[Federal Register Volume 76, Number 166 (Friday, August 26, 2011)]
[Notices]
[Pages 53563-53594]
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
-----------------------------------------------------------------------
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]]
-----------------------------------------------------------------------
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.
-----------------------------------------------------------------------
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
http://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
---------------------------------------------------------------------------
\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 http://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.
---------------------------------------------------------------------------
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.
---------------------------------------------------------------------------
\5\ Defined terms are used throughout the notice and are
indicated by capitalization.
---------------------------------------------------------------------------
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).
---------------------------------------------------------------------------
\6\ Tables referenced in this notice are included in the
application package.
---------------------------------------------------------------------------
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\
---------------------------------------------------------------------------
\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.
---------------------------------------------------------------------------
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
---------------------------------------------------------------------------
\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. http://www.nap.edu/catalog.php?record_id=12446.
---------------------------------------------------------------------------
(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\
---------------------------------------------------------------------------
\9\ Source: U.S. Department of Commerce, Census Bureau, 2009.
American Community Survey (ACS) 1-year Public Use Microdata Sample
(PUMS) data.
---------------------------------------------------------------------------
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: http://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: http://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 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
http://www.ed.gov/programs/racetothetop-earlylearningchallenge. The
Departments may host additional conference calls, workshops, or
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 http://www.ed.gov/programs/racetothetop-earlylearningchallenge.
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
non-public 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
[[Page 53573]]
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 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
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
[[Page 53574]]
(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;
(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 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)
[[Page 53575]]
The extent to which the State and its Participating State Agencies
have developed and adopted, or have a High-Quality 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
---------------------------------------------------------------------------
\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 http://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: http://www.militaryhomefront.dod.mil/portal/page/mhf/MHF/MHF_DETAIL_1?section_id=20.60.500.100.0.0.0.0.0¤t_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.
---------------------------------------------------------------------------
(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;
(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 co-payments, providing
incentives to high-quality 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 high-quality Early Learning and
Development Programs for Children with High Needs. (20 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 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.
[[Page 53576]]
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.
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 high-quality 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
(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--
(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 well-child 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
[[Page 53577]]
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 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 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
[[Page 53578]]
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 high-poverty
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 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.
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: http://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: http://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--
[cir] The number and percentage of children from Low-Income
families in the State, by age (see Table (A)(1)-1 in the
application);
[cir] The number and percentage of Children with High Needs from
special populations in the State (see Table (A)(1)-2 in the
application); and
[cir] 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
[[Page 53579]]
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).
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.
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.
(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--
[cir] A copy of the tiered Program Standards;
[cir] 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;
[cir] 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.
[[Page 53580]]
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.
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--
[cir] Proof of use by all types of Early Learning and
Development Programs in the State;
[cir] The State's Early Learning and Development Standards for:
--Infants and toddlers
--Preschoolers
[cir] Documentation that the standards are developmentally,
linguistically and culturally appropriate for all children,
including children with disabilities and developmental delays and
English Learners;
[cir] Documentation that the standards address all Essential
Domains of School Readiness and that they are of high-quality; and
[cir] Documentation of the alignment between the State's Early
Learning and Development Standards and the State's K-3 standards.
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.
(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--
[cir] 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;
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--
[cir] 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;
[cir] 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):
[[Page 53581]]
To the extent the State has developed a common,
statewide Workforce Knowledge and Competency Framework that meets
the elements in criterion (D)(1), submit:
[cir] The Workforce Knowledge and Competencies;
[cir] 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
None required.
(D)(2) Supporting Early Childhood Educators in improving their
knowledge, skills, and abilities.
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.
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.
BILLING CODE 4000-01-P
[[Page 53582]]
[GRAPHIC] [TIFF OMITTED] TN26AU11.001
[[Page 53583]]
[GRAPHIC] [TIFF OMITTED] TN26AU11.002
[[Page 53584]]
[GRAPHIC] [TIFF OMITTED] TN26AU11.003
[[Page 53585]]
[GRAPHIC] [TIFF OMITTED] TN26AU11.004
[[Page 53586]]
[GRAPHIC] [TIFF OMITTED] TN26AU11.005
[[Page 53587]]
[GRAPHIC] [TIFF OMITTED] TN26AU11.006
[[Page 53588]]
[GRAPHIC] [TIFF OMITTED] TN26AU11.007
[[Page 53589]]
[GRAPHIC] [TIFF OMITTED] TN26AU11.008
[[Page 53590]]
[GRAPHIC] [TIFF OMITTED] TN26AU11.009
[[Page 53591]]
[GRAPHIC] [TIFF OMITTED] TN26AU11.010
[[Page 53592]]
[GRAPHIC] [TIFF OMITTED] TN26AU11.011
[[Page 53593]]
[GRAPHIC] [TIFF OMITTED] TN26AU11.012
[[Page 53594]]
[GRAPHIC] [TIFF OMITTED] TN26AU11.013
[FR Doc. 2011-21756 Filed 8-25-11; 8:45 am]
BILLING CODE 4000-01-C