused Investment Area
but not all of the selection criteria under
them. A discussion of the five key areas
of reform follows.
B. High-Quality, Accountable Programs
A. Successful State Systems
Successful State early learning and
development systems are built on broadbased stakeholder participation and
effective governance structures. They
are guided by clearly articulated goals
and strategies designed to deliver a
coordinated set of programs, policies,
and services that are responsive to the
needs of children and families and
effectively prepare young children for
school success. The RTT–ELC
competition will support States that
demonstrate a commitment to creating
and implementing a successful
statewide early learning and
development system and that effectively
organize and align that system to
provide the diversity of services and
supports needed by children and
families. Such a system can provide
continuity and consistent levels of
quality across delivery mechanisms and
levels of care and education. Thus,
under the priorities established for this
competition, States must propose and
implement ambitious plans for
successful State systems of early
learning and development that will have
broad impact and can—
• Improve program quality and
outcomes for young children;
• Increase the number of children
with high needs attending high-quality
early learning and development
programs; and
• Help close the achievement gap
between children with high needs and
their peers by supporting efforts to
increase kindergarten readiness.
The RTT–ELC competition is based
on the premise that effective programs
and services for young children must be
built on a set of early learning and
development standards that define what
children should know and be able to do
at different stages of development.
These standards provide guidelines,
articulate developmental milestones,
and set expectations for the healthy
growth and development of young
children. This competition rewards
States that will implement high-quality
early learning and development
standards and comprehensive systems
of assessments aligned with these
standards. The implementation of these
standards and assessments will ensure
that early childhood educators have the
information they need to understand
and support young children’s growth
and development across a broad range
of domains so that significantly more
young children enter kindergarten ready
to succeed.
Improving early learning and
development outcomes also requires
that children are healthy and supported
by their families. Services that address
health and family supports are thus
critical, and health and family
engagement are key elements in highquality early learning and development
programs. RTT–ELC is designed to
support States that focus on increasing
access to quality programs and services
that promote health and engage families
in the care and education of their young
children.
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The RTT–ELC competition will
support States that develop a common
set of program standards used statewide.
This will help align programs such as
Head Start, CCDF, IDEA, and Title I of
the Elementary and Secondary Act
(ESEA), and State-funded preschool to
create a more unified statewide system
of early learning and development. In
addition, each State grantee must design
and implement a tiered quality rating
and improvement system that is based
on consistent and demanding statewide
program standards and that establishes
meaningful program ratings. RTT–ELC
promotes broad participation in the
State’s tiered quality rating and
improvement system across a range of
programs, active program improvement,
and the publication of program ratings
so that families can make informed
decisions about which programs can
best serve the needs of their children.
C. Promoting Early Learning and
Development Outcomes for Children
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D. A Great Early Childhood Education
Workforce
In early learning and development
settings, nothing matters more to
children’s success than the adults caring
for and teaching them, and the RTT–
ELC competition acknowledges the
importance of a strong early childhood
workforce. Ensuring that children are
ready for success in kindergarten
depends on well-trained adults who
have acquired the necessary knowledge,
skills, and abilities to effectively
support the learning and development
of every child. Thus, the competition
will reward States that work closely
with postsecondary institutions and
other parties to define a set of workforce
competencies that are tied to the State’s
early learning and development
standards. Further, the competition
encourages States to increase retention
and improve educator quality by
supporting their workforce with
professional development, career
advancement opportunities,
differentiated compensation, and
incentives to improve their knowledge,
skills, and abilities.
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E. Measuring Outcomes and Progress
Collecting, organizing, and
understanding evidence of young
children’s progress across a range of
domains is essential to ensuring that
early learning and development
programs are of high quality and that
they meet the needs of every child.
States are therefore encouraged to
implement comprehensive data systems
and to use the data to improve
instruction, practices, services, and
policies. In addition, through both a
selection criterion and a competitive
preference priority, States will be
rewarded for implementing
kindergarten entry assessments
statewide that provide information
across all domains of early learning and
development, inform efforts to close the
school-readiness gap, and inform
instruction in the early elementary
school grades.
By organizing this program around
the five key reform areas described in
this section, the RTT–ELC competition
will help lead the way for States to
challenge and rethink the status quo.
Not every State will receive an RTT–
ELC award through this competition,
but every State can use this competition
as an opportunity to commit to
comprehensively strengthening its early
learning and development system and
ensuring that more children, including
those with high needs, have access to
high-quality early learning and
development programs and services.
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Priorities: This notice contains five (5)
priorities: One (1) absolute priority, two
(2) competitive preference priorities,
and two (2) invitational priorities. These
priorities are being established for the
FY 2011 grant competition in
accordance with section 437(d)(1) of
GEPA, 20 U.S.C. 1232(d)(1).
Absolute Priority: For FY 2011, this
priority is an absolute priority. Under 34
CFR 75.105(c)(3), we consider only
applications that meet this priority.
Applicants do not write a separate
response to this priority. Rather, they
will address this priority throughout
their responses to the selection criteria
as indicated below. A State meets the
absolute priority if a majority of
reviewers determines that the State has
met the absolute priority.
Priority 1: Absolute Priority—
Promoting School Readiness for
Children with High Needs.
To meet this priority, the State’s
application must comprehensively and
coherently address how the State will
build a system that increases the quality
of Early Learning and Development
Programs 5 for Children with High
Needs so that they enter kindergarten
ready to succeed.
The State’s application must
demonstrate how it will improve the
quality of Early Learning and
Development Programs by integrating
and aligning resources and policies
across Participating State Agencies and
by designing and implementing a
common, statewide Tiered Quality
Rating and Improvement System. In
addition, to achieve the necessary
reforms, the State must make strategic
improvements in those specific reform
areas that will most significantly
improve program quality and outcomes
for Children with High Needs.
Therefore, the State must address those
criteria from within each of the Focused
Investment Areas (sections (C)
Promoting Early Learning and
Development Outcomes for Children,
(D) A Great Early Childhood Education
Workforce, and (E) Measuring Outcomes
and Progress) that it believes will best
prepare its Children with High Needs
for kindergarten success.
Competitive Preference Priorities: For
FY 2011, these priorities are competitive
preference priorities. Under 34 CFR
75.105(c)(2)(i), up to ten (10) additional
points will be awarded to an application
depending on the extent to which the
application meets Competitive
Preference Priority 2, and ten (10)
additional points (all or nothing) to an
application that meets Competitive
Note: A State will earn all ten (10)
competitive preference priority points if a
majority of reviewers determines that the
State has met the competitive preference
priority. A State earns zero points if a
majority of reviewers determines that the
5 Defined terms are used throughout the notice
and are indicated by capitalization.
6 Tables referenced in this notice are included in
the application package.
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Preference Priority 3. Applicants that
choose to address Competitive
Preference Priority 2 must provide a
narrative in the space provided in the
application, and applicants that choose
to address Competitive Preference
Priority 3 must do so in Table 6 (A)(1)–
12, or by writing to selection criterion
(E)(1).
These priorities are:
Priority 2: Competitive Preference
Priority—Including all Early Learning
and Development Programs in the
Tiered Quality Rating and Improvement
System.
Competitive Preference Priority 2 is
designed to increase the number of
children from birth to kindergarten
entry who are participating in programs
that are governed by the State’s
licensing system and quality standards,
with the goal that all licensed or Stateregulated programs will participate. The
State will receive points for this priority
based on the extent to which the State
has in place, or has a High-Quality Plan
to implement no later than June 30,
2015—
(a) A licensing and inspection system
that covers all programs that are not
otherwise regulated by the State and
that regularly care for two or more
unrelated children for a fee in a
provider setting; provided that if the
State exempts programs for reasons
other than the number of children cared
for, the State may exclude those entities
and reviewers will score this priority
only on the basis of non-excluded
entities; and
(b) A Tiered Quality Rating and
Improvement System in which all
licensed or State-regulated Early
Learning and Development Programs
participate.
Priority 3: Competitive Preference
Priority—Understanding the Status of
Children’s Learning and Development at
Kindergarten Entry.
To meet this priority, the State must,
in its application—
(a) Demonstrate that it has already
implemented a Kindergarten Entry
Assessment that meets selection
criterion (E)(1) by indicating that all
elements in Table (A)(1)–12 are met; or
(b) Address selection criterion (E)(1)
and earn a score of at least 70 percent
of the maximum points available for
that criterion.
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applicant has not met the competitive
preference priority. Under option (a) above,
an applicant does not earn competitive
preference points if the reviewers determine
that the State has not implemented a
Kindergarten Entry Assessment that meets
selection criterion (E)(1). Under option (b)
above, an applicant does not earn
competitive preference points if the State
earns a score of less than 70 percent of the
maximum points available for selection
criterion (E)(1).
Invitational Priorities: For FY 2011,
these priorities are invitational
priorities. With an invitational priority,
we signal our interest in receiving
applications that meet the priority but,
under 34 CFR 75.105(c)(1), we do not
give an application that meets an
invitational priority preference over
other applications.
Priority 4: Invitational Priority—
Sustaining Program Effects in the Early
Elementary Grades.
The Departments are particularly
interested in applications that describe
the State’s High-Quality Plan to sustain
and build upon improved early learning
outcomes throughout the early
elementary school years, including by—
(a) Enhancing the State’s current
standards for kindergarten through
grade 3 to align them with the Early
Learning and Development Standards
across all Essential Domains of School
Readiness;
(b) Ensuring that transition planning
occurs for children moving from Early
Learning and Development Programs to
elementary schools;
(c) Promoting health and family
engagement, including in the early
grades;
(d) Increasing the percentage of
children who are able to read and do
mathematics at grade level by the end of
the third grade; and
(e) Leveraging existing Federal, State,
and local resources, including but not
limited to funds received under Title I
and Title II of ESEA, as amended, and
IDEA.
Priority 5: Invitational Priority—
Encouraging Private-Sector Support.
The Departments are particularly
interested in applications that describe
how the private sector will provide
financial and other resources to support
the State and its Participating State
Agencies or Participating Programs in
the implementation of the State Plan.
Application Requirements:
Each applicant must meet the
following application requirements:
(a) The State’s application must be
signed by the Governor or an authorized
representative; an authorized
representative from the Lead Agency;
and an authorized representative from
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each Participating State Agency. The
State must provide the required
signatures in section IV, Application
Assurances and Certifications of the
application.
(b) The State must submit a
certification from the State Attorney
General or an authorized representative
that the State’s description of, and
statements and conclusions in its
application concerning, State law,
statute, and regulation are complete and
accurate and constitute a reasonable
interpretation of State law, statute, and
regulation. The State must provide this
certification in section IV, Application
Assurances and Certifications of the
application.
(c) The State must complete the
budget spreadsheets that are provided in
the application package and submit the
completed spreadsheet as part of its
application. These spreadsheets should
be included on the CD or DVD that the
State submits as its application.
Note: The budget spreadsheets will be used
by the Departments for budget reviews.
However, the reviewers will not judge or
score these budget spreadsheets. Reviewers
will limit their evaluation of the State’s
response to (A)(4)(b) to the information
provided by the State in the budget section
of the application (see section VIII, Budget).
(d) The State must submit preliminary
scopes of work for each Participating
State Agency as part of the executed
Memorandum of Understanding (MOU)
or other binding agreement. (See
Appendix C in this notice). Each
preliminary scope of work must
describe the portions of the State’s
proposed plans that the Participating
State Agency is agreeing to implement.
If a State is awarded an RTT–ELC grant,
the State will have up to 90 days to
complete final scopes of work for each
Participating State Agency. (See section
(k) of the Program Requirements in this
notice.)
(e) The State must include a budget
that details how it will use grant funds
awarded under this competition, and
funds from other Federal, State, private,
and local sources to achieve the
outcomes of the State Plan (as described
in selection criterion (A)(4)(a)), and how
the State will use funds awarded under
this program to—
(1) Achieve its targets for increasing
the number and percentage of Early
Learning and Development Programs
that are participating in the State’s
Tiered Quality Rating and Improvement
System (as described in selection
criterion (B)(2)(c)); and
(2) Achieve its targets for increasing
the number and percentage of Children
with High Needs who are enrolled in
Early Learning and Development
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Programs that are in the top tiers of the
State’s Tiered Quality Rating and
Improvement System (as described in
selection criterion (B)(4)(c)).
(f) The State must provide an overall
summary for the State Plan and a
rationale for why it has chosen to
address the selected criteria in each
Focused Investment Area, including—
• How the State’s choices build on its
progress to date in each Focused
Investment Area (as outlined in Tables
(A)(1)6–13 and the narrative under
(A)(1)); and
• Why these selected criteria will best
achieve the State’s ambitious yet
achievable goals for improving program
quality, improving outcomes for
Children with High Needs statewide,
and closing the readiness gap between
Children with High Needs and their
peers.
(g) The State, within each Focused
Investment Area, must select and
address—
• Two or more selection criteria
within Focused Investment Area (C)
Promoting Early Learning and
Development Outcomes for Children;
and
• One or more selection criteria
within Focused Investment Areas (D) A
Great Early Childhood Education
Workforce and (E) Measuring Outcomes
and Progress.
(h) Where the State is submitting a
High-Quality Plan, the State must
include in its application a detailed
plan that is feasible and has a high
probability of successful
implementation and includes, but need
not be limited to—
(1) The key goals;
(2) The key activities to be
undertaken; the rationale for the
activities; and, if applicable, where in
the State the activities will be initially
implemented, and where and how they
will be scaled up over time to
eventually achieve statewide
implementation;
(3) A realistic timeline, including key
milestones, for implementing each key
activity;
(4) The party or parties responsible for
implementing each activity and other
key personnel assigned to each activity;
(5) Appropriate financial resources to
support successful implementation of
the plan;
(6) The information requested as
supporting evidence, if any, together
with any additional information the
State believes will be helpful to peer
reviewers in judging the credibility of
the plan;
(7) The information requested in the
performance measures, where
applicable;
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(8) How the State will address the
needs of the different types of Early
Learning and Development Programs, if
applicable; and
(9) How the State will meet the needs
of Children with High Needs, as well as
the unique needs of special populations
of Children with High Needs.
Program Requirements: If a State is
awarded an RTT–ELC grant, it must
meet the following requirements:
(a) The State must continue to
participate in the programs authorized
under section 619 of part B of IDEA and
part C of IDEA; in the CCDF program;
and in the Maternal, Infant, and Early
Childhood Home Visiting (MIECHV)
program (pursuant to section 511 of
Title V of the Social Security Act, as
added by Section 2951 of the Affordable
Care Act of 2010 (Pub. L. 111–148)) for
the duration of the grant.
(b) The State is prohibited from
spending funds from the grant on the
direct delivery of health services.
(c) The State must participate in RTT–
ELC grantee technical assistance
activities facilitated by ED or HHS,
individually or in collaboration with
other State grantees in order to share
effective program practices and
solutions and collaboratively solve
problems, and must set aside $400,000
from its grant funds for this purpose.
(d) The State must—
(1) Comply with the requirements of
any evaluation sponsored by ED or HHS
of any of the State’s activities carried
out with the grant;
(2) Comply with the requirements of
any cross-State evaluation—as part of a
consortium of States—of any of the
State’s proposed reforms, if that
evaluation is coordinated or funded by
ED or HHS, including by using common
measures and data collection
instruments and collecting data
necessary to the evaluation;
(3) Together with its independent
evaluator, if any, cooperate with any
technical assistance regarding
evaluations provided by ED or HHS.
The purpose of this technical assistance
will be to ensure that the validation of
the State’s Tiered Quality Rating and
Improvement System and any other
evaluations conducted by States or their
independent evaluators, if any, are of
the highest quality and to encourage
commonality in approaches where such
commonality is feasible and useful;
(4) Submit to ED and HHS for review
and comment its design for the
validation of its Tiered Quality Rating
and Improvement System (as described
in selection criteria (B)(5)) and any other
evaluations of activities included in the
State Plan, including any activities that
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are part of the State’s Focused
Investment Areas, as applicable; and
(5) Make widely available through
formal (e.g., peer-reviewed journals) or
informal (e.g., newsletters) mechanisms,
and in print or electronically, the results
of any evaluations it conducts of its
funded activities.
(e) The State must have a longitudinal
data system that includes the 12
elements described in section
6401(e)(2)(D) of the America
COMPETES Act by the date required
under the State Fiscal Stabilization
Fund (SFSF) grant and in accordance
with Indicator (b)(1) of its approved
SFSF plan.
(f) The State must comply with the
requirements of all applicable Federal,
State, and local privacy laws, including
the requirements of the Family
Educational Rights and Privacy Act, the
Health Insurance Portability
Accountability Act, and the privacy
requirements in IDEA, and their
applicable regulations.
(g) The State must ensure that the
grant activities are implemented in
accordance with all applicable Federal,
State, and local laws.
(h) The State must provide
researchers with access, consistent with
the requirements of all applicable
Federal State, and local privacy laws, to
data from its Tiered Quality Rating and
Improvement System and from the
Statewide Longitudinal Data System
and the State’s coordinated early
learning data system (if applicable) so
that they can analyze the State’s quality
improvement efforts and answer key
policy and practice questions.
(i) Unless otherwise protected as
proprietary information by Federal or
State law or a specific written
agreement, the State must make any
work (e.g., materials, tools, processes,
systems) developed under its grant
freely available to the public, including
by posting the work on a Web site
identified or sponsored by ED or HHS.
Any Web sites developed under this
grant must meet government or
industry-recognized standards for
accessibility.
(j) Funds made available under an
RTT–ELC grant must be used to
supplement, not supplant, any Federal,
State, or local funds that, in the absence
of the funds awarded under this grant,
would be available for increasing access
to and improving the quality of Early
Learning and Development Programs.
(k) For a State that is awarded an
RTT–ELC grant, the State will have up
to 90 days from the grant award
notification date to complete final
scopes of work for each Participating
State Agency. These final scopes of
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work must contain detailed work plans
that are consistent with their
corresponding preliminary scopes of
work and with the State’s grant
application, and must include the
Participating State Agency’s specific
goals, activities, timelines, budgets, key
personnel, and annual targets for key
performance measures for the portions
of the State’s proposed plans that the
Participating State Agency is agreeing to
implement.
Program Definitions:
Children with High Needs means
children from birth through
kindergarten entry who are from LowIncome families or otherwise in need of
special assistance and support,
including children who have disabilities
or developmental delays; who are
English learners; who reside on ‘‘Indian
lands’’ as that term is defined by section
8013(6) of the ESEA; who are migrant,
homeless, or in foster care; and other
children as identified by the State.
Common Education Data Standards
(CEDS) means voluntary, common
standards for a key set of education data
elements (e.g., demographics, program
participation, transition, course
information) at the early learning, K–12,
and postsecondary levels developed
through a national collaborative effort
being led by the National Center for
Education Statistics. CEDS focus on
standard definitions, code sets, and
technical specifications of a subset of
key data elements and are designed to
increase data interoperability,
portability, and comparability across
Early Learning and Development
Programs and agencies, States, local
educational agencies, and
postsecondary institutions.
Comprehensive Assessment System
means a coordinated and
comprehensive system of multiple
assessments, each of which is valid and
reliable for its specified purpose and for
the population with which it will be
used, that organizes information about
the process and context of young
children’s learning and development in
order to help Early Childhood Educators
make informed instructional and
programmatic decisions and that
conforms to the recommendations of the
National Research Council reports on
early childhood.
A Comprehensive Assessment System
includes, at a minimum—
(a) Screening Measures;
(b) Formative Assessments;
(c) Measures of Environmental
Quality; and
(d) Measures of the Quality of AdultChild Interactions.
Data System Oversight Requirements
means policies for ensuring the quality,
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privacy, and integrity of data contained
in a data system, including—
(a) A data governance policy that
identifies the elements that are collected
and maintained; provides for training on
internal controls to system users;
establishes who will have access to the
data in the system and how the data
may be used; sets appropriate internal
controls to restrict access to only
authorized users; sets criteria for
determining the legitimacy of data
requests; establishes processes that
verify the accuracy, completeness, and
age of the data elements maintained in
the system; sets procedures for
determining the sensitivity of each
inventoried element and the risk of
harm if those data were improperly
disclosed; and establishes procedures
for disclosure review and auditing; and
(b) A transparency policy that informs
the public, including families, Early
Childhood Educators, and programs, of
the existence of data systems that house
personally identifiable information,
explains what data elements are
included in such a system, enables
parental consent to disclose personally
identifiable information as appropriate,
and describes allowable and potential
uses of the data.
Early Childhood Educator means any
professional working in an Early
Learning and Development Program,
including but not limited to centerbased and family child care providers;
infant and toddler specialists; early
intervention specialists and early
childhood special educators; home
visitors; related services providers;
administrators such as directors,
supervisors, and other early learning
and development leaders; Head Start
teachers; Early Head Start teachers;
preschool and other teachers; teacher
assistants; family service staff; and
health coordinators.
Early Learning and Development
Program means any (a) State-licensed or
State-regulated program or provider,
regardless of setting or funding source,
that provides early care and education
for children from birth to kindergarten
entry, including, but not limited to, any
program operated by a child care center
or in a family child care home; (b)
preschool program funded by the
Federal Government or State or local
educational agencies (including any
IDEA-funded program); (c) Early Head
Start and Head Start program; and (d) a
non-relative child care provider who is
not otherwise regulated by the State and
who regularly cares for two or more
unrelated children for a fee in a
provider setting. A State should include
in this definition other programs that
may deliver early learning and
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development services in a child’s home,
such as the Maternal, Infant and Early
Childhood Home Visiting; Early Head
Start; and part C of IDEA.7
Early Learning and Development
Standards means a set of expectations,
guidelines, or developmental milestones
that—
(a) Describe what all children from
birth to kindergarten entry should know
and be able to do and their disposition
toward learning;
(b) Are appropriate for each age group
(e.g., infants, toddlers, and
preschoolers); for English learners; and
for children with disabilities or
developmental delays;
(c) Cover all Essential Domains of
School Readiness; and
(d) Are universally designed and
developmentally, culturally, and
linguistically appropriate.
Early Learning Intermediary
Organization means a national,
statewide, regional, or community-based
organization that represents one or more
networks of Early Learning and
Development Programs in the State and
that has influence or authority over
them. Such Early Learning Intermediary
Organizations include, but are not
limited to, Child Care Resource and
Referral Agencies; State Head Start
Associations; Family Child Care
Associations; State affiliates of the
National Association for the Education
of Young Children; State affiliates of the
Council for Exceptional Children’s
Division of Early Childhood; statewide
or regional union affiliates that
represent Early Childhood Educators;
affiliates of the National Migrant and
Seasonal Head Start Association; the
National Tribal, American Indian, and
Alaskan Native Head Start Association;
and the National Indian Child Care
Association.
Essential Data Elements means the
critical child, program, and workforce
data elements of a coordinated early
learning data system, including—
(a) A unique statewide child identifier
or another highly accurate, proven
method to link data on that child,
including Kindergarten Entry
Assessment data, to and from the
Statewide Longitudinal Data System
and the coordinated early learning data
system (if applicable);
(b) A unique statewide Early
Childhood Educator identifier;
(c) A unique program site identifier;
7 Note: Such home-based programs and services
will most likely not participate in the State’s Tiered
Quality Rating and Improvement System unless the
State has developed a set of Tiered Program
Standards specifically for home-based programs
and services.
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(d) Child and family demographic
information;
(e) Early Childhood Educator
demographic information, including
data on educational attainment and
State credential or licenses held, as well
as professional development
information;
(f) Program-level data on the
program’s structure, quality, child
suspension and expulsion rates, staff
retention, staff compensation, work
environment, and all applicable data
reported as part of the State’s Tiered
Quality Rating and Improvement
System; and
(g) Child-level program participation
and attendance data.
Essential Domains of School
Readiness means the domains of
language and literacy development,
cognition and general knowledge
(including early mathematics and early
scientific development), approaches
toward learning, physical well-being
and motor development (including
adaptive skills), and social and
emotional development.
Formative Assessment (also known as
a classroom-based or ongoing
assessment) means assessment
questions, tools, and processes—
(a) That are—
(1) Specifically designed to monitor
children’s progress in meeting the Early
Learning and Development Standards;
(2) Valid and reliable for their
intended purposes and their target
populations;
(3) Linked directly to the curriculum;
and
(b) The results of which are used to
guide and improve instructional
practices.
High-Quality Plan means any plan
developed by the State to address a
selection criterion or priority in this
notice that is feasible and has a high
probability of successful
implementation and at a minimum
includes—
(a) The key goals;
(b) The key activities to be
undertaken; the rationale for the
activities; and, if applicable, where in
the State the activities will be initially
implemented, and where and how they
will be scaled up over time to
eventually achieve statewide
implementation;
(c) A realistic timeline, including key
milestones, for implementing each key
activity;
(d) The party or parties responsible
for implementing each activity and
other key personnel assigned to each
activity;
(e) Appropriate financial resources to
support successful implementation of
the plan;
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(f) The information requested as
supporting evidence, if any, together
with any additional information the
State believes will be helpful to peer
reviewers in judging the credibility of
the plan;
(g) The information requested in the
performance measures, where
applicable;
(h) How the State will address the
needs of the different types of Early
Learning and Development Programs, if
applicable; and
(i) How the State will meet the needs
of Children with High Needs, as well as
the unique needs of special populations
of Children with High Needs.
Kindergarten Entry Assessment means
an assessment that—
(a) Is administered to children during
the first few months of their admission
into kindergarten;
(b) Covers all Essential Domains of
School Readiness;
(c) Is used in conformance with the
recommendations of the National
Research Council 8 reports on early
childhood; and
(d) Is valid and reliable for its
intended purposes and for the target
populations and aligned to the Early
Learning and Development Standards.
Results of the assessment should be
used to inform efforts to close the school
readiness gap at kindergarten entry and
to inform instruction in the early
elementary school grades. This
assessment should not be used to
prevent children’s entry into
kindergarten.
Lead Agency means the State-level
agency designated by the Governor for
the administration of the RTT–ELC
grant; this agency is the fiscal agent for
the grant. The Lead Agency must be one
of the Participating State Agencies.
Low-Income means having an income
of up to 200 percent of the Federal
poverty rate.
Measures of Environmental Quality
means valid and reliable indicators of
the overall quality of the early learning
environment.
Measures of the Quality of AdultChild Interactions means the measures
obtained through valid and reliable
processes for observing how teachers
and caregivers interact with children,
where such processes are designed to
promote child learning and to identify
8 National Research Council. (2008). Early
Childhood Assessment: Why, What, and How.
Committee on Developmental Outcomes and
Assessments for Young Children, C.E. Snow and
S.B. Van Hemel, Editors. Board on Children, Youth,
and Families, Board on Testing and Assessment,
Division of Behavioral and Social Sciences and
Education. Washington, DC: The National
Academies Press. https://www.nap.edu/
catalog.php?record_id=12446.
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strengths and areas for improvement for
early learning professionals.
Participating State Agency means a
State agency that administers public
funds related to early learning and
development and is participating in the
State Plan. The following State agencies
are required Participating State
Agencies: The agencies that administer
or supervise the administration of
CCDF, the section 619 of part B of IDEA
and part C of IDEA programs, Statefunded preschool, home visiting, Title I
of ESEA, the Head Start State
Collaboration Grant, and the Title V
Maternal and Child Care Block Grant, as
well as the State Advisory Council on
Early Childhood Education and Care,
the State’s Child Care Licensing Agency,
and the State Education Agency. Other
State agencies, such as the agencies that
administer or supervise the
administration of Child Welfare, Mental
Health, Temporary Assistance for Needy
Families (TANF), Community-Based
Child Abuse Prevention, the Child and
Adult Care Food Program, and the Adult
Education and Family Literacy Act
(AEFLA) may be Participating State
Agencies if they elect to participate in
the State Plan.
Participating Program means an Early
Learning and Development Program that
elects to carry out activities described in
the State Plan.
Program Standards means the
standards that serve as the basis for a
Tiered Quality Rating and Improvement
System and define differentiated levels
of quality for Early Learning and
Development Programs. Program
Standards are expressed, at a minimum,
by the extent to which—
(a) Early Learning and Development
Standards are implemented through
evidence-based activities, interventions,
or curricula that are appropriate for each
age group of infants, toddlers, and
preschoolers;
(b) Comprehensive Assessment
Systems are used routinely and
appropriately to improve instruction
and enhance program quality by
providing robust and coherent evidence
of—
(1) Children’s learning and
development outcomes; and
(2) Program performance;
(c) A qualified workforce improves
young children’s health, social,
emotional, and educational outcomes;
(d) Strategies are successfully used to
engage families in supporting their
children’s development and learning.
These strategies may include, but are
not limited to, parent access to the
program, ongoing two-way
communication with families, parent
education in child development,
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outreach to fathers and other family
members, training and support for
families as children move to preschool
and kindergarten, social networks of
support, intergenerational activities,
linkages with community supports and
adult and family literacy programs,
parent involvement in decision making,
and parent leadership development;
(e) Health promotion practices
include health and safety requirements;
developmental, behavioral, and sensory
screening, referral, and follow up; and
the promotion of physical activity,
healthy eating habits, oral health and
behavioral health, and health literacy
among parents; and
(f) Effective data practices include
gathering Essential Data Elements and
entering them into the State’s Statewide
Longitudinal Data System or other early
learning data system, using these data to
guide instruction and program
improvement, and making this
information readily available to
families.
Screening Measures means age and
developmentally appropriate, valid, and
reliable instruments that are used to
identify children who may need followup services to address developmental,
learning, or health needs in, at a
minimum, the areas of physical health,
behavioral health, oral health, child
development, vision, and hearing.
State means any of the 50 States, the
District of Columbia, and Puerto Rico.
State Plan means the plan submitted
as part of the State’s RTT–ELC
application.
Statewide Longitudinal Data System
means the State’s longitudinal
education data system that collects and
maintains detailed, high-quality,
student- and staff-level data that are
linked across entities and that over time
provide a complete academic and
performance history for each student.
The Statewide Longitudinal Data
System is typically housed within the
State educational agency but includes or
can be connected to early childhood,
postsecondary, and labor data.
Tiered Quality Rating and
Improvement System means the system
through which the State uses a set of
progressively higher Program Standards
to evaluate the quality of an Early
Learning and Development Program and
to support program improvement. A
Tiered Quality Rating and Improvement
System consists of four components: (a)
Tiered Program Standards with multiple
rating categories that clearly and
meaningfully differentiate program
quality levels; (b) monitoring to evaluate
program quality based on the Program
Standards; (c) supports to help programs
meet progressively higher standards
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(e.g., through training, technical
assistance, financial support); and (d)
program quality ratings that are
publically available; and includes a
process for validating the system.
Workforce Knowledge and
Competency Framework means a set of
expectations that describes what Early
Childhood Educators (including those
working with children with disabilities
and English learners) should know and
be able to do. The Workforce Knowledge
and Competency Framework, at a
minimum, (a) is evidence-based; (b)
incorporates knowledge and application
of the State’s Early Learning and
Development Standards, the
Comprehensive Assessment Systems,
child development, health, and
culturally and linguistically appropriate
strategies for working with families; (c)
includes knowledge of early
mathematics and literacy development
and effective instructional practices to
support mathematics and literacy
development in young children; (d)
incorporates effective use of data to
guide instruction and program
improvement; (e) includes effective
behavior management strategies that
promote positive social emotional
development and reduce challenging
behaviors; and (f) incorporates feedback
from experts at the State’s
postsecondary institutions and other
early learning and development experts
and Early Childhood Educators.
Waiver of Proposed Rulemaking:
Under the Administrative Procedure
Act, 5 U.S.C. 553, we generally offer
interested parties the opportunity to
comment on proposed priorities,
requirements, definitions, and selection
criteria. Section 437(d)(1) of GEPA,
however, allows the Secretary of
Education to exempt from rulemaking
requirements governing the first grant
competition under a new or
substantially revised program authority.
This is the first grant competition for the
RTT–ELC grant program under the
revised program authority in section
14006 of the ARRA, as amended by
section 1832(b) of Division B of Public
Law 112–10, the Department of Defense
and Full-Year Continuing
Appropriations Act, 2011. The
Secretaries have decided to forgo public
comment under the waiver authority in
section 437(d)(1) of GEPA in order to
ensure timely grant awards.
However, we have solicited public
participation in two important ways as
we developed an approach to
conducting and implementing this
competition. First, we invited the public
to provide general input on the program
from May 25 through June 30 on the
ED.gov Blog. In response to this
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invitation, we received a total of 199
responses which we considered in our
development of this notice. From July 1
to July 11, we posted on ED’s Web site
a draft Executive Summary of the
competition, which included draft
competition priorities, requirements,
definitions, and selection criteria, and
we invited public input on each of these
elements of the competition. In response
to this invitation, we received 349
responses that reflected the viewpoints
of a variety of individuals, and early
childhood, health, and education
organizations. Members of the public
provided input on all sections of the
draft selection criteria, priorities,
requirements, and definitions sections
of the draft executive summary.
These priorities, selection criteria,
requirements, and definitions will apply
to the FY 2011 grant competition and
any subsequent year in which we make
awards from the list of unfunded
applicants from this competition.
Program Authority: Sections 14005
and 14006, Division A, of the American
Recovery and Reinvestment Act of 2009,
as amended by section 1832(b) of
Division B of Public Law 112–10, the
Department of Defense and Full Year
Continuing Appropriations Act, 2011.
Applicable Regulations: The
Education Department General
Administrative Regulations (EDGAR) in
34 CFR parts 75, 77, 79, 80, 82, 84, 85,
86, 97, 98, and 99.
II. Award Information
Type of Award: Discretionary grants.
Estimated Available Funds: $500
million. Contingent upon the
availability of funds and the quality of
applications, we may make additional
awards in FY 2012 from the list of
unfunded applicants from this
competition.
Estimated Range of Awards: $50
million–$100 million.
Note: The Departments are not bound by
any estimates in this notice.
Project Period: Up to 48 months.
Budget Requirements: To support
States in planning their budgets, the
Departments have developed the
following budget caps for each State.
The Secretaries will not consider for
funding an application from a State that
proposes a budget that exceeds the
applicable cap set for that State. The
Departments developed the following
categories by ranking every State
according to its share of the national
population of children ages birth
through five years old from Low-Income
families and identifying the natural
breaks in the rank order. Then, based on
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population, budget caps were developed
for each category.9
Category 1—Up to $100 million—
California, Florida, New York, Texas.
Category 2—Up to $70 million—
Arizona, Georgia, Illinois, Michigan,
North Carolina, Ohio, Pennsylvania.
Category 3—Up to $60 million—
Alabama, Colorado, Indiana, Kentucky,
Louisiana, Missouri, New Jersey,
Oklahoma, Puerto Rico, South Carolina,
Tennessee, Virginia, Washington,
Wisconsin.
Category 4—Up to $50 million—
Alaska, Arkansas, Connecticut,
Delaware, District of Columbia, Hawaii,
Idaho, Iowa, Kansas, Maine, Maryland,
Massachusetts, Minnesota, Mississippi,
Montana, Nebraska, New Hampshire,
New Mexico, Nevada, North Dakota,
Oregon, Rhode Island, South Dakota,
Utah, Vermont, West Virginia,
Wyoming.
In addition to considering other
relevant factors (see 34 CFR
75.217(d)(3)), the selection of grantees
may consider the need to ensure that
early learning and development systems
are developed in States with large, highpoverty, rural communities (including
States with high percentages of highpoverty populations in rural areas and
States with high absolute numbers of
high-poverty individuals in rural areas).
Awards may be granted to high-quality
applications out of rank order to meet
this need. ED may use any unused funds
designated for this competition to make
awards in Phase 3 of the Race to the Top
Program.
The State must include in its budget
the amount of funds it intends to
distribute through Memoranda Of
Understanding (MOUs), interagency
agreements, contracts, or other
mechanisms authorized by State
procurement laws, to localities, Early
Learning Intermediary Organizations,
Participating Programs, or other
partners.
The State must set aside $400,000
from its grant funds for the purpose of
participating in RTT–ELC grantee
technical assistance activities facilitated
by ED or HHS.
III. Eligibility Information
1. Eligible Applicants: States that
meet the following requirements:
(a) The Lead Agency must have
executed with each Participating State
Agency an MOU or other binding
agreement that the State must attach to
its application, describing the
Participating State Agency’s level of
9 Source: U.S. Department of Commerce, Census
Bureau, 2009. American Community Survey (ACS)
1-year Public Use Microdata Sample (PUMS) data.
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participation in the grant. (See
Appendix C of this notice.) At a
minimum, the MOU or other binding
agreement must include an assurance
that the Participating State Agency
agrees to use, to the extent applicable—
(1) A set of statewide Early Learning
and Development Standards;
(2) A set of statewide Program
Standards;
(3) A statewide Tiered Quality Rating
and Improvement System; and
(4) A statewide Workforce Knowledge
and Competency Framework and
progression of credentials.
(b) The State must have an
operational State Advisory Council on
Early Care and Education that meets the
requirements described in section
642B(b) of the Head Start Act (42 U.S.C.
9837b).
(c) The State must have submitted in
FY 2010 an updated MIECHV State plan
and FY 2011 Application for formula
funding under the Maternal, Infant, and
Early Childhood Home Visiting program
(see section 511 of Title V of the Social
Security Act, as added by section 2951
of the Affordable Care Act of 2010 (Pub.
L. 111–148)).
2. Cost Sharing or Matching: This
program does not require cost sharing or
matching.
IV. Application and Submission
Information
1. Address to Request Application
Package:
You can obtain an application
package via the Internet or from the
Education Publications Center (ED
Pubs). To obtain a copy via the Internet,
use the following address: https://
www.ed.gov/programs/racetothetopearlylearningchallenge. To obtain a
copy from ED Pubs, write, fax, or call
the following: Education Publications
Center, P.O. Box 1398, Jessup, MD
20794–1398. Telephone, toll free: 1–
877–433–7827. FAX: (301) 470–1244. If
you use a telecommunications device
for the deaf (TDD), call, toll free: 1–877–
576–7734.
You can also contact ED Pubs at its
Web site: https://www.ed.gov/pubs/
edpubs.html or at its e-mail address:
edpubs@inet.ed.gov.
If you request an application from ED
Pubs, be sure to identify this program or
competition as follows: CFDA 84.412.
Individuals with disabilities can
obtain a copy of the application package
in an accessible format (e.g., braille,
large print, audiotape, or compact disc)
by contacting the person listed under
FOR FURTHER INFORMATION CONTACT in
section VII of this notice.
2. Content and Form of Application
Submission: Requirements concerning
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the content of the application, together
with the forms a State must submit, are
in the application package for this
competition.
Page Limit: The application narrative
(section VI of the application) is where
the applicant addresses the selection
criteria that reviewers will use to
evaluate applications. We recommend
that the applicant limit its narrative
responses in section VI of the
application to no more than 150 pages
and limit its appendices to no more than
150 pages. The Secretaries strongly
requests that applicants follow the
recommended page limits, although the
Secretaries will consider applications of
greater length.
The following standards are
recommended:
• A ‘‘page’’ is 8.5″ x 11″, on one side
only, with 1″ margins at the top, bottom,
and both sides.
• Each page is numbered.
• Line spacing is set to 1.5 spacing,
and the font used is 12 point Times New
Roman.
3. Submission Dates and Times:
Applications Available: August 26,
2011.
Dates of Meetings for Potential
Applicants: September 1, 2011;
September 13, 2011. To assist States in
preparing the application and to
respond to questions, ED and HHS
intend to host a Webinar with potential
applicants on September 1, 2011, to
review the requirements, selection
criteria, and priorities for this
competition. The Departments also plan
to host a Technical Assistance Planning
Workshop for potential applicants on
September 13, 2011, in Washington, DC.
To minimize travel burdens associated
with this workshop and to maximize the
number of potential applicants who can
participate, the Departments will also
broadcast this workshop live at several
other regional offices of the Departments
across the country. The purpose of the
workshop will be to allow teams of
participants responsible for developing
the State’s application to review with
Federal program staff the priorities,
requirements, and selection criteria for
this competition and to ask questions
about the RTT–ELC competition. We
strongly encourage all interested State
applicants to participate in the
workshop, either in Washington, DC, or
at one of the regional offices. For those
who cannot attend the workshop in
person, a video recording of the
workshop will be available on the RTT–
ELC Web site at https://www.ed.gov/
programs/racetothetopearlylearningchallenge. The
Departments may host additional
conference calls, workshops, or
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Webinars to answer applicant questions
and will be posting Frequently Asked
Questions (FAQs) and responses on the
RTT–ELC Web site. The Departments
will make available all registration
information and additional details for
the September 1, 2011, Webinar; the
September 13, 2011, workshop; and any
other technical assistance events on the
RTT–ELC Web site at https://
www.ed.gov/programs/racetothetopearlylearningchallenge.
Deadline for Transmittal of
Applications: October 19, 2011.
Applications for grants under this
competition must be submitted in
electronic format on a CD or DVD, by
mail or hand delivery. For information
(including dates and times) about how
to submit your application by mail or
hand delivery, please refer to section IV
(7) Other Submission Requirements of
this notice. We will not consider an
application that does not comply with
the deadline requirements.
We will provide Congress with the
names of the States that have submitted
applications, as well as post the names
of these States on the ED’s Web site. We
will also post all applications submitted
by the States. Therefore, please ensure
that your application does not include
personally identifiable information,
proprietary information, and other nonpublic information.
Individuals with disabilities who
need an accommodation or auxiliary aid
in connection with the application
process should contact the person listed
under FOR FURTHER INFORMATION
CONTACT in section VII of this notice. If
the Departments provide an
accommodation or auxiliary aid to an
individual with a disability in
connection with the application
process, the individual’s application
remains subject to all other
requirements and limitations in this
notice.
Deadline for Intergovernmental
Review: December 19, 2011.
4. Intergovernmental Review: This
program is subject to Executive Order
12372 and the regulations in 34 CFR
part 79. Information about
Intergovernmental Review of Federal
Programs under Executive Order 12372
is in the application package for this
competition.
5. Funding Restrictions: We specify
unallowable costs in section (b) of
Program Requirements in this notice.
We reference additional regulations
outlining funding restrictions in the
Applicable Regulations section of this
notice.
6. Data Universal Numbering System
Number, Taxpayer Identification
Number, and Central Contractor
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Registry: To do business with the
Departments, you must—
a. Have a Data Universal Numbering
System (DUNS) number and a Taxpayer
Identification Number (TIN);
b. Register both your DUNS number
and TIN with the Central Contractor
Registry (CCR), the Government’s
primary registrant database;
c. Provide your DUNS number and
TIN on your application; and
d. Maintain an active CCR registration
with current information while your
application is under review by the
Departments and, if you are awarded a
grant, during the project period.
You can obtain a DUNS number from
Dun and Bradstreet. A DUNS number
can be created within one business day.
The CCR registration process may take
five or more business days to complete.
If you are currently registered with the
CCR, you may not need to make any
changes. However, please make certain
that the TIN associated with your DUNS
number is correct. Also note that you
will need to update your CCR
registration on an annual basis. This
may take three or more business days to
complete.
7. Other Submission Requirements:
Applications for grants under this
competition must be submitted by mail
or hand delivery. We strongly
recommend the use of overnight mail.
Applications postmarked on the
deadline date but arriving late will not
be read.
a. Application Submission Format
and Deadline.
Applications for grants under this
competition must be submitted in
electronic format on a CD or DVD, with
CD–ROM or DVD–ROM preferred. In
addition, applicants must submit a
signed paper original of section IV of the
application and one copy of that signed
original. Autopen, copies, .PDFs (Adobe
Portable Document Format), and faxed
copies of signature pages are not
acceptable originals. Section IV of the
application includes the Application
Assurances and Certifications.
We strongly request the applicant to
submit a CD or DVD of its application
that includes the following files:
1. A single file that contains the body
of the application, including required
budget tables, that has been converted
into a .PDF (Portable Document) format
so that the .PDF is searchable. Note that
a .PDF created from a scanned
document will not be searchable.
2. A single file in a .PDF format that
contains all of the required signature
pages. The signature pages may be
scanned and turned into a PDF.
3. Copies of the completed electronic
budget spreadsheets with the required
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budget tables, which should be in a
separate file from the body of the
application. The spreadsheets will not
be reviewed by peer reviewers but will
be used by the Departments for budget
reviews.
Each of these items must be clearly
labeled with the State’s name and any
other relevant identifying information.
States must not password-protect these
files.
We must receive all grant applications
by 4:30:00 p.m., Washington, DC time,
on the application deadline date. We
will not accept an application for this
competition after 4:30:00 p.m.,
Washington, DC time, on the
application deadline date. Therefore, we
strongly recommend that applicants
arrange for mailing or hand delivery of
their application in advance of the
application deadline date.
b. Submission of Applications by
Mail. States choosing to submit their
application (i.e., the CD or DVD, the
signed paper original of section IV of the
application, and the copy of that
original) by mail (either through the
U.S. Postal Service or a commercial
carrier) should use the following
mailing address: U.S. Department of
Education, Application Control Center,
Attention: (CFDA Number 84.412), LBJ
Basement Level 1, 400 Maryland
Avenue, SW., Washington, DC 20202–
4260.
We must receive applications on or
before the application deadline date.
Therefore, to avoid delays, we strongly
recommend sending applications via
overnight mail. If we receive an
application after the application
deadline, we will not consider that
application.
c. Submission of Applications by
Hand Delivery.
States choosing to submit their
application (i.e., the CD or DVD, the
signed paper original of section IV of the
application, and the copy of that
original) by hand delivery (including via
a courier service) should use the
following address: U.S. Department of
Education, Application Control Center,
Attention: (CFDA Number 84.412), 550
12th Street, SW., Room 7041, Potomac
Center Plaza, Washington, DC 20202–
4260.
The Application Control Center
accepts hand deliveries daily between
8:00 a.m. and 4:30:00 p.m., Washington,
DC time, except Saturdays, Sundays,
and Federal holidays. If we receive an
application after the application
deadline, we will not consider that
application.
d. Envelope requirements and receipt:
When an applicant submits its
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application, whether by mail or hand
delivery—
(1) It must indicate on the envelope
that the CFDA number of the
competition under which it is
submitting its application is 84.412; and
(2) The Application Control Center
will mail to the applicant a notification
of receipt of the grant application. If the
applicant does not receive this
notification, it should call the
Application Control Center at (202)
245–6288.
In accordance with 34 CFR 75.216(b)
and (c), an application will not be
evaluated for funding if the applicant
does not comply with all of the
procedural rules that govern the
submission of the application or the
application does not contain the
information required under the
program.
V. Application Review Information
1. Selection Criteria: We will use the
following selection criteria to evaluate
applications submitted under the RTT–
ELC competition. The maximum score
for all the selection criteria and
competitive preference priorities is 300
points. The maximum score for each
selection criterion is indicated in
parentheses. The reviewers will utilize
the scoring rubric located in Appendix
B of this notice when evaluating the
following selection criteria:
Core Areas—Sections (A) (Successful
State Systems) and (B) (High-Quality,
Accountable Programs)
States must address in their
application all of the selection criteria
in the Core Areas.
A. Successful State Systems
(A)(1) Demonstrating past
commitment to early learning and
development. (20 points)
The extent to which the State has
demonstrated past commitment to and
investment in high-quality, accessible
Early Learning and Development
Programs and services for Children with
High Needs, as evidenced by the
State’s—
(a) Financial investment, from January
2007 to the present, in Early Learning
and Development Programs, including
the amount of these investments in
relation to the size of the State’s
population of Children with High Needs
during this time period;
(b) Increasing, from January 2007 to
the present, the number of Children
with High Needs participating in Early
Learning and Development Programs;
(c) Existing early learning and
development legislation, policies, or
practices; and
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(d) Current status in key areas that
form the building blocks for a high
quality early learning and development
system, including Early Learning and
Development Standards,
Comprehensive Assessment Systems,
health promotion practices, family
engagement strategies, the development
of Early Childhood Educators,
Kindergarten Entry Assessments, and
effective data practices.
(A)(2) Articulating the State’s
rationale for its early learning and
development reform agenda and goals.
(20 points)
The extent to which the State clearly
articulates a comprehensive early
learning and development reform
agenda that is ambitious yet achievable,
builds on the State’s progress to date (as
demonstrated in selection criterion
(A)(1)), is most likely to result in
improved school readiness for Children
with High Needs, and includes—
(a) Ambitious yet achievable goals for
improving program quality, improving
outcomes for Children with High Needs
statewide, and closing the readiness gap
between Children with High Needs and
their peers;
(b) An overall summary of the State
Plan that clearly articulates how the
High-Quality Plans proposed under
each selection criterion, when taken
together, constitute an effective reform
agenda that establishes a clear and
credible path toward achieving these
goals; and
(c) A specific rationale that justifies
the State’s choice to address the selected
criteria in each Focused Investment
Area (C), (D), and (E), including why
these selected criteria will best achieve
these goals.
(A)(3) Aligning and coordinating early
learning and development across the
State. (10 points)
The extent to which the State has
established, or has a High-Quality Plan
to establish, strong participation and
commitment in the State Plan by
Participating State Agencies and other
early learning and development
stakeholders by—
(a) Demonstrating how the
Participating State Agencies and other
partners, if any, will identify a
governance structure for working
together that will facilitate interagency
coordination, streamline decision
making, effectively allocate resources,
and create long-term sustainability and
describing—
(1) The organizational structure for
managing the grant and how it builds
upon existing interagency governance
structures such as children’s cabinets,
councils, and commissions, if any
already exist and are effective;
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(2) The governance-related roles and
responsibilities of the Lead Agency, the
State Advisory Council, each
Participating State Agency, the State’s
Interagency Coordinating Council for
part C of IDEA, and other partners, if
any;
(3) The method and process for
making different types of decisions (e.g.,
policy, operational) and resolving
disputes; and
(4) The plan for when and how the
State will involve representatives from
Participating Programs, Early Childhood
Educators or their representatives,
parents and families, including parents
and families of Children with High
Needs, and other key stakeholders in the
planning and implementation of the
activities carried out under the grant;
(b) Demonstrating that the
Participating State Agencies are strongly
committed to the State Plan, to the
governance structure of the grant, and to
effective implementation of the State
Plan, by including in the MOUs or other
binding agreements between the State
and each Participating State Agency—
(1) Terms and conditions that reflect
a strong commitment to the State Plan
by each Participating State Agency,
including terms and conditions
designed to align and leverage the
Participating State Agencies’ existing
funding to support the State Plan;
(2) ‘‘Scope-of-work’’ descriptions that
require each Participating State Agency
to implement all applicable portions of
the State Plan and a description of
efforts to maximize the number of Early
Learning and Development Programs
that become Participating Programs; and
(3) A signature from an authorized
representative of each Participating
State Agency; and
(c) Demonstrating commitment to the
State Plan from a broad group of
stakeholders that will assist the State in
reaching the ambitious yet achievable
goals outlined in response to selection
criterion (A)(2)(a), including by
obtaining—
(1) Detailed and persuasive letters of
intent or support from Early Learning
Intermediary Organizations, and, if
applicable, local early learning councils;
and
(2) Letters of intent or support from
such other stakeholders as Early
Childhood Educators or their
representatives; the State’s legislators;
local community leaders; State or local
school boards; representatives of private
and faith-based early learning programs;
other State and local leaders (e.g.,
business, community, tribal, civil rights,
education association leaders); adult
education and family literacy State and
local leaders; family and community
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organizations (e.g., parent councils,
nonprofit organizations, local
foundations, tribal organizations, and
community-based organizations);
libraries and children’s museums;
health providers; and postsecondary
institutions.
(A)(4) Developing a budget to
implement and sustain the work of this
grant. (15 points)
The extent to which the State Plan—
(a) Demonstrates how the State will
use existing funds that support early
learning and development from Federal,
State, private, and local sources (e.g.,
CCDF; Title I and II of ESEA; IDEA;
Striving Readers Comprehensive
Literacy Program; State preschool; Head
Start Collaboration and State Advisory
Council funding; Maternal, Infant, and
Early Childhood Home Visiting
Program; Title V MCH Block Grant;
TANF; Medicaid; child welfare services
under Title IV (B) and (E) of the Social
Security Act; Statewide Longitudinal
Data System; foundation; other private
funding sources) for activities and
services that help achieve the outcomes
in the State Plan, including how the
quality set-asides in CCDF will be used;
(b) Describes, in both the budget
tables and budget narratives, how the
State will effectively and efficiently use
funding from this grant to achieve the
outcomes in the State Plan, in a manner
that—
(1) Is adequate to support the
activities described in the State Plan;
(2) Includes costs that are reasonable
and necessary in relation to the
objectives, design, and significance of
the activities described in the State Plan
and the number of children to be served;
and
(3) Details the amount of funds
budgeted for Participating State
Agencies, localities, Early Learning
Intermediary Organizations,
Participating Programs, or other
partners, and the specific activities to be
implemented with these funds
consistent with the State Plan, and
demonstrates that a significant amount
of funding will be devoted to the local
implementation of the State Plan; and
(c) Demonstrates that it can be
sustained after the grant period ends to
ensure that the number and percentage
of Children with High Needs served by
Early Learning and Development
Programs in the State will be
maintained or expanded.
B. High-Quality, Accountable Programs
(B)(1) Developing and adopting a
common, statewide Tiered Quality
Rating and Improvement System. (10
points)
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The extent to which the State and its
Participating State Agencies have
developed and adopted, or have a HighQuality Plan to develop and adopt, a
Tiered Quality Rating and Improvement
System that—
(a) Is based on a statewide set of tiered
Program Standards that include—
(1) Early Learning and Development
Standards;
(2) A Comprehensive Assessment
System;
(3) Early Childhood Educator
qualifications;
(4) Family engagement strategies;
(5) Health promotion practices; and
(6) Effective data practices;
(b) Is clear and has standards that are
measurable, meaningfully differentiate
program quality levels, and reflect high
expectations of program excellence
commensurate with nationally
recognized standards 10 that lead to
improved learning outcomes for
children; and
(c) Is linked to the State licensing
system for Early Learning and
Development Programs.
(B)(2) Promoting Participation in the
State’s Tiered Quality Rating and
Improvement System. (15 points)
The extent to which the State has
maximized, or has a High-Quality Plan
to maximize, program participation in
the State’s Tiered Quality Rating and
Improvement System by—
(a) Implementing effective policies
and practices to reach the goal of having
all publicly funded Early Learning and
Development Programs participate in
such a system, including programs in
each of the following categories—
(1) State-funded preschool programs;
(2) Early Head Start and Head Start
programs;
10 See such nationally recognized standards as:
U.S. Department of Health and Human Services.
(2009). Head Start Program Performance Standards.
Washington, DC: U.S. Department of Health and
Human Services. PDF retrieved from: 45 CFR
Chapter XIII—1301–1311 https://eclkc.ohs.acf.hhs.
gov/hslc/Head%20Start%20Program/
Program%20Design%20and%20Management/
Head%20Start%20Requirements/
Head%20Start%20Requirements/
45%20CFR%20Chapter%20XIII/
45%20CFR%20Chap%20XIII_ENG.pdf.
U.S. Department of Defense. DoD Instruction
6060.2, Child Development Programs (CDPs),
January 19, 1993, certified as current August 25,
1998 (to be updated Fall 2011). Washington, DC:
U.S. Department of Defense. Retrieved from: https://
www.militaryhomefront.dod.mil/portal/page/mhf/
MHF/MHF_DETAIL_1?
section_id=20.60.500.100.0.0.0.0.0&
current_id=20.60.500.100.500.60.60.0.0.
American Academy of Pediatrics, American
Public Health association, and National Resource
Center for Health and Safety in Child Care and
Early Education. (2011) Caring for Our Children:
National Health and Safety Performance Standards;
Guidelines for Early Care and education Programs.
Elk Grove Village, IL; American Academy of
Pediatrics.
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(3) Early Learning and Development
Programs funded under section 619 of
part B of IDEA and part C of IDEA;
(4) Early Learning and Development
Programs funded under Title I of the
ESEA; and
(5) Early Learning and Development
Programs receiving funds from the
State’s CCDF program;
(b) Implementing effective policies
and practices designed to help more
families afford high-quality child care
and maintain the supply of high-quality
child care in areas with high
concentrations of Children with High
Needs (e.g., maintaining or increasing
subsidy reimbursement rates, taking
actions to ensure affordable copayments, providing incentives to highquality providers to participate in the
subsidy program); and
(c) Setting ambitious yet achievable
targets for the numbers and percentages
of Early Learning and Development
Programs that will participate in the
Tiered Quality Rating and Improvement
System by type of Early Learning and
Development Program (as listed in
(B)(2)(a)(1) through (5) above).
(B)(3) Rating and monitoring Early
Learning and Development Programs.
(15 points)
The extent to which the State and its
Participating State Agencies have
developed and implemented, or have a
High-Quality Plan to develop and
implement, a system for rating and
monitoring the quality of Early Learning
and Development Programs
participating in the Tiered Quality
Rating and Improvement System by—
(a) Using a valid and reliable tool for
monitoring such programs, having
trained monitors whose ratings have an
acceptable level of inter-rater reliability,
and monitoring and rating the Early
Learning and Development Programs
with appropriate frequency; and
(b) Providing quality rating and
licensing information to parents with
children enrolled in Early Learning and
Development Programs (e.g., displaying
quality rating information at the
program site) and making program
quality rating data, information, and
licensing history (including any health
and safety violations) publicly available
in formats that are easy to understand
and use for decision making by families
selecting Early Learning and
Development Programs and families
whose children are enrolled in such
programs.
(B)(4) Promoting access to highquality Early Learning and Development
Programs for Children with High Needs.
(20 points)
The extent to which the State and its
Participating State Agencies have
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developed and implemented, or have a
High-Quality Plan to develop and
implement, a system for improving the
quality of the Early Learning and
Development Programs participating in
the Tiered Quality Rating and
Improvement System by—
(a) Developing and implementing
policies and practices that provide
support and incentives for Early
Learning and Development Programs to
continuously improve (e.g., through
training, technical assistance, financial
rewards or incentives, higher subsidy
reimbursement rates, compensation);
(b) Providing supports to help
working families who have Children
with High Needs access high-quality
Early Learning and Development
Programs that meet those needs (e.g.,
providing full-day, full-year programs;
transportation; meals; family support
services); and
(c) Setting ambitious yet achievable
targets for increasing—
(1) The number of Early Learning and
Development Programs in the top tiers
of the Tiered Quality Rating and
Improvement System; and
(2) The number and percentage of
Children with High Needs who are
enrolled in Early Learning and
Development Programs that are in the
top tiers of the Tiered Quality Rating
and Improvement System.
(B)(5) Validating the effectiveness of
State Tiered Quality Rating and
Improvement Systems. (15 points)
The extent to which the State has a
High-Quality Plan to design and
implement evaluations—working with
an independent evaluator and, when
warranted, as part of a cross-State
evaluation consortium—of the
relationship between the ratings
generated by the State’s Tiered Quality
Rating and Improvement System and
the learning outcomes of children
served by the State’s Early Learning and
Development Programs by—
(a) Validating, using research-based
measures, as described in the State Plan
(which also describes the criteria that
the State used or will use to determine
those measures), whether the tiers in the
State’s Tiered Quality Rating and
Improvement System accurately reflect
differential levels of program quality;
and
(b) Assessing, using appropriate
research designs and measures of
progress (as identified in the State Plan),
the extent to which changes in quality
ratings are related to progress in
children’s learning, development, and
school readiness.
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Focused Investment Areas—Sections
(C), (D), and (E)
Each State must address in its
application—
(1) Two or more of the selection
criteria in Focused Investment Area (C);
(2) One or more of the selection
criteria in Focused Investment Area (D);
and
(3) One or more of the selection
criteria in Focused Investment Area (E).
The total available points for each
Focused Investment Area will be
divided by the number of selection
criteria that the applicant chooses to
address in that area, so that each
selection criterion is worth the same
number of points.
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C. Promoting Early Learning and
Development Outcomes for Children
The total available points that an
applicant may receive for selection
criteria (C)(1) through (C)(4) is 60. The
60 points will be divided by the number
of selection criteria that the applicant
chooses to address so that each selection
criterion is worth the same number of
points. For example, if the applicant
chooses to address all four selection
criteria under this Focused Investment
Area, each criterion will be worth up to
15 points. If the applicant chooses to
address two selection criteria, each
criterion will be worth up to 30 points.
The applicant must address at least
two of the selection criteria within
Focused Investment Area (C), which are
as follows:
(C)(1) Developing and using
statewide, high-quality Early Learning
and Development Standards.
The extent to which the State has a
High-Quality Plan to put in place highquality Early Learning and Development
Standards that are used statewide by
Early Learning and Development
Programs and that—
(a) Includes evidence that the Early
Learning and Development Standards
are developmentally, culturally, and
linguistically appropriate across each
age group of infants, toddlers, and
preschoolers, and that they cover all
Essential Domains of School Readiness;
(b) Includes evidence that the Early
Learning and Development Standards
are aligned with the State’s K–3
academic standards in, at a minimum,
early literacy and mathematics;
(c) Includes evidence that the Early
Learning and Development Standards
are incorporated in Program Standards,
curricula and activities, Comprehensive
Assessment Systems, the State’s
Workforce Knowledge and Competency
Framework, and professional
development activities; and
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(d) The State has supports in place to
promote understanding of and
commitment to the Early Learning and
Development Standards across Early
Learning and Development Programs.
(C)(2) Supporting effective uses of
Comprehensive Assessment Systems.
The extent to which the State has a
High-Quality Plan to support the
effective implementation of
developmentally appropriate
Comprehensive Assessment Systems
by—
(a) Working with Early Learning and
Development Programs to select
assessment instruments and approaches
that are appropriate for the target
populations and purposes;
(b) Working with Early Learning and
Development Programs to strengthen
Early Childhood Educators’
understanding of the purposes and uses
of each type of assessment included in
the Comprehensive Assessment
Systems;
(c) Articulating an approach for
aligning and integrating assessments
and sharing assessment results, as
appropriate, in order to avoid
duplication of assessments and to
coordinate services for Children with
High Needs who are served by multiple
Early Learning and Development
Programs; and
(d) Training Early Childhood
Educators to appropriately administer
assessments and interpret and use
assessment data in order to inform and
improve instruction, programs, and
services.
(C)(3) Identifying and addressing the
health, behavioral, and developmental
needs of Children with High Needs to
improve school readiness.
The extent to which the State has a
High-Quality Plan to identify and
address the health, behavioral, and
developmental needs of Children with
High Needs by—
(a) Establishing a progression of
standards for ensuring children’s health
and safety; ensuring that health and
behavioral screening and follow-up
occur; and promoting children’s
physical, social, and emotional
development across the levels of its
Program Standards;
(b) Increasing the number of Early
Childhood Educators who are trained
and supported on an on-going basis in
meeting the health standards;
(c) Promoting healthy eating habits,
improving nutrition, expanding
physical activity; and
(d) Leveraging existing resources to
meet ambitious yet achievable annual
targets to increase the number of
Children with High Needs who—
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(1) Are screened using Screening
Measures that align with the Medicaid
Early Periodic Screening, Diagnostic
and Treatment benefit (see section
1905(r)(5) of the Social Security Act) or
the well-baby and well-child services
available through the Children’s Health
Insurance Program (42 CFR 457.520),
and that, as appropriate, are consistent
with the Child Find provisions in IDEA
(see sections 612(a)(3) and 635(a)(5) of
IDEA);
(2) Are referred for services based on
the results of those screenings, and,
where appropriate, received follow-up;
and
(3) Participate in ongoing health care
as part of a schedule of well-child care,
including the number of children who
are up to date in a schedule of wellchild care.
(C)(4) Engaging and supporting
families.
The extent to which the State has a
High-Quality Plan to provide culturally
and linguistically appropriate
information and support to families of
Children with High Needs in order to
promote school readiness for their
children by—
(a) Establishing a progression of
culturally and linguistically appropriate
standards for family engagement across
the levels of its Program Standards,
including activities that enhance the
capacity of families to support their
children’s education and development;
(b) Increasing the number and
percentage of Early Childhood
Educators trained and supported on an
on-going basis to implement the family
engagement strategies included in the
Program Standards; and
(c) Promoting family support and
engagement statewide, including by
leveraging other existing resources such
as through home visiting programs,
other family-serving agencies, and
through outreach to family, friend, and
neighbor caregivers.
D. A Great Early Childhood Education
Workforce
The total available points that a State
may receive for selection criteria (D)(1)
and (D)(2) is 40. The 40 points will be
divided by the number of selection
criteria that the applicant chooses to
address so that each selection criterion
is worth the same number of points. For
example, if the applicant chooses to
address both selection criteria under
this Focused Investment Area, each
criterion will be worth up to 20 points.
If the applicant chooses to address one
selection criterion, the criterion will be
worth up to 40 points.
The applicant must address at least
one of the selection criteria within
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Focused Investment Area (D), which are
as follows:
(D)(1) Developing a Workforce
Knowledge and Competency Framework
and a progression of credentials.
The extent to which the State has a
High-Quality Plan to—
(a) Develop a common, statewide
Workforce Knowledge and Competency
Framework designed to promote
children’s learning and development
and improve child outcomes;
(b) Develop a common, statewide
progression of credentials and degrees
aligned with the Workforce Knowledge
and Competency Framework; and
(c) Engage postsecondary institutions
and other professional development
providers in aligning professional
development opportunities with the
State’s Workforce Knowledge and
Competency Framework.
(D)(2) Supporting Early Childhood
Educators in improving their knowledge,
skills, and abilities.
The extent to which the State has a
High-Quality Plan to improve the
effectiveness and retention of Early
Childhood Educators who work with
Children with High Needs, with the goal
of improving child outcomes by—
(a) Providing and expanding access to
effective professional development
opportunities that are aligned with the
State’s Workforce Knowledge and
Competency Framework;
(b) Implementing policies and
incentives (e.g., scholarships,
compensation and wage supplements,
tiered reimbursement rates, other
financial incentives, management
opportunities) that promote professional
improvement and career advancement
along an articulated career pathway that
is aligned with the Workforce
Knowledge and Competency
Framework, and that are designed to
increase retention;
(c) Publicly reporting aggregated data
on Early Childhood Educator
development, advancement, and
retention; and
(d) Setting ambitious yet achievable
targets for—
(1) Increasing the number of
postsecondary institutions and
professional development providers
with programs that are aligned to the
Workforce Knowledge and Competency
Framework and the number of Early
Childhood Educators who receive
credentials from postsecondary
institutions and professional
development providers that are aligned
to the Workforce Knowledge and
Competency Framework; and
(2) Increasing the number and
percentage of Early Childhood
Educators who are progressing to higher
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levels of credentials that align with the
Workforce Knowledge and Competency
Framework.
E. Measuring Outcomes and Progress
The total available points an applicant
may receive for selection criteria (E)(1)
and (E)(2) is 40. The 40 points will be
divided by the number of selection
criteria that the applicant chooses to
address so that each selection criterion
is worth the same number of points. For
example, if the applicant chooses to
address both selection criteria under
this Focused Investment Area, each
criterion will be worth up to 20 points.
If the applicant chooses to address one
selection criterion, the criterion will be
worth up to 40 points.
The applicant must address at least
one of the selection criteria within
Focused Investment Area (E), which are
as follows:
(E)(1) Understanding the status of
children’s learning and development at
kindergarten entry.
The extent to which the State has a
High-Quality Plan to implement,
independently or as part of a cross-State
consortium, a common, statewide
Kindergarten Entry Assessment that
informs instruction and services in the
early elementary grades and that—
(a) Is aligned with the State’s Early
Learning and Development Standards
and covers all Essential Domains of
School Readiness;
(b) Is valid, reliable, and appropriate
for the target population and for the
purpose for which it will be used,
including for English learners and
children with disabilities;
(c) Is administered beginning no later
than the start of school year 2014–2015
to children entering a public school
kindergarten; States may propose a
phased implementation plan that forms
the basis for broader statewide
implementation;
(d) Is reported to the Statewide
Longitudinal Data System, and to the
early learning data system, if it is
separate from the Statewide
Longitudinal Data System, as permitted
under and consistent with the
requirements of Federal, State, and local
privacy laws; and
(e) Is funded, in significant part, with
Federal or State resources other than
those available under this grant, (e.g.,
with funds available under section 6111
or 6112 of the ESEA).
(E)(2) Building or enhancing an early
learning data system to improve
instruction, practices, services, and
policies.
The extent to which the State has a
High-Quality Plan to enhance the State’s
existing Statewide Longitudinal Data
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System or to build or enhance a
separate, coordinated, early learning
data system that aligns and is
interoperable with the Statewide
Longitudinal Data System, and that
either data system—
(a) Has all of the Essential Data
Elements;
(b) Enables uniform data collection
and easy entry of the Essential Data
Elements by Participating State
Agencies and Participating Programs;
(c) Facilitates the exchange of data
among Participating State Agencies by
using standard data structures, data
formats, and data definitions such as
Common Education Data Standards to
ensure interoperability among the
various levels and types of data;
(d) Generates information that is
timely, relevant, accessible, and easy for
Early Learning and Development
Programs and Early Childhood
Educators to use for continuous
improvement and decision making; and
(e) Meets the Data System Oversight
Requirements and complies with the
requirements of Federal, State, and local
privacy laws.
2. Review and Selection Process:
The Departments will screen
applications that are received by the
deadline listed in this notice and will
determine which States are eligible
based on whether they have met the
eligibility requirements in paragraphs
(1)(a), (1)(b), and (1)(c) of section III
(Eligibility Information) of this notice;
the Departments will not consider
further those applicants deemed
ineligible under eligibility requirements
in paragraphs (1)(a), (1)(b), and (1)(c) of
that section.
The Departments intend to use a peer
review process with panels of five
reviewers per application. Review
panels will be created based on the
number of applications received (e.g., if
35 applications are received, reviewers
will be sorted into 35 different panels).
After the review process is complete,
the selection of grantees will take into
account, consistent with 34 CFR 75.217,
the rank order of applications, each
applicant’s status with respect to the
Absolute Priority and the eligibility
requirements (1)(a), (1)(b), and (1)(c) of
section III (Eligibility Information) of
this notice; and any other relevant
information. In addition, consistent
with 34 CFR 75.217(d)(3), we remind
potential applicants the evaluation of
applications may consider the
applicant’s past performance in carrying
out a previous reward, such as the
applicant’s use of funds, achievement of
project objectives, and compliance with
grant conditions, as well as the
applicant’s prior record in submitting
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timely and adequate performance
reports. All applicants will receive their
reviewers’ comments and scores.
In addition, in making a competitive
grant award, various assurances are
required from grantees, including those
applicable to Federal civil rights laws
that prohibit discrimination in programs
or activities receiving Federal financial
assistance from the Department of
Education (34 CFR 100.4, 104.5, 106.4,
108.8, and 110.23).
In addition to considering other
relevant factors (see 34 CFR
75.217(d)(3)), the selection of grantees
may consider the need to ensure that
high-quality early learning and
development systems are developed in
States with large, high-poverty, rural
communities (including States with
high percentages of high-poverty
populations in rural areas and States
with high absolute numbers of highpoverty individuals in rural areas).
Awards may be granted to high-quality
applications out of rank order to meet
this need.
We will post all submitted
applications (both successful and
unsuccessful) on ED’s Web site, together
with the final scores each application
received. We will post each reviewer’s
final scores and comments on reviewed
applications, with the names of
reviewers redacted.
3. Special Conditions: Under 34 CFR
80.12, special conditions may be
imposed on a grant if the grantee is not
financially stable; has a history of
unsatisfactory performance; has a
financial or other management system
that does not meet the standards in 34
CFR part 80, as applicable; has not
fulfilled the conditions of a prior grant;
or is otherwise not responsible.
VI. Award Administration Information
1. Award Notices: If an application is
successful, ED will notify the State’s
U.S. Representatives and U.S. Senators
and send the applicant a Grant Award
Notification (GAN). We may notify the
State informally, as well.
If an application is not evaluated or
not selected for funding, ED will notify
the State.
2. Administrative and National Policy
Requirements: We identify
administrative and national policy
requirements in the application package
and reference these and other
requirements in the Applicable
Regulations section of this notice.
We reference the regulations outlining
the terms and conditions of an award in
the Applicable Regulations section of
this notice and include these and other
specific conditions in the GAN. The
GAN also incorporates the approved
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application as part of the binding
commitments under the grant.
3. Reporting:
(a) Any State that applies for a grant
under this competition must ensure that
it has in place the necessary processes
and systems to comply with the
reporting requirements in 2 CFR part
170 should it receive funding under the
competition. This does not apply if the
State has an exception under 2 CFR
170.110(b).
(b) A State receiving funds under an
RTT–ELC grant must submit an annual
report that must include, in addition to
the standard elements, a description of
the State’s progress to date on its goals,
timelines, and budgets, as well as actual
performance compared to the annual
targets the State established in its
application with respect to each
performance measure. Further, a State
receiving funds under this program is
accountable for meeting the goals,
timelines, budget, and annual targets
established in the application; adhering
to an annual fund drawdown schedule
that is tied to meeting these goals,
timelines, budget, and annual targets;
and fulfilling and maintaining all other
conditions for the conduct of the
project. The Departments will monitor a
State’s progress in meeting the State’s
goals, timelines, budget, and annual
targets and in fulfilling other applicable
requirements. In addition, we may
collect additional data as part of a
State’s annual reporting requirements.
To support a collaborative process
with the State, we may require that
applicants who are selected to receive
an award enter into a written
performance or cooperative agreement.
If we determine that a State is not
meeting its goals, timelines, budget, or
annual targets or is not fulfilling other
applicable requirements, we will take
appropriate action, which could include
establishing a collaborative process or
taking enforcement measures with
respect to this grant, such as placing the
State in high-risk status, putting the
State on reimbursement payment status,
or delaying or withholding funds.
4. Evidence and Performance
Measures: Appendix A to this notice
lists the evidence and performance
measures.
VII. Agency Contact
FOR FURTHER INFORMATION CONTACT:
Meredith Farace, U.S. Department of
Education, 400 Maryland Ave., SW.,
room 7E208, Washington, DC 20202–
6400. Telephone: 202–453–6400 or by
e-mail:
RTT.Early.Learning.Challenge@ed.gov.
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If a TDD is needed, call the Federal
Relay Service, toll free, at 1–800–877–
8339.
VIII. Other Information
Accessible Format: Individuals with
disabilities can obtain this document in
an accessible format (e.g., braille, large
print, audiotape, or compact disc) on
request to the program contact person
listed under FOR FURTHER INFORMATION
CONTACT.
Electronic Access to This Document:
The official version of this document is
the document published in the Federal
Register. Free Internet access to the
official edition of the Federal Register
and the Code of Federal Regulations is
available via the Federal Digital System
at: https://www.gpo.gov/fdsys. At this
site you can view this document, as well
as all other documents of these
Departments published in the Federal
Register, in text or Adobe Portable
Document Format (PDF). To use PDF
you must have Adobe Acrobat Reader,
which is available free at the site.
You may also access documents of
these Departments published in the
Federal Register by using the article
search feature at: https://
www.federalregister.gov. Specifically,
through the advanced search feature at
this site, you can limit your search to
documents published by the
Department.
Dated: August 22, 2011.
Arne Duncan,
Secretary of Education.
Kathleen Sebelius,
Secretary of Health and Human Services.
Appendix A: Evidence and
Performance Measures
Note: All tables referenced in this notice
are included in the application package.
Core Areas—Sections (A) and (B)
A. Successful State Systems
(A)(1) Demonstrating past commitment to
early learning and development
Evidence for (A)(1):
• The completed background data tables
providing the State’s baseline data for—
Æ The number and percentage of children
from Low-Income families in the State, by
age (see Table (A)(1)–1 in the application);
Æ The number and percentage of Children
with High Needs from special populations in
the State (see Table (A)(1)–2 in the
application); and
Æ The number of Children with High
Needs in the State who are enrolled in Early
Learning and Development Programs, by age
(see Table (A)(1)–3 in the application).
• Data currently available, if any, on the
status of children at kindergarten entry
(across Essential Domains of School
Readiness, if available), including data on the
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readiness gap between Children with High
Needs and their peers.
• Data currently available, if any, on
program quality across different types of
Early Learning and Development Programs.
• The completed table that shows the
number of Children with High Needs
participating in each type of Early Learning
and Development Program for each of the
past 5 years (2007–2011) (see Table (A)(1)–
4 in the application).
• The completed table that shows the
number of Children with High Needs
participating in each type of Early Learning
and Development Program for each of the
past 5 years (2007–2011) (see Table (A)(1)–
5 in the application).
• The completed table that describes the
current status of the State’s Early Learning
and Development Standards, for each of the
Essential Domains of School Readiness, by
age group of infants, toddlers, and
preschoolers (see Table (A)(1)–6 in the
application).
• The completed table that describes the
elements of a Comprehensive Assessment
System currently required within the State by
different types of Early Learning and
Development Programs or systems (see Table
(A)(1)–7 in the application).
• The completed table that describes the
elements of high-quality health promotion
practices currently required within the State
by different types of Early Learning and
Development Programs or systems (see Table
(A)(1)–8 in the application).
• The completed table that describes the
elements of a high-quality family engagement
strategy currently required within the State
by different types of Early Learning and
Development Programs or systems (see Table
(A)(1)–9 in the application).
• The completed table that describes all
early learning and development workforce
credentials currently available in the State,
including whether credentials are aligned
with a State Workforce Knowledge and
Competency Framework and the number and
percentage of Early Childhood Educators
who have each type of credential (see Table
(A)(1)–10 in the application).
• The completed table that describes the
current status of postsecondary institutions
and other professional development
providers in the State that issue credentials
or degrees to Early Childhood Educators (see
Table (A)(1)–11 in the application).
• The completed table that describes the
current status of the State’s Kindergarten
Entry Assessment (see Table (A)(1)–12 in the
application).
• The completed table that describes all
early learning and development data systems
currently used in the State (see Table (A)(1)–
13 in the application).
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Performance Measures
• None required.
(A)(2) Articulating the State’s rationale for its
early learning and development reform
agenda and goals.
Evidence
Evidence for (A)(2):
• The State’s goals for improving program
quality statewide over the period of this
grant.
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• The State’s goals for improving child
outcomes statewide over the period of this
grant.
• The State’s goals for closing the
readiness gap between Children with High
Needs and their peers at kindergarten entry.
• Identification of the two or more
selection criteria that the State has chosen to
address in Focused Investment Area (C).
• Identification of the one or more
selection criteria that the State has chosen to
address in Focused Investment Area (D).
• Identification of the one or more
selection criteria that the State has chosen to
address in Focused Investment Area (E).
• For each Focused Investment Area (C),
(D), and (E), a description of the State’s
rationale for choosing to address the selected
criteria in that Focused Investment Area,
including how the State’s choices build on its
progress to date in each Focused Investment
Area (as outlined in Tables (A)(1)6–13 and
the narrative under (A)(1) in the application)
and why these selected criteria will best
achieve the State’s ambitious yet achievable
goals for improving program quality,
improving outcomes for Children with High
Needs statewide, and closing the readiness
gap between Children with High Needs and
their peers.
Performance Measures
• None required.
(A)(3) Aligning and coordinating early
learning and development across the State.
Evidence
Evidence for (A)(3)(a) and (b):
• For (A)(3)(a)(1): An organizational chart
that shows how the grant will be governed
and managed.
• The completed table that lists
governance-related roles and responsibilities
(Table (A)(3)–1 in the application).
• A copy of all fully executed MOUs or
other binding agreements that cover each
Participating State Agency. (MOUs or other
binding agreements should be referenced in
the narrative but must be included in the
Appendix to the application).
Evidence
Evidence for (A)(3)(c)(1):
• The completed table that includes a list
of every Early Learning Intermediary
Organization and local early learning council
(if applicable) in the State and indicates
which organizations and councils have
submitted letters of intent or support (Table
(A)(3)–2 in the application).
• A copy of every letter of intent or
support from Early Learning Intermediary
Organizations and local early learning
councils. (Letters should be referenced in the
narrative but must be included in the
Appendix with a table.)
Evidence
Evidence for (A)(3)(c)(2):
• A copy of every letter of intent or
support from other stakeholders. (Letters
should be referenced in the narrative but
must be included in the Appendix with a
table.)
Performance Measures
• None required.
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(A)(4) Developing a budget to implement
and sustain the work of this grant.
Evidence
Evidence for (A)(4)(a):
• The completed table listing the existing
funds to be used to achieve the outcomes in
the State Plan (Table (A)(4)–1 in the
application).
• Description of how these existing funds
will be used for activities and services that
help achieve the outcomes in the State Plan.
Evidence for (A)(4)(b):
• The State’s budget (completed in section
VIII of the application).
• The narratives that accompany and
explain the budget, and describes how it
connects to the State Plan (completed in
section VIII of the application).
Performance Measures
• None required.
B. High-Quality, Accountable Programs
(B)(1) Developing and adopting a common,
statewide Tiered Quality Rating and
Improvement System.
Evidence
Evidence for (B)(1):
• The completed table that lists each set of
existing Program Standards currently used in
the State and the elements that are included
in those Program Standards (Early Learning
and Development Standards, Comprehensive
Assessment Systems, Qualified Workforce,
Family Engagement, Health Promotion,
Effective Data Practices, and Other), (Table
(B)(1)–1 in the application).
• To the extent the State has developed
and adopted a Tiered Quality Rating and
Improvement System based on a common set
of tiered Program Standards that meet the
elements in criterion (B)(1)(a), submit—
Æ A copy of the tiered Program Standards;
Æ Documentation that the Program
Standards address all areas outlined in the
definition of Program Standards, demonstrate
high expectations of program excellence
commensurate with nationally recognized
standards, and are linked to the States
licensing system;
Æ Documentation of how the tiers
meaningfully differentiate levels of quality.
Performance Measures
• None required.
(B)(2) Promoting Participation in the
State’s Tiered Quality Rating and
Improvement System.
Evidence
• Any supporting evidence the State
believes will be helpful to peer reviewers.
Performance Measures
Performance Measures for (B)(2)(c):
General goals to be provided at time of
application, including baseline data and
annual targets:
• Number and percentage of Early
Learning and Development Programs
participating in the statewide Tiered Quality
Rating and Improvement System, by type of
Early Learning and Development Program.
(B)(3) Rating and monitoring Early
Learning and Development Programs.
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Performance Measures
• None required.
(C)(2) Supporting effective uses of
Comprehensive Assessment Systems.
Evidence
• Any supporting evidence the State
believes will be helpful to peer reviewers
Performance Measures
• None required.
(B)(4) Promoting Access to High-Quality
Early Learning and Development Programs
for Children with High Needs.
Evidence
• Any supporting evidence the State
believes will be helpful to peer reviewers.
Performance Measures
Performance Measures for (B)(4)(c):
General goals to be provided at time of
application, including baseline data and
annual targets:
• Number of Early Learning and
Development Programs in the top tiers of the
Tiered Quality Rating and Improvement
System, by type of Early Learning and
Development Program.
• Number and Percentage of Children with
High Needs who are enrolled in Early
Learning and Development Programs that
that are in the top tiers of the Tiered Quality
Rating and Improvement System, by type of
Early Learning and Development Program.
(B)(5) Validating the effectiveness of the
State Tiered Quality Rating and Improvement
System.
Evidence
• Any supporting evidence the State
believes will be helpful to peer reviewers.
Performance Measures
• None required.
Focused Investment Areas—Sections (C), (D),
and (E)
C. Promoting Early Learning and
Development Outcomes for Children
(C)(1) Developing and using statewide,
high-quality Early Learning and Development
Standards.
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Evidence
Evidence for (C)(1)(a) and (b):
• To the extent the State has implemented
Early Learning and Development Standards
that meet the elements in criteria (C)(1)(a)
and (b), submit—
Æ Proof of use by all types of Early
Learning and Development Programs in the
State;
Æ The State’s Early Learning and
Development Standards for:
—Infants and toddlers
—Preschoolers
Æ Documentation that the standards are
developmentally, linguistically and
culturally appropriate for all children,
including children with disabilities and
developmental delays and English Learners;
Æ Documentation that the standards
address all Essential Domains of School
Readiness and that they are of high-quality;
and
Æ Documentation of the alignment
between the State’s Early Learning and
Development Standards and the State’s K–3
standards.
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Evidence
• Any supporting evidence the State
believes will be helpful to peer reviewers.
Performance Measures
• None required.
(C)(3) Identifying and addressing the
health, behavioral, and developmental needs
of Children with High Needs to improve
school readiness.
Evidence
Evidence for (C)(3)(a):
• To the extent the State has established a
progression of health standards across the
levels of Program Standards that meet the
elements in criterion (C)(3)(a), submit—
Æ The progression of health standards used
in the Program Standards and the State’s
plans for improvement over time, including
documentation demonstrating that this
progression of standards appropriately
addresses health and safety standards;
developmental, behavioral, and sensory
screening, referral, and follow-up; health
promotion including healthy eating habits,
improved nutrition, and increased physical
activity; oral health; and social and
emotional development; and health literacy
among parents and children;
Evidence for (C)(3)(b):
• To the extent the State has existing and
projected numbers and percentages of Early
Childhood Educators who receive training
and support in meeting the health standards,
the State shall submit documentation of these
data. If the State does not have these data, the
State shall outline its plan for deriving them.
Evidence
Evidence for (C)(3)(c):
• Any supporting evidence the State
believes will be helpful to peer reviewers.
Performance Measures
• None required.
Evidence
Evidence for (C)(3)(d):
• Documentation of the State’s existing
and future resources that are or will be used
to address the health, behavioral, and
developmental needs of Children with High
Needs. At a minimum, documentation must
address the screening, referral, and follow-up
of all Children with High Needs; how the
State will promote the participation of
Children with High Needs in ongoing health
care as part of a schedule of well-child care;
how the State will promote healthy eating
habits and improved nutrition as well as
increased physical activity for Children with
High Needs; and how the State will promote
health literacy for children and parents.
Performance Measures
Performance Measures for (C)(3)(d):
General goals to be provided at time of
application, including baseline data and
annual targets:
• Number of Children with High Needs
Screened;
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• Number of Children with High Needs
referred for services and received follow-up/
treatment;
• Number of Children with High Needs
that participate in ongoing health care as part
of a schedule of well-child care;
• Of these participating Children with
High Needs, the number or percentage of
children who are up-to-date in receiving
services as part of a schedule of well-child
care.
(C)(4) Engaging and supporting families.
Evidence
Evidence for (C)(4)(a):
• To the extent the State has established a
progression of family engagement standards
across the levels of Program Standards that
meet the elements in criterion (C)(4)(a),
submit—
Æ The progression of culturally and
linguistically appropriate family engagement
standards used in the Program Standards that
includes strategies successfully used to
engage families in supporting their children’s
development and learning. A State’s family
engagement standards must address, but
need not be limited to: Parent access to the
program, ongoing two-way communication
with families, parent education in child
development, outreach to fathers and other
family members, training and support for
families as children move to preschool and
kindergarten, social networks of support,
intergenerational activities, linkages with
community supports and adult and family
literacy programs, parent involvement in
decision making, and parent leadership
development;
Æ Documentation that this progression of
standards includes activities that enhance the
capacity of families to support their
children’s education and development.
Evidence
Evidence for (C)(4)(b):
• To the extent the State has existing and
projected numbers and percentages of Early
Childhood Educators who receive training
and support on the family engagement
strategies included in the Program Standards,
the State shall submit documentation of these
data. If the State does not have these data, the
State shall outline its plan for deriving them.
Evidence
Evidence for (C)(4)(c):
• Documentation of the State’s existing
resources that are or will be used to promote
family support and engagement statewide,
including through home visiting programs
and other family-serving agencies and the
identification of new resources that will be
used to promote family support and
engagement statewide.
Performance Measures
• None required.
D. A Great Early Childhood Education
Workforce
(D)(1) Developing a Workforce Knowledge
and Competency Framework and a
progression of credentials.
Evidence
Evidence for (D)(1):
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• To the extent the State has developed a
common, statewide Workforce Knowledge
and Competency Framework that meets the
elements in criterion (D)(1), submit:
Æ The Workforce Knowledge and
Competencies;
Æ Documentation that the State’s
Workforce Knowledge and Competency
Framework addresses the elements outlined
in the definition of Workforce Knowledge
and Competency Framework in the Program
Definitions section of this notice and is
designed to promote children’s learning and
development and improve outcomes.
Performance Measures
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• None required.
(D)(2) Supporting Early Childhood
Educators in improving their knowledge,
skills, and abilities.
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Evidence
• Any supporting evidence the State
believes will be helpful to peer reviewers.
Performance Measures
Performance Measures for (D)(2)(d):
General goals to be provided at time of
application, including baseline data and
annual targets:
• (D)(2)(d)(1): Number of postsecondary
institutions and professional development
providers that are aligned to the State’s
Workforce Knowledge and Competency
Framework, and the number of Early
Childhood Educators receiving credentials
from those aligned postsecondary institutions
or professional development providers.
• (D)(2)(d)(2): Number and percentage of
Early Childhood Educators who are
progressing to higher levels of credentials
that align with the State’s Workforce
Knowledge and Competency Framework.
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E. Measuring Outcomes and Progress
(E)(1) Understanding the status of
children’s learning and development at
kindergarten entry.
Evidence
• Any supporting evidence the State
believes will be helpful to peer reviewers.
Performance Measures
• None required.
(E)(2) Building or enhancing an early
learning data system to improve instruction,
practices, services, and policies.
Evidence
• Any supporting evidence the State
believes will be helpful to peer reviewers.
Performance Measures
• None required.
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BILLING CODE 4000–01–C
Agencies
[Federal Register Volume 76, Number 166 (Friday, August 26, 2011)]
[Notices]
[Pages 53564-53594]
From the Federal Register Online via the Government Printing Office [www.gpo.gov]
[FR Doc No: 2011-21756]
[[Page 53563]]
Vol. 76
Friday,
No. 166
August 26, 2011
Part III
Department of Education
Department of Health and Human Services
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Applications for New Awards; Race to the Top--Early Learning
Challenge; Notice
Federal Register / Vol. 76 , No. 166 / Friday, August 26, 2011 /
Notices
[[Page 53564]]
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DEPARTMENT OF EDUCATION
DEPARTMENT OF HEALTH AND HUMAN SERVICES
Applications for New Awards; Race to the Top--Early Learning
Challenge
AGENCIES: Department of Education and Department of Health and Human
Services.
ACTION: Notice.
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Overview Information
Race to the Top--Early Learning Challenge Notice inviting
applications for new awards for fiscal year (FY) 2011.
Catalog of Federal Domestic Assistance (CFDA) Number: 84.412.
Dates: Applications Available: August 26, 2011.
Date of Meetings for Potential Applicants: To assist States in
preparing the application and to respond to questions, the Department
of Education (ED) and the Department of Health and Human Services (HHS)
(collectively, the Departments) intend to host a Webinar with potential
applicants on September 1, 2011, to review the requirements, selection
criteria, and priorities for this competition. The Departments also
plan to host a Technical Assistance Planning Workshop for potential
applicants on September 13, 2011, in Washington, DC. Registration
information and additional details for the September 1, 2011, Webinar;
the September 13, 2011, workshop; and any other technical assistance
events are on the Race to the Top-Early Learning (RTT-ELC) Web site at
https://www.ed.gov/programs/racetothetop-earlylearningchallenge.
Deadline for Transmittal of Applications: October 19, 2011.
Deadline for Intergovernmental Review: December 19, 2011.
Full Text of Announcement
I. Funding Opportunity Description
Purpose of Program: The purpose of the RTT-ELC program is to
improve the quality of early learning and development and close the
achievement gap for children with high needs. The RTT-ELC grant
competition focuses on improving early learning and development for
young children by supporting States' efforts to increase the number and
percentage of low-income and disadvantaged children in each age group
of infants, toddlers, and preschoolers enrolled in high-quality early
learning and development programs; and designing and implementing an
integrated system of high-quality early learning and development
programs and services.
Background: A critical focus of the Obama Administration is
supporting America's youngest learners and helping ensure that
children, especially young children with high needs, such as those who
are low-income, English learners, and children with disabilities or
developmental delays, enter kindergarten ready to succeed in school and
in life. A robust body of research demonstrates that high-quality early
learning and development programs and services can improve young
children's health, social emotional and cognitive outcomes, enhance
school readiness, and help close the wide school readiness gap
1 2 that exists between children with high needs and their
peers at the time they enter kindergarten.3 4
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\1\ Camilli, G., Vargas, S., Ryan, S., & Barnett, W. S. (2010).
Meta-analysis of the effects of early education interventions on
cognitive and social development. Teachers College Record, 112(3),
579-620.
\2\ Reynolds, A.J., Temple, J.A., Ou, S., Arteaga, I.A., &
White, B.A.B. (2011). School-based early childhood education and
age-28 well-being: effects by timing, dosage, and subgroups.
Science, Retrieved from https://www.sciencemag.org/content/early/2011/06/08/science.1203618.abstract_doi:_10.1126/science.1203618.
\3\ Princiotta, D., Flanagan, K. D., and Germino Hausken, E.
(2006). Fifth Grade: Findings From The Fifth-Grade Follow-up of the
Early Childhood Longitudinal Study, Kindergarten Class of 1998-99
(ECLS-K). (NCES 2006-038) U.S. Department of Education.
\4\ Halle, T., Forry, N., Hair, E., Perper, K., Wandner, L.,
Wessel, J., & Vick, J. (2009). Disparities in Early Learning and
Development: Lessons from the Early Childhood Longitudinal Study--
Birth Cohort (ECLS-B). Washington, DC: Child Trends.
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To address this school readiness gap, the Administration has
identified, as high priorities, strengthening the quality of early
learning and development programs and increasing access to high-quality
early learning programs for all children, including those with high
needs. This commitment to early education is reflected in the RTT-ELC
competition that we are announcing in this notice.
On May 25, 2011, Secretaries Duncan and Sebelius announced the RTT-
ELC, a new $500 million State-level grant competition to be held in
2011 and authorized under the American Recovery and Reinvestment Act of
2009 (ARRA), as amended by section 1832(b) of the Department of Defense
and Full-Year Continuing Appropriations Act, 2011. The Departments are
administering this competition jointly. At its core, RTT-ELC
demonstrates a strong commitment by the Administration to stimulate a
national effort to make sure all children enter kindergarten ready to
succeed. Through the RTT-ELC, the Administration seeks to help close
the achievement gap between children with high needs and their peers by
supporting State efforts to build strong systems of early learning and
development that provide increased access to high-quality programs for
the children who need it most. This competition represents an
unprecedented opportunity for States to focus deeply on their early
learning and development systems for children from birth through age
five. It is an opportunity to build a more unified approach to
supporting young children and their families--an approach that
increases access to high-quality early learning and development
programs and services, and helps ensure that children enter
kindergarten with the skills, knowledge, and dispositions toward
learning they need to be successful.
The RTT-ELC competition does not create new early learning and
development programs, nor is it a vehicle for maintenance of the status
quo. Rather, the RTT-ELC program will support States that demonstrate
their commitment to integrating and aligning resources and policies
across all of the State agencies that administer public funds related
to early learning and development. It will further provide incentives
to the States that commit to and implement high-quality early learning
and development programs statewide.
As explained more fully elsewhere in this notice, given the tight
timeline for obligating funds and in order to provide States maximum
time to prepare their applications for this competition, notice-and-
comment rulemaking is being waived for this competition. Specifically,
we are waiving rulemaking for the priorities, requirements,
definitions, and selection criteria for this new competition under
section 437(d)(1) of the General Education Provisions Act (GEPA).
However, we have solicited public participation in two important ways
as we developed an approach to conducting and implementing this
competition. First, we invited the public to provide general input on
the program from May 25 through June 30 on the ED.gov Blog. In response
to this invitation, we received a total of 199 responses, which we
considered in our development of this notice. From July 1 to July 11,
we posted on ED's Web site a draft Executive Summary of the
competition, which included draft competition priorities, requirements,
definitions, and selection criteria, and we invited public input on
each of these elements of the competition. During this period, we
received 349 responses reflecting the
[[Page 53565]]
viewpoints of a variety of individuals and early childhood, health, and
education organizations. These we also considered in our development of
this notice.
Current State Early Learning and Development Systems
Many early learning and development programs and services co-exist
within States, including Head Start/Early Head Start programs, the
Child Care and Development Fund (CCDF) program (pursuant to the Child
Care and Development Block Grant Act (42 U.S.C. 9858 et seq.)), State-
funded preschool, programs authorized under section 619 of part B of
the Individuals with Disabilities Education Act (IDEA) and part C of
IDEA, and other State and locally supported programs. Each of these
programs has its own funding stream and accompanying requirements,
standards, expectations, policies, and procedures. Each also has its
own unique strengths and makes unique contributions to young children
and their families. For States, the challenges to be addressed by RTT-
ELC are to sustain and build on the strengths of these programs,
acknowledge and appreciate their differences, reduce inefficiency,
improve quality, and ultimately deliver a coordinated set of services
and experiences that support young children's success in school and
beyond.
The RTT-ELC Vision for State Early Learning and Development Systems
Through the RTT-ELC competition, we intend to fund applications
that demonstrate a State's commitment and capacity to building a
statewide system that raises the quality of early learning and
development programs so that all children receive the support they need
to enter kindergarten ready to succeed. Just as career and college
readiness were at the heart of ED's Race to the Top Phase 1 and Phase 2
competitions, a commitment to building school readiness for children
entering kindergarten is at the heart of this competition.
As was the case with Race to the Top Phase 1 and Phase 2, the bar
to receive an RTT-ELC grant will be high. And just as those first two
phases of Race to the Top were organized around State commitments to
four specific reform assurances articulated in the ARRA, RTT-ELC is
organized around five key areas of reform. These five key areas
represent the foundation of an effective early learning and development
reform agenda that is focused on school readiness and ongoing academic
success. They are central to this competition's priorities,
requirements, and selection criteria, and are as follows:
(A) Successful State Systems;
(B) High-Quality, Accountable Programs;
(C) Promoting Early Learning and Development Outcomes for Children;
(D) A Great Early Childhood Education Workforce; and
(E) Measuring Outcomes and Progress.
The first two of these, (A) and (B), are core areas of focus for
this competition. As such, they are referred to throughout this notice
as ``Core Areas,'' and applicants are required to respond to all
selection criteria under these Core Areas. The reform areas in (C),
(D), and (E) are areas where applicants will direct targeted attention
to specific activities that are relevant to their State's context. In
this notice, we refer to these areas as ``Focused Investment Areas,''
and applicants are required to address each Focused Investment Area but
not all of the selection criteria under them. A discussion of the five
key areas of reform follows.
A. Successful State Systems
Successful State early learning and development systems are built
on broad-based stakeholder participation and effective governance
structures. They are guided by clearly articulated goals and strategies
designed to deliver a coordinated set of programs, policies, and
services that are responsive to the needs of children and families and
effectively prepare young children for school success. The RTT-ELC
competition will support States that demonstrate a commitment to
creating and implementing a successful statewide early learning and
development system and that effectively organize and align that system
to provide the diversity of services and supports needed by children
and families. Such a system can provide continuity and consistent
levels of quality across delivery mechanisms and levels of care and
education. Thus, under the priorities established for this competition,
States must propose and implement ambitious plans for successful State
systems of early learning and development that will have broad impact
and can--
Improve program quality and outcomes for young children;
Increase the number of children with high needs attending
high-quality early learning and development programs; and
Help close the achievement gap between children with high
needs and their peers by supporting efforts to increase kindergarten
readiness.
B. High-Quality, Accountable Programs
The RTT-ELC competition will support States that develop a common
set of program standards used statewide. This will help align programs
such as Head Start, CCDF, IDEA, and Title I of the Elementary and
Secondary Act (ESEA), and State-funded preschool to create a more
unified statewide system of early learning and development. In
addition, each State grantee must design and implement a tiered quality
rating and improvement system that is based on consistent and demanding
statewide program standards and that establishes meaningful program
ratings. RTT-ELC promotes broad participation in the State's tiered
quality rating and improvement system across a range of programs,
active program improvement, and the publication of program ratings so
that families can make informed decisions about which programs can best
serve the needs of their children.
C. Promoting Early Learning and Development Outcomes for Children
The RTT-ELC competition is based on the premise that effective
programs and services for young children must be built on a set of
early learning and development standards that define what children
should know and be able to do at different stages of development. These
standards provide guidelines, articulate developmental milestones, and
set expectations for the healthy growth and development of young
children. This competition rewards States that will implement high-
quality early learning and development standards and comprehensive
systems of assessments aligned with these standards. The implementation
of these standards and assessments will ensure that early childhood
educators have the information they need to understand and support
young children's growth and development across a broad range of domains
so that significantly more young children enter kindergarten ready to
succeed.
Improving early learning and development outcomes also requires
that children are healthy and supported by their families. Services
that address health and family supports are thus critical, and health
and family engagement are key elements in high-quality early learning
and development programs. RTT-ELC is designed to support States that
focus on increasing access to quality programs and services that
promote health and engage families in the care and education of their
young children.
[[Page 53566]]
D. A Great Early Childhood Education Workforce
In early learning and development settings, nothing matters more to
children's success than the adults caring for and teaching them, and
the RTT-ELC competition acknowledges the importance of a strong early
childhood workforce. Ensuring that children are ready for success in
kindergarten depends on well-trained adults who have acquired the
necessary knowledge, skills, and abilities to effectively support the
learning and development of every child. Thus, the competition will
reward States that work closely with postsecondary institutions and
other parties to define a set of workforce competencies that are tied
to the State's early learning and development standards. Further, the
competition encourages States to increase retention and improve
educator quality by supporting their workforce with professional
development, career advancement opportunities, differentiated
compensation, and incentives to improve their knowledge, skills, and
abilities.
E. Measuring Outcomes and Progress
Collecting, organizing, and understanding evidence of young
children's progress across a range of domains is essential to ensuring
that early learning and development programs are of high quality and
that they meet the needs of every child. States are therefore
encouraged to implement comprehensive data systems and to use the data
to improve instruction, practices, services, and policies. In addition,
through both a selection criterion and a competitive preference
priority, States will be rewarded for implementing kindergarten entry
assessments statewide that provide information across all domains of
early learning and development, inform efforts to close the school-
readiness gap, and inform instruction in the early elementary school
grades.
By organizing this program around the five key reform areas
described in this section, the RTT-ELC competition will help lead the
way for States to challenge and rethink the status quo. Not every State
will receive an RTT-ELC award through this competition, but every State
can use this competition as an opportunity to commit to comprehensively
strengthening its early learning and development system and ensuring
that more children, including those with high needs, have access to
high-quality early learning and development programs and services.
Priorities: This notice contains five (5) priorities: One (1)
absolute priority, two (2) competitive preference priorities, and two
(2) invitational priorities. These priorities are being established for
the FY 2011 grant competition in accordance with section 437(d)(1) of
GEPA, 20 U.S.C. 1232(d)(1).
Absolute Priority: For FY 2011, this priority is an absolute
priority. Under 34 CFR 75.105(c)(3), we consider only applications that
meet this priority. Applicants do not write a separate response to this
priority. Rather, they will address this priority throughout their
responses to the selection criteria as indicated below. A State meets
the absolute priority if a majority of reviewers determines that the
State has met the absolute priority.
Priority 1: Absolute Priority--Promoting School Readiness for
Children with High Needs.
To meet this priority, the State's application must comprehensively
and coherently address how the State will build a system that increases
the quality of Early Learning and Development Programs \5\ for Children
with High Needs so that they enter kindergarten ready to succeed.
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\5\ Defined terms are used throughout the notice and are
indicated by capitalization.
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The State's application must demonstrate how it will improve the
quality of Early Learning and Development Programs by integrating and
aligning resources and policies across Participating State Agencies and
by designing and implementing a common, statewide Tiered Quality Rating
and Improvement System. In addition, to achieve the necessary reforms,
the State must make strategic improvements in those specific reform
areas that will most significantly improve program quality and outcomes
for Children with High Needs. Therefore, the State must address those
criteria from within each of the Focused Investment Areas (sections (C)
Promoting Early Learning and Development Outcomes for Children, (D) A
Great Early Childhood Education Workforce, and (E) Measuring Outcomes
and Progress) that it believes will best prepare its Children with High
Needs for kindergarten success.
Competitive Preference Priorities: For FY 2011, these priorities
are competitive preference priorities. Under 34 CFR 75.105(c)(2)(i), up
to ten (10) additional points will be awarded to an application
depending on the extent to which the application meets Competitive
Preference Priority 2, and ten (10) additional points (all or nothing)
to an application that meets Competitive Preference Priority 3.
Applicants that choose to address Competitive Preference Priority 2
must provide a narrative in the space provided in the application, and
applicants that choose to address Competitive Preference Priority 3
must do so in Table \6\ (A)(1)-12, or by writing to selection criterion
(E)(1).
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\6\ Tables referenced in this notice are included in the
application package.
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These priorities are:
Priority 2: Competitive Preference Priority--Including all Early
Learning and Development Programs in the Tiered Quality Rating and
Improvement System.
Competitive Preference Priority 2 is designed to increase the
number of children from birth to kindergarten entry who are
participating in programs that are governed by the State's licensing
system and quality standards, with the goal that all licensed or State-
regulated programs will participate. The State will receive points for
this priority based on the extent to which the State has in place, or
has a High-Quality Plan to implement no later than June 30, 2015--
(a) A licensing and inspection system that covers all programs that
are not otherwise regulated by the State and that regularly care for
two or more unrelated children for a fee in a provider setting;
provided that if the State exempts programs for reasons other than the
number of children cared for, the State may exclude those entities and
reviewers will score this priority only on the basis of non-excluded
entities; and
(b) A Tiered Quality Rating and Improvement System in which all
licensed or State-regulated Early Learning and Development Programs
participate.
Priority 3: Competitive Preference Priority--Understanding the
Status of Children's Learning and Development at Kindergarten Entry.
To meet this priority, the State must, in its application--
(a) Demonstrate that it has already implemented a Kindergarten
Entry Assessment that meets selection criterion (E)(1) by indicating
that all elements in Table (A)(1)-12 are met; or
(b) Address selection criterion (E)(1) and earn a score of at least
70 percent of the maximum points available for that criterion.
Note: A State will earn all ten (10) competitive preference
priority points if a majority of reviewers determines that the State
has met the competitive preference priority. A State earns zero
points if a majority of reviewers determines that the
[[Page 53567]]
applicant has not met the competitive preference priority. Under
option (a) above, an applicant does not earn competitive preference
points if the reviewers determine that the State has not implemented
a Kindergarten Entry Assessment that meets selection criterion
(E)(1). Under option (b) above, an applicant does not earn
competitive preference points if the State earns a score of less
than 70 percent of the maximum points available for selection
criterion (E)(1).
Invitational Priorities: For FY 2011, these priorities are
invitational priorities. With an invitational priority, we signal our
interest in receiving applications that meet the priority but, under 34
CFR 75.105(c)(1), we do not give an application that meets an
invitational priority preference over other applications.
Priority 4: Invitational Priority--Sustaining Program Effects in
the Early Elementary Grades.
The Departments are particularly interested in applications that
describe the State's High-Quality Plan to sustain and build upon
improved early learning outcomes throughout the early elementary school
years, including by--
(a) Enhancing the State's current standards for kindergarten
through grade 3 to align them with the Early Learning and Development
Standards across all Essential Domains of School Readiness;
(b) Ensuring that transition planning occurs for children moving
from Early Learning and Development Programs to elementary schools;
(c) Promoting health and family engagement, including in the early
grades;
(d) Increasing the percentage of children who are able to read and
do mathematics at grade level by the end of the third grade; and
(e) Leveraging existing Federal, State, and local resources,
including but not limited to funds received under Title I and Title II
of ESEA, as amended, and IDEA.
Priority 5: Invitational Priority--Encouraging Private-Sector
Support.
The Departments are particularly interested in applications that
describe how the private sector will provide financial and other
resources to support the State and its Participating State Agencies or
Participating Programs in the implementation of the State Plan.
Application Requirements:
Each applicant must meet the following application requirements:
(a) The State's application must be signed by the Governor or an
authorized representative; an authorized representative from the Lead
Agency; and an authorized representative from each Participating State
Agency. The State must provide the required signatures in section IV,
Application Assurances and Certifications of the application.
(b) The State must submit a certification from the State Attorney
General or an authorized representative that the State's description
of, and statements and conclusions in its application concerning, State
law, statute, and regulation are complete and accurate and constitute a
reasonable interpretation of State law, statute, and regulation. The
State must provide this certification in section IV, Application
Assurances and Certifications of the application.
(c) The State must complete the budget spreadsheets that are
provided in the application package and submit the completed
spreadsheet as part of its application. These spreadsheets should be
included on the CD or DVD that the State submits as its application.
Note: The budget spreadsheets will be used by the Departments
for budget reviews. However, the reviewers will not judge or score
these budget spreadsheets. Reviewers will limit their evaluation of
the State's response to (A)(4)(b) to the information provided by the
State in the budget section of the application (see section VIII,
Budget).
(d) The State must submit preliminary scopes of work for each
Participating State Agency as part of the executed Memorandum of
Understanding (MOU) or other binding agreement. (See Appendix C in this
notice). Each preliminary scope of work must describe the portions of
the State's proposed plans that the Participating State Agency is
agreeing to implement. If a State is awarded an RTT-ELC grant, the
State will have up to 90 days to complete final scopes of work for each
Participating State Agency. (See section (k) of the Program
Requirements in this notice.)
(e) The State must include a budget that details how it will use
grant funds awarded under this competition, and funds from other
Federal, State, private, and local sources to achieve the outcomes of
the State Plan (as described in selection criterion (A)(4)(a)), and how
the State will use funds awarded under this program to--
(1) Achieve its targets for increasing the number and percentage of
Early Learning and Development Programs that are participating in the
State's Tiered Quality Rating and Improvement System (as described in
selection criterion (B)(2)(c)); and
(2) Achieve its targets for increasing the number and percentage of
Children with High Needs who are enrolled in Early Learning and
Development Programs that are in the top tiers of the State's Tiered
Quality Rating and Improvement System (as described in selection
criterion (B)(4)(c)).
(f) The State must provide an overall summary for the State Plan
and a rationale for why it has chosen to address the selected criteria
in each Focused Investment Area, including--
How the State's choices build on its progress to date in
each Focused Investment Area (as outlined in Tables (A)(1)6-13 and the
narrative under (A)(1)); and
Why these selected criteria will best achieve the State's
ambitious yet achievable goals for improving program quality, improving
outcomes for Children with High Needs statewide, and closing the
readiness gap between Children with High Needs and their peers.
(g) The State, within each Focused Investment Area, must select and
address--
Two or more selection criteria within Focused Investment
Area (C) Promoting Early Learning and Development Outcomes for
Children; and
One or more selection criteria within Focused Investment
Areas (D) A Great Early Childhood Education Workforce and (E) Measuring
Outcomes and Progress.
(h) Where the State is submitting a High-Quality Plan, the State
must include in its application a detailed plan that is feasible and
has a high probability of successful implementation and includes, but
need not be limited to--
(1) The key goals;
(2) The key activities to be undertaken; the rationale for the
activities; and, if applicable, where in the State the activities will
be initially implemented, and where and how they will be scaled up over
time to eventually achieve statewide implementation;
(3) A realistic timeline, including key milestones, for
implementing each key activity;
(4) The party or parties responsible for implementing each activity
and other key personnel assigned to each activity;
(5) Appropriate financial resources to support successful
implementation of the plan;
(6) The information requested as supporting evidence, if any,
together with any additional information the State believes will be
helpful to peer reviewers in judging the credibility of the plan;
(7) The information requested in the performance measures, where
applicable;
[[Page 53568]]
(8) How the State will address the needs of the different types of
Early Learning and Development Programs, if applicable; and
(9) How the State will meet the needs of Children with High Needs,
as well as the unique needs of special populations of Children with
High Needs.
Program Requirements: If a State is awarded an RTT-ELC grant, it
must meet the following requirements:
(a) The State must continue to participate in the programs
authorized under section 619 of part B of IDEA and part C of IDEA; in
the CCDF program; and in the Maternal, Infant, and Early Childhood Home
Visiting (MIECHV) program (pursuant to section 511 of Title V of the
Social Security Act, as added by Section 2951 of the Affordable Care
Act of 2010 (Pub. L. 111-148)) for the duration of the grant.
(b) The State is prohibited from spending funds from the grant on
the direct delivery of health services.
(c) The State must participate in RTT-ELC grantee technical
assistance activities facilitated by ED or HHS, individually or in
collaboration with other State grantees in order to share effective
program practices and solutions and collaboratively solve problems, and
must set aside $400,000 from its grant funds for this purpose.
(d) The State must--
(1) Comply with the requirements of any evaluation sponsored by ED
or HHS of any of the State's activities carried out with the grant;
(2) Comply with the requirements of any cross-State evaluation--as
part of a consortium of States--of any of the State's proposed reforms,
if that evaluation is coordinated or funded by ED or HHS, including by
using common measures and data collection instruments and collecting
data necessary to the evaluation;
(3) Together with its independent evaluator, if any, cooperate with
any technical assistance regarding evaluations provided by ED or HHS.
The purpose of this technical assistance will be to ensure that the
validation of the State's Tiered Quality Rating and Improvement System
and any other evaluations conducted by States or their independent
evaluators, if any, are of the highest quality and to encourage
commonality in approaches where such commonality is feasible and
useful;
(4) Submit to ED and HHS for review and comment its design for the
validation of its Tiered Quality Rating and Improvement System (as
described in selection criteria (B)(5)) and any other evaluations of
activities included in the State Plan, including any activities that
are part of the State's Focused Investment Areas, as applicable; and
(5) Make widely available through formal (e.g., peer-reviewed
journals) or informal (e.g., newsletters) mechanisms, and in print or
electronically, the results of any evaluations it conducts of its
funded activities.
(e) The State must have a longitudinal data system that includes
the 12 elements described in section 6401(e)(2)(D) of the America
COMPETES Act by the date required under the State Fiscal Stabilization
Fund (SFSF) grant and in accordance with Indicator (b)(1) of its
approved SFSF plan.
(f) The State must comply with the requirements of all applicable
Federal, State, and local privacy laws, including the requirements of
the Family Educational Rights and Privacy Act, the Health Insurance
Portability Accountability Act, and the privacy requirements in IDEA,
and their applicable regulations.
(g) The State must ensure that the grant activities are implemented
in accordance with all applicable Federal, State, and local laws.
(h) The State must provide researchers with access, consistent with
the requirements of all applicable Federal State, and local privacy
laws, to data from its Tiered Quality Rating and Improvement System and
from the Statewide Longitudinal Data System and the State's coordinated
early learning data system (if applicable) so that they can analyze the
State's quality improvement efforts and answer key policy and practice
questions.
(i) Unless otherwise protected as proprietary information by
Federal or State law or a specific written agreement, the State must
make any work (e.g., materials, tools, processes, systems) developed
under its grant freely available to the public, including by posting
the work on a Web site identified or sponsored by ED or HHS. Any Web
sites developed under this grant must meet government or industry-
recognized standards for accessibility.
(j) Funds made available under an RTT-ELC grant must be used to
supplement, not supplant, any Federal, State, or local funds that, in
the absence of the funds awarded under this grant, would be available
for increasing access to and improving the quality of Early Learning
and Development Programs.
(k) For a State that is awarded an RTT-ELC grant, the State will
have up to 90 days from the grant award notification date to complete
final scopes of work for each Participating State Agency. These final
scopes of work must contain detailed work plans that are consistent
with their corresponding preliminary scopes of work and with the
State's grant application, and must include the Participating State
Agency's specific goals, activities, timelines, budgets, key personnel,
and annual targets for key performance measures for the portions of the
State's proposed plans that the Participating State Agency is agreeing
to implement.
Program Definitions:
Children with High Needs means children from birth through
kindergarten entry who are from Low-Income families or otherwise in
need of special assistance and support, including children who have
disabilities or developmental delays; who are English learners; who
reside on ``Indian lands'' as that term is defined by section 8013(6)
of the ESEA; who are migrant, homeless, or in foster care; and other
children as identified by the State.
Common Education Data Standards (CEDS) means voluntary, common
standards for a key set of education data elements (e.g., demographics,
program participation, transition, course information) at the early
learning, K-12, and postsecondary levels developed through a national
collaborative effort being led by the National Center for Education
Statistics. CEDS focus on standard definitions, code sets, and
technical specifications of a subset of key data elements and are
designed to increase data interoperability, portability, and
comparability across Early Learning and Development Programs and
agencies, States, local educational agencies, and postsecondary
institutions.
Comprehensive Assessment System means a coordinated and
comprehensive system of multiple assessments, each of which is valid
and reliable for its specified purpose and for the population with
which it will be used, that organizes information about the process and
context of young children's learning and development in order to help
Early Childhood Educators make informed instructional and programmatic
decisions and that conforms to the recommendations of the National
Research Council reports on early childhood.
A Comprehensive Assessment System includes, at a minimum--
(a) Screening Measures;
(b) Formative Assessments;
(c) Measures of Environmental Quality; and
(d) Measures of the Quality of Adult-Child Interactions.
Data System Oversight Requirements means policies for ensuring the
quality,
[[Page 53569]]
privacy, and integrity of data contained in a data system, including--
(a) A data governance policy that identifies the elements that are
collected and maintained; provides for training on internal controls to
system users; establishes who will have access to the data in the
system and how the data may be used; sets appropriate internal controls
to restrict access to only authorized users; sets criteria for
determining the legitimacy of data requests; establishes processes that
verify the accuracy, completeness, and age of the data elements
maintained in the system; sets procedures for determining the
sensitivity of each inventoried element and the risk of harm if those
data were improperly disclosed; and establishes procedures for
disclosure review and auditing; and
(b) A transparency policy that informs the public, including
families, Early Childhood Educators, and programs, of the existence of
data systems that house personally identifiable information, explains
what data elements are included in such a system, enables parental
consent to disclose personally identifiable information as appropriate,
and describes allowable and potential uses of the data.
Early Childhood Educator means any professional working in an Early
Learning and Development Program, including but not limited to center-
based and family child care providers; infant and toddler specialists;
early intervention specialists and early childhood special educators;
home visitors; related services providers; administrators such as
directors, supervisors, and other early learning and development
leaders; Head Start teachers; Early Head Start teachers; preschool and
other teachers; teacher assistants; family service staff; and health
coordinators.
Early Learning and Development Program means any (a) State-licensed
or State-regulated program or provider, regardless of setting or
funding source, that provides early care and education for children
from birth to kindergarten entry, including, but not limited to, any
program operated by a child care center or in a family child care home;
(b) preschool program funded by the Federal Government or State or
local educational agencies (including any IDEA-funded program); (c)
Early Head Start and Head Start program; and (d) a non-relative child
care provider who is not otherwise regulated by the State and who
regularly cares for two or more unrelated children for a fee in a
provider setting. A State should include in this definition other
programs that may deliver early learning and development services in a
child's home, such as the Maternal, Infant and Early Childhood Home
Visiting; Early Head Start; and part C of IDEA.\7\
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\7\ Note: Such home-based programs and services will most likely
not participate in the State's Tiered Quality Rating and Improvement
System unless the State has developed a set of Tiered Program
Standards specifically for home-based programs and services.
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Early Learning and Development Standards means a set of
expectations, guidelines, or developmental milestones that--
(a) Describe what all children from birth to kindergarten entry
should know and be able to do and their disposition toward learning;
(b) Are appropriate for each age group (e.g., infants, toddlers,
and preschoolers); for English learners; and for children with
disabilities or developmental delays;
(c) Cover all Essential Domains of School Readiness; and
(d) Are universally designed and developmentally, culturally, and
linguistically appropriate.
Early Learning Intermediary Organization means a national,
statewide, regional, or community-based organization that represents
one or more networks of Early Learning and Development Programs in the
State and that has influence or authority over them. Such Early
Learning Intermediary Organizations include, but are not limited to,
Child Care Resource and Referral Agencies; State Head Start
Associations; Family Child Care Associations; State affiliates of the
National Association for the Education of Young Children; State
affiliates of the Council for Exceptional Children's Division of Early
Childhood; statewide or regional union affiliates that represent Early
Childhood Educators; affiliates of the National Migrant and Seasonal
Head Start Association; the National Tribal, American Indian, and
Alaskan Native Head Start Association; and the National Indian Child
Care Association.
Essential Data Elements means the critical child, program, and
workforce data elements of a coordinated early learning data system,
including--
(a) A unique statewide child identifier or another highly accurate,
proven method to link data on that child, including Kindergarten Entry
Assessment data, to and from the Statewide Longitudinal Data System and
the coordinated early learning data system (if applicable);
(b) A unique statewide Early Childhood Educator identifier;
(c) A unique program site identifier;
(d) Child and family demographic information;
(e) Early Childhood Educator demographic information, including
data on educational attainment and State credential or licenses held,
as well as professional development information;
(f) Program-level data on the program's structure, quality, child
suspension and expulsion rates, staff retention, staff compensation,
work environment, and all applicable data reported as part of the
State's Tiered Quality Rating and Improvement System; and
(g) Child-level program participation and attendance data.
Essential Domains of School Readiness means the domains of language
and literacy development, cognition and general knowledge (including
early mathematics and early scientific development), approaches toward
learning, physical well-being and motor development (including adaptive
skills), and social and emotional development.
Formative Assessment (also known as a classroom-based or ongoing
assessment) means assessment questions, tools, and processes--
(a) That are--
(1) Specifically designed to monitor children's progress in meeting
the Early Learning and Development Standards;
(2) Valid and reliable for their intended purposes and their target
populations;
(3) Linked directly to the curriculum; and
(b) The results of which are used to guide and improve
instructional practices.
High-Quality Plan means any plan developed by the State to address
a selection criterion or priority in this notice that is feasible and
has a high probability of successful implementation and at a minimum
includes--
(a) The key goals;
(b) The key activities to be undertaken; the rationale for the
activities; and, if applicable, where in the State the activities will
be initially implemented, and where and how they will be scaled up over
time to eventually achieve statewide implementation;
(c) A realistic timeline, including key milestones, for
implementing each key activity;
(d) The party or parties responsible for implementing each activity
and other key personnel assigned to each activity;
(e) Appropriate financial resources to support successful
implementation of the plan;
[[Page 53570]]
(f) The information requested as supporting evidence, if any,
together with any additional information the State believes will be
helpful to peer reviewers in judging the credibility of the plan;
(g) The information requested in the performance measures, where
applicable;
(h) How the State will address the needs of the different types of
Early Learning and Development Programs, if applicable; and
(i) How the State will meet the needs of Children with High Needs,
as well as the unique needs of special populations of Children with
High Needs.
Kindergarten Entry Assessment means an assessment that--
(a) Is administered to children during the first few months of
their admission into kindergarten;
(b) Covers all Essential Domains of School Readiness;
(c) Is used in conformance with the recommendations of the National
Research Council \8\ reports on early childhood; and
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\8\ National Research Council. (2008). Early Childhood
Assessment: Why, What, and How. Committee on Developmental Outcomes
and Assessments for Young Children, C.E. Snow and S.B. Van Hemel,
Editors. Board on Children, Youth, and Families, Board on Testing
and Assessment, Division of Behavioral and Social Sciences and
Education. Washington, DC: The National Academies Press. https://www.nap.edu/catalog.php?record_id=12446.
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(d) Is valid and reliable for its intended purposes and for the
target populations and aligned to the Early Learning and Development
Standards.
Results of the assessment should be used to inform efforts to close
the school readiness gap at kindergarten entry and to inform
instruction in the early elementary school grades. This assessment
should not be used to prevent children's entry into kindergarten.
Lead Agency means the State-level agency designated by the Governor
for the administration of the RTT-ELC grant; this agency is the fiscal
agent for the grant. The Lead Agency must be one of the Participating
State Agencies.
Low-Income means having an income of up to 200 percent of the
Federal poverty rate.
Measures of Environmental Quality means valid and reliable
indicators of the overall quality of the early learning environment.
Measures of the Quality of Adult-Child Interactions means the
measures obtained through valid and reliable processes for observing
how teachers and caregivers interact with children, where such
processes are designed to promote child learning and to identify
strengths and areas for improvement for early learning professionals.
Participating State Agency means a State agency that administers
public funds related to early learning and development and is
participating in the State Plan. The following State agencies are
required Participating State Agencies: The agencies that administer or
supervise the administration of CCDF, the section 619 of part B of IDEA
and part C of IDEA programs, State-funded preschool, home visiting,
Title I of ESEA, the Head Start State Collaboration Grant, and the
Title V Maternal and Child Care Block Grant, as well as the State
Advisory Council on Early Childhood Education and Care, the State's
Child Care Licensing Agency, and the State Education Agency. Other
State agencies, such as the agencies that administer or supervise the
administration of Child Welfare, Mental Health, Temporary Assistance
for Needy Families (TANF), Community-Based Child Abuse Prevention, the
Child and Adult Care Food Program, and the Adult Education and Family
Literacy Act (AEFLA) may be Participating State Agencies if they elect
to participate in the State Plan.
Participating Program means an Early Learning and Development
Program that elects to carry out activities described in the State
Plan.
Program Standards means the standards that serve as the basis for a
Tiered Quality Rating and Improvement System and define differentiated
levels of quality for Early Learning and Development Programs. Program
Standards are expressed, at a minimum, by the extent to which--
(a) Early Learning and Development Standards are implemented
through evidence-based activities, interventions, or curricula that are
appropriate for each age group of infants, toddlers, and preschoolers;
(b) Comprehensive Assessment Systems are used routinely and
appropriately to improve instruction and enhance program quality by
providing robust and coherent evidence of--
(1) Children's learning and development outcomes; and
(2) Program performance;
(c) A qualified workforce improves young children's health, social,
emotional, and educational outcomes;
(d) Strategies are successfully used to engage families in
supporting their children's development and learning. These strategies
may include, but are not limited to, parent access to the program,
ongoing two-way communication with families, parent education in child
development, outreach to fathers and other family members, training and
support for families as children move to preschool and kindergarten,
social networks of support, intergenerational activities, linkages with
community supports and adult and family literacy programs, parent
involvement in decision making, and parent leadership development;
(e) Health promotion practices include health and safety
requirements; developmental, behavioral, and sensory screening,
referral, and follow up; and the promotion of physical activity,
healthy eating habits, oral health and behavioral health, and health
literacy among parents; and
(f) Effective data practices include gathering Essential Data
Elements and entering them into the State's Statewide Longitudinal Data
System or other early learning data system, using these data to guide
instruction and program improvement, and making this information
readily available to families.
Screening Measures means age and developmentally appropriate,
valid, and reliable instruments that are used to identify children who
may need follow-up services to address developmental, learning, or
health needs in, at a minimum, the areas of physical health, behavioral
health, oral health, child development, vision, and hearing.
State means any of the 50 States, the District of Columbia, and
Puerto Rico.
State Plan means the plan submitted as part of the State's RTT-ELC
application.
Statewide Longitudinal Data System means the State's longitudinal
education data system that collects and maintains detailed, high-
quality, student- and staff-level data that are linked across entities
and that over time provide a complete academic and performance history
for each student. The Statewide Longitudinal Data System is typically
housed within the State educational agency but includes or can be
connected to early childhood, postsecondary, and labor data.
Tiered Quality Rating and Improvement System means the system
through which the State uses a set of progressively higher Program
Standards to evaluate the quality of an Early Learning and Development
Program and to support program improvement. A Tiered Quality Rating and
Improvement System consists of four components: (a) Tiered Program
Standards with multiple rating categories that clearly and meaningfully
differentiate program quality levels; (b) monitoring to evaluate
program quality based on the Program Standards; (c) supports to help
programs meet progressively higher standards
[[Page 53571]]
(e.g., through training, technical assistance, financial support); and
(d) program quality ratings that are publically available; and includes
a process for validating the system.
Workforce Knowledge and Competency Framework means a set of
expectations that describes what Early Childhood Educators (including
those working with children with disabilities and English learners)
should know and be able to do. The Workforce Knowledge and Competency
Framework, at a minimum, (a) is evidence-based; (b) incorporates
knowledge and application of the State's Early Learning and Development
Standards, the Comprehensive Assessment Systems, child development,
health, and culturally and linguistically appropriate strategies for
working with families; (c) includes knowledge of early mathematics and
literacy development and effective instructional practices to support
mathematics and literacy development in young children; (d)
incorporates effective use of data to guide instruction and program
improvement; (e) includes effective behavior management strategies that
promote positive social emotional development and reduce challenging
behaviors; and (f) incorporates feedback from experts at the State's
postsecondary institutions and other early learning and development
experts and Early Childhood Educators.
Waiver of Proposed Rulemaking: Under the Administrative Procedure
Act, 5 U.S.C. 553, we generally offer interested parties the
opportunity to comment on proposed priorities, requirements,
definitions, and selection criteria. Section 437(d)(1) of GEPA,
however, allows the Secretary of Education to exempt from rulemaking
requirements governing the first grant competition under a new or
substantially revised program authority. This is the first grant
competition for the RTT-ELC grant program under the revised program
authority in section 14006 of the ARRA, as amended by section 1832(b)
of Division B of Public Law 112-10, the Department of Defense and Full-
Year Continuing Appropriations Act, 2011. The Secretaries have decided
to forgo public comment under the waiver authority in section 437(d)(1)
of GEPA in order to ensure timely grant awards.
However, we have solicited public participation in two important
ways as we developed an approach to conducting and implementing this
competition. First, we invited the public to provide general input on
the program from May 25 through June 30 on the ED.gov Blog. In response
to this invitation, we received a total of 199 responses which we
considered in our development of this notice. From July 1 to July 11,
we posted on ED's Web site a draft Executive Summary of the
competition, which included draft competition priorities, requirements,
definitions, and selection criteria, and we invited public input on
each of these elements of the competition. In response to this
invitation, we received 349 responses that reflected the viewpoints of
a variety of individuals, and early childhood, health, and education
organizations. Members of the public provided input on all sections of
the draft selection criteria, priorities, requirements, and definitions
sections of the draft executive summary.
These priorities, selection criteria, requirements, and definitions
will apply to the FY 2011 grant competition and any subsequent year in
which we make awards from the list of unfunded applicants from this
competition.
Program Authority: Sections 14005 and 14006, Division A, of the
American Recovery and Reinvestment Act of 2009, as amended by section
1832(b) of Division B of Public Law 112-10, the Department of Defense
and Full Year Continuing Appropriations Act, 2011.
Applicable Regulations: The Education Department General
Administrative Regulations (EDGAR) in 34 CFR parts 75, 77, 79, 80, 82,
84, 85, 86, 97, 98, and 99.
II. Award Information
Type of Award: Discretionary grants.
Estimated Available Funds: $500 million. Contingent upon the
availability of funds and the quality of applications, we may make
additional awards in FY 2012 from the list of unfunded applicants from
this competition.
Estimated Range of Awards: $50 million-$100 million.
Note: The Departments are not bound by any estimates in this
notice.
Project Period: Up to 48 months.
Budget Requirements: To support States in planning their budgets,
the Departments have developed the following budget caps for each
State. The Secretaries will not consider for funding an application
from a State that proposes a budget that exceeds the applicable cap set
for that State. The Departments developed the following categories by
ranking every State according to its share of the national population
of children ages birth through five years old from Low-Income families
and identifying the natural breaks in the rank order. Then, based on
population, budget caps were developed for each category.\9\
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\9\ Source: U.S. Department of Commerce, Census Bureau, 2009.
American Community Survey (ACS) 1-year Public Use Microdata Sample
(PUMS) data.
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Category 1--Up to $100 million--California, Florida, New York,
Texas.
Category 2--Up to $70 million--Arizona, Georgia, Illinois,
Michigan, North Carolina, Ohio, Pennsylvania.
Category 3--Up to $60 million--Alabama, Colorado, Indiana,
Kentucky, Louisiana, Missouri, New Jersey, Oklahoma, Puerto Rico, South
Carolina, Tennessee, Virginia, Washington, Wisconsin.
Category 4--Up to $50 million--Alaska, Arkansas, Connecticut,
Delaware, District of Columbia, Hawaii, Idaho, Iowa, Kansas, Maine,
Maryland, Massachusetts, Minnesota, Mississippi, Montana, Nebraska, New
Hampshire, New Mexico, Nevada, North Dakota, Oregon, Rhode Island,
South Dakota, Utah, Vermont, West Virginia, Wyoming.
In addition to considering other relevant factors (see 34 CFR
75.217(d)(3)), the selection of grantees may consider the need to
ensure that early learning and development systems are developed in
States with large, high-poverty, rural communities (including States
with high percentages of high-poverty populations in rural areas and
States with high absolute numbers of high-poverty individuals in rural
areas). Awards may be granted to high-quality applications out of rank
order to meet this need. ED may use any unused funds designated for
this competition to make awards in Phase 3 of the Race to the Top
Program.
The State must include in its budget the amount of funds it intends
to distribute through Memoranda Of Understanding (MOUs), interagency
agreements, contracts, or other mechanisms authorized by State
procurement laws, to localities, Early Learning Intermediary
Organizations, Participating Programs, or other partners.
The State must set aside $400,000 from its grant funds for the
purpose of participating in RTT-ELC grantee technical assistance
activities facilitated by ED or HHS.
III. Eligibility Information
1. Eligible Applicants: States that meet the following
requirements:
(a) The Lead Agency must have executed with each Participating
State Agency an MOU or other binding agreement that the State must
attach to its application, describing the Participating State Agency's
level of
[[Page 53572]]
participation in the grant. (See Appendix C of this notice.) At a
minimum, the MOU or other binding agreement must include an assurance
that the Participating State Agency agrees to use, to the extent
applicable--
(1) A set of statewide Early Learning and Development Standards;
(2) A set of statewide Program Standards;
(3) A statewide Tiered Quality Rating and Improvement System; and
(4) A statewide Workforce Knowledge and Competency Framework and
progression of credentials.
(b) The State must have an operational State Advisory Council on
Early Care and Education that meets the requirements described in
section 642B(b) of the Head Start Act (42 U.S.C. 9837b).
(c) The State must have submitted in FY 2010 an updated MIECHV
State plan and FY 2011 Application for formula funding under the
Maternal, Infant, and Early Childhood Home Visiting program (see
section 511 of Title V of the Social Security Act, as added by section
2951 of the Affordable Care Act of 2010 (Pub. L. 111-148)).
2. Cost Sharing or Matching: This program does not require cost
sharing or matching.
IV. Application and Submission Information
1. Address to Request Application Package:
You can obtain an application package via the Internet or from the
Education Publications Center (ED Pubs). To obtain a copy via the
Internet, use the following address: https://www.ed.gov/programs/racetothetop-earlylearningchallenge. To obtain a copy from ED Pubs,
write, fax, or call the following: Education Publications Center, P.O.
Box 1398, Jessup, MD 20794-1398. Telephone, toll free: 1-877-433-7827.
FAX: (301) 470-1244. If you use a telecommunications device for the
deaf (TDD), call, toll free: 1-877-576-7734.
You can also contact ED Pubs at its Web site: https://www.ed.gov/pubs/edpubs.html or at its e-mail address: edpubs@inet.ed.gov.
If you request an application from ED Pubs, be sure to identify
this program or competition as follows: CFDA 84.412.
Individuals with disabilities can obtain a copy of the application
package in an accessible format (e.g., braille, large print, audiotape,
or compact disc) by contacting the person listed under FOR FURTHER
INFORMATION CONTACT in section VII of this notice.
2. Content and Form of Application Submission: Requirements
concerning the content of the application, together with the forms a
State must submit, are in the application package for this competition.
Page Limit: The application narrative (section VI of the
application) is where the applicant addresses the selection criteria
that reviewers will use to evaluate applications. We recommend that the
applicant limit its narrative responses in section VI of the
application to no more than 150 pages and limit its appendices to no
more than 150 pages. The Secretaries strongly requests that applicants
follow the recommended page limits, although the Secretaries will
consider applications of greater length.
The following standards are recommended:
A ``page'' is 8.5'' x 11'', on one side only, with 1''
margins at the top, bottom, and both sides.
Each page is numbered.
Line spacing is set to 1.5 spacing, and the font used is
12 point Times New Roman.
3. Submission Dates and Times:
Applications Available: August 26, 2011.
Dates of Meetings for Potential Applicants: September 1, 2011;
September 13, 2011. To assist States in preparing the application and
to respond to questions, ED and HHS intend to host a Webinar with
potential applicants on September 1, 2011, to review the requirements,
selection criteria, and priorities for this competition. The
Departments also plan to host a Technical Assistance Planning Workshop
for potential applicants on September 13, 2011, in Washington, DC. To
minimize travel burdens associated with this workshop and to maximize
the number of potential applicants who can participate, the Departments
will also broadcast this workshop live at several other regional
offices of the Departments across the country. The purpose of the
workshop will be to allow teams of participants responsible for
developing the State's application to review with Federal program staff
the priorities, requirements, and selection criteria for this
competition and to ask questi