Updated 5/12/2012
Race to the Top –Early Learning Challenge
Guidance and Frequently Asked Questions for Applicants and Grantees
U.S. Department of Education
U.S. Department of Health and Human Services
Washington, D.C.
This version contains all applicant and grantee FAQs for the
Race to the Top – Early Learning Challenge Program as of 5/12/2012
The purpose of this guidance is to provide information about the Race to the Top – Early Learning Challenge (RTT-ELC) program. The U.S. Department of Education (ED) and the U.S. Department of Health and Human Services (HHS) (the Departments) are jointly administering RTT-ELC. This guidance provides the Departments’ interpretation of various statutory provisions and does not impose any requirements beyond those included in the Department of Defense and Full-Year Continuing Appropriations Act, 2011; the RTT-ELC notice inviting applications (NIA); and other applicable laws and regulations. In addition, it does not create or confer any rights for or on any person.
The Departments will provide additional or updated program guidance as necessary on the RTT-ELC Web site, If you have further questions that are not answered here, please email .
Contents
A.a. Applicant FAQs: Introduction, Eligible Entities,
A.b. Grantee FAQs: Grant Administration
B. General Application and Program Information
C. Grant Awards
D. Application Review and Selection
E. Selection Criteria
F. Kindergarten Entry Assessments
G. Budget
H. Application Submission Procedures
I. Transparency, Accountability, Reporting, and Other Obligations
J. Resources and Information
A.a. Applicant FAQs: Introduction, Eligible Entities,
A.a-1. What is the Race to the Top – Early Learning Challenge (RTT-ELC) program?
The RTT-ELC program is authorized under Sections 14005 and 14006 of 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 (P.L. 111-5).
The purpose of the RTT-ELCprogram is to improve the quality of early learning and development programs and services and close the achievement gap for children with high needs. The RTT-ELC is a competitive grant competition thatfocuses on improving early learning and development for young children by supporting a State’s efforts to design and implement an integrated system of high-quality early learning and development programs and services and toincrease the number of children with high needs enrolled in those programs and services. The overarching goal is to make sure that many more children, especially children with high needs, enter kindergarten ready to succeed.
The Departments published the notice inviting applications (NIA) for RTT-ELC in the Federal Register on August 26, 2011. The NIA includes the final priorities, requirements, definitions, selection criteria that apply to the competition, and appendices that include the scoring rubrics, performance measures and model memorandum of understanding.
The NIA also includes certain details for applicants, such as deadlines, application review information, budget guidance, and submission requirements. For the NIA, see 76FR 53564, available at
The RTT-ELCapplication and additional resources are available at
A.a-2. Who is eligible to apply for RTT-ELC funds?
States are the only eligible applicants under section 14006(a)(2) of the ARRA. As defined by section 14013 of the ARRA, the term “State” means each of the 50 States, the District of Columbia, and the Commonwealth of Puerto Rico.
A.a-3.Are Indian tribes, the Department of the Interior/ Bureau of Indian Education, or insular areas eligible to apply under the RTT-ELC program?
No. Indian tribes, the Department of the Interior/Bureau of Indian Education, and insular areas are not eligible to apply under the RTT-ELC program. As stated in FAQ A-2, States are the eligible applicants under section 14006(a)(2) of the ARRA and section 14013 of the ARRA does not include Indian tribes, the Department of the Interior/Bureau of Indian Education, andinsular areas within thedefinition of “State.”
A.a-4.What is a Lead Agency and how is the Lead Agency selected?
The Governor of a State must designate, in the application, a State-level agency to serve as the Lead Agency[1]to administer the grant, if awarded. This Lead Agency would be the fiscal agent for the grant and must be one of the Participating State Agencies listed in the definition of Participating State Agency. For more information on Participating State Agencies, see questions B-3 and B-4 of this document.
A.a-4a.From Addendum 1, published October 3, 2011.
May a Governor’s Office serve as the Lead Agency?
Yes. As indicated in FAQ A-4, the Governor designates the Lead Agency to administer the grant. The Lead Agency must be a Participating State Agency. States may include other agencies beyond those required agencies listed under the definition in the NIA and application, so long as the optional agencies also meet the definition of Participating State Agency. If the Governor’s Office meets the definitions of “Lead Agency” and “Participating State Agency” (in other words, administers public funds related to early learning and development and is participating in the State Plan as indicated in the definition of Participating State Agency), then the Governor’s Office may serve as the Lead Agency.
A.a-5. What are the eligibility requirements for the RTT-ELC program?
A State must meet the following requirements in order to be eligible to receive funds under this program:
(a) The Lead Agency must have executed with each Participating State Agency a Memorandum of Understanding (MOU) or other binding agreement, which the State must attach to its application, describing the Participating State Agency’s level of participation in implementing the grant. At a minimum, the MOU must include an assurance that each Participating State Agency agrees to use, to the extent applicable—
(i) A set of statewide Early Learning and Development Standards;
(ii) A set of statewide Program Standards;
(iii) A statewide Tiered Quality Rating and Improvement System; and
(iv) 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 to HHS in FY 2010 an updated the Maternal, Infant, and Early Childhood Home Visiting program (MIECHV) State plan and an FY 2011 application for formula funding under the MIECHV program (see section 511 of Title V of the Social Security Act, as added by section 2951 of the Affordable Care Act of 2010 (P.L. 111-148)).
A.a-6. What does it mean to have an operational State Advisory Council?
As discussed in A-5, to be eligible to receive funds under the RTT-ELC competition, 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. This means that the State Advisory Council must be designated or established by the Governor, include the required membership, and carry out the required activities described in section 642B(b) of the Head Start Act. However, the State does not have to be a current recipient of Federal ARRA State Advisory Council funds to qualify but must meet all of the requirements of section 642(b) of the Head Start Act.
A.a-7.Who must sign the State’s application?
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.
A.a-8.How did the public provide input into the RTT-ELC program?
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. Given the tight deadline for obligating funds and to provide States the maximum time in which to prepare the applications, we decided to waive notice-and-comment rulemaking for this competition. However, we encouraged public participation in the development of this program in two important ways. We invited the public to provide general input on the program from May 25 through June 30, 2011 on the ED.gov Blog. From July 1 to July 11, 2011, we also posted on the RTT-ELC 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 viewpoints of a variety of individuals and early childhood, health, and education organizations, which we consideredin our development of the NIA.
A.a-9.What role can parents, providers and other stakeholders play in the RTT-ELC program?
Parents, providers, and other stakeholderscan play an important role in helping their State win an RTT-ELC grant. For example, stakeholders may play critical roles in supporting a State in implementing its RTT-ELC State Plan, helping to identify and share effective practices, and ensuring that plans are leading to improved quality of programs and outcomes for children. They might, for example, be asked by their State to support the design and development of the State’s RTT-ELC proposal, to help the State identify promising local practices on which to build, or to write statements of support for their State’s application. Interested stakeholders may also contact their State governor’s office directly to inquire about their involvement and input in the State’s RTT-ELC proposal.
States receive points specifically for their stakeholders’ involvement under selection criterion (A)(3)(a) and (A)(3)(c).
A.b. Grantee FAQs: Grant Administration
A.b-1. From Grantee FAQs, published May 10, 2012.
How will ED and HHS monitor grants? How will grantees need to monitor their subrecipients?
As stated in the RTT-ELC notice inviting applications, ED and HHS will monitor each State’s progress in meeting its goals, timelines, budget requirements, and annual targets and in fulfilling other applicable RTT-ELC requirements. Monitoring by ED and HHS will include reviewing grantee performance documentation and subrecipient monitoring plans, engaging in ongoing communications with each grantee, holding conference calls, and conducting regular onsite reviews.
In addition, grantees must monitor localities, Early Learning Intermediary Organizations, Participating Programs, and other partners, including community- and faith-based organizations that receive grant funds. Within 180 calendar days from the grant award (June 30, 2012), grantees must submit plans, protocols, and schedules for how they will monitor these subrecipients of RTT-ELC funds (see grant condition L). ED and HHS will provide guidance and technical assistance to grantees as they develop their subrecipient monitoring plans and the finalized plans will be posted on the RTT-ELC web site. ED and HHS will establish a monitoring plan and protocol that we will share with all grantees at least one month prior to the June 30, 2012 deadline for subrecipient monitoring plans.
A.b-2. From Grantee FAQs, published May 10, 2012.
What activities are grantees required to complete during the grant period?
RTT-ELC grantees and Participating State Agencies (PSAs) are responsible for implementing their submitted scopes of work consistent with their approved budgets, and meeting the timelines in their scopes of work. RTT-ELC funds may be used only for activities included in a State’s approved grant application, unless otherwise approved by ED.
In the event that ED determines that a grantee is not meeting its goals,timelines, budget requirements, or annual targets; is carrying out unallowable activities; or isnot fulfilling other applicable requirements; ED will take appropriateenforcement action, which could include any of the enforcement measures that are setforth in 34 CFR 80.43 in the Education Department General Administrative Regulations(EDGAR). These include withholdingfunds, disallowing costs, or exercising any available legal remedy, such as putting the grantee on reimbursement payment status.
A.b-3. From Grantee FAQs, published May 10, 2012.
How may a State request a change to its RTT-ELC plan or budget?
As a condition of receiving an RTT-ELC grant, each RTT-ELC State agreed to implement all of the activities and meet the timelines outlinedin its application, scope of work, and budget. As such, each RTT-ELCState will be held accountable for implementing its plan. We recognize, however, that there may come a time when a grantee may need to revise its plan due to unforeseen circumstances in order to keep on its path of reform and improve child outcomes.
The grantor has the authority to approve amendments to a grantee’s RTT-ELC application, scope of work, andbudget. Grantees may propose revisions to goals, activities, timelines, budgets, or annual targets, provided that the following conditions are met:
• The revisions do not result in the grantee’s failure to comply with the terms and conditions of the award and the program’s statutory and regulatory provisions;
• The revisions do not change the overall scope and objectives of the approved proposal; and
• The grantor and the grantee mutually agree in writing to such revisions.
A grantee must request an amendment for proposed revisions that constitute a substantial change in activities from the approved grant project; budgetary changes that exceed $500,000 of the current approved budget, including transfers among direct cost categories (e.g., personnel, travel, equipment) and among separately-budgeted programs, projects, functions, or activities; and changes to the list of Participating State Agencies.
A grantee must submit any proposed amendment in writing to itsprojectofficer. When submitting an amendment, a grantee must provide information regarding the grant project area that would be affected by the change, a description of the requested change, an impact statement regarding the potential effect of the requested change on the grantee’s performance measures and outcome goals, budget documentation, and the signature of the payee (e.g., Lead Agency representative). Grantees must submit amendment requests prior to implementing any changes to grant projects or budgets.Additional information on the amendment submission procedures and requirements will be available on the RTT-ELC webpage.
ED and HHS plan to post any approved amendments on the RTT-ELC webpage, along with the State’s rationale for the approved changes.
A.b-4. From Grantee FAQs, published May 10, 2012.
Are private, including faith-based, early childhood programs required to participate in the RTT-ELC program?
No. The RTT-ELC competition requirements did not mandateor require the participation of private or faith-based early learning providers that do not accept Federal funding or did not choose to participate in a State's RTT-ELC program.
The RTT-ELC grant program is a voluntary competitive grant program. There is no requirement that a State develop aTiered Quality Rating and Improvement System (TQRIS) that appliesto all early learning programs in the State or that States license or regulate all early learning programs.In addition, the competition was designed so that States that exempt faith-based providers from their licensing and inspection systems were not disadvantaged in any way in the scoring of their applications,and States selected for fundingare not required to change their approach to faith-based providers.As noted in the RTT-ELC notice inviting applications and in the pre-award FAQs, faith-based organizations operating early learning and care programs are eligible to receive RTT-ELC funds from a State on the same basis as other entities providing early learning and care services in the State.However,while RTT-ELC funds may not be used to support explicitly religious activities as detailed in 34 CFR 75.52(d) and 34 CFR 80.36(j), faith-based organizations, whether or not they participate in the State’s RTT-ELC program, retain their independence, autonomy, right of expression, religious character, and authority over their governance.
B. General Application and Program Information
B-1. What technical assistance will the Departments offer to prospective applicants?
The Departments hosted a Webinar on September 1, 2011, in order to provide applicants with an orientation to the RTT-ELC application. The Departments also plan to host a day-long Technical Assistance Planning Workshop on September 13, 2011, in Washington, D.C. To minimize the travel burden and maximize the number of potential applicants who can participate, this workshop will also be conducted via video teleconference – a live, two-way link between the auditorium in ED’s headquarters building and HHS’s regional offices across the country. The purpose of the workshop will beto review the application requirements, selection criteria, and competition priorities in depth, and to answer States’ questions about the program, the NIA, and the application package. We strongly encourage States to participate in the workshops, either in Washington, D.C. or at one of the HHS regional offices. For those who cannot participate on September 13, 2011, a video recording and transcript of the conference will be available on the RTT-ELC Web site.The Departments may host additional conference calls or Webinars to answer applicant questions, if needed. Registration information and additional details for the technical assistance events are available on the RTT-ELC Web site:
B-2. What are eligibility requirements, selection criteria, absolute priorities, competitive preference priorities, and invitational priorities?
Eligibility requirements are the requirements that a State must meet in order to be eligible for funding. (See A-5 for the eligibility requirements for the RTT-ELC program).
Selection criteria are the focal point of the application and peer review. A panel of reviewers will assign points to an application based on how the applicant (in this case, the State), addresses these selection criteria. RTT-ELC has 17 selection criteria, which are organized into five key categories: