Race to the Top - Early Learning Challenge

Annual Performance Report

CFDA Number: 84.412

[State Name,

Report Year]

Due: [insert date]

Public Burden Statement

According to the Paperwork Reduction Act of 1995, no persons are required to respond to a collection of 

information unless such collection displays a valid OMB control number. Public reporting burden for this 

collection of information is estimated to average 120 hours per response, including time for reviewing 

instructions, searching existing data sources, gathering and maintaining the data needed, and completing 

and reviewing the collection of information. The obligation to respond to this collection is required to 

obtain or retain benefit (Public Law 112-10-14005 American Recovery and Reinvestment Act of 

2009(ARRA), as amended). Send comments regarding the burden estimate or any other aspect of this 

collection of information, including suggestions for reducing this burden, to the U.S. Department of 

Education, 400 Maryland Ave., SW, Washington, DC 20202-4536 or email ICDocketMgr@ed.gov and 

reference the OMB Control Number 1810-XXXX. Note: Please do not return the completed Annual 

Performance Reports to this address. 
2

RTT-ELC Annual Performance Report (APR) Instructions

Overview: 

This APR should be completed with two audiences in mind: your project officers at the U.S. Departments 

of Education and Health and Human Services, and the general public. To that end, this APR should 

explain clearly the progress you made against your State Plan during the reporting year. It should also 

explain any challenges faced in the reporting years, such as delays in implementation or spending, and 

how those challenges are being addressed. 

The Departments will use this APR as a way to measure the progress of your grant but also to inform 

monitoring and technical assistance. 

Because this report will be public, remember to clearly define terms and spell out acronyms that might not 

be commonly understood. 

This APR includes the following types of request for information:

1. Checklists – yes, no, and, in some cases, check all that apply, followed by narrative explanations. 

If you do not check some of the boxes it would be helpful to include a note explaining the reason. 

2. Narrative boxes – describe progress made during the reporting year toward the relevant selection 

criterion based on the activities in your State Plan. 

3. Tables – provide updated data on performance measure tables and background data tables. For 

all areas where performance measure targets have not been met (B2c, B4c1, B4c2, C3d, D2d1, 

D2d2), describe strategies to ensure measurable progress will be made by the end of the grant 

year

Note: Some of the data fields will be pre-populated with information previously provided to ED/HHS to 

reduce the burden on the grantees and to improve the accuracy of the information. 

Instructions on Specific Sections: 

Cover Sheet –

 Pr/Award #: as per grant award document 

 Grantee Name: as per grant award document

 Grantee address: as per grant award document

 Project Director Name, Title, phone, fax, email: as per grant award document

 Reporting period: 01/01/2012 to 12/31/2012

 Indirect cost information: checkboxes indicating if there is an indirect cost rate agreement 

approved by the federal government, the approving federal agency. You must send with your 

APR a copy of your most current indirect cost agreement, or agreements if applicable. 

 Certification: check boxes for MIECHV, section 619 parts B and C, CCDF. 

 Authorized Representative: the Governor or the person authorized by the Governor to sign 

grant documents must sign this form. 
3

Executive Summary –

 In about 1,000 to 3,000 words, provide a summary of the progress made towards your State 

Plan during the reporting year. 

 You should specifically provide a description of accomplishments, lessons learned, 

challenges, and improvement strategies for addressing those challenges. 

 You do not need to address each reform area but may want to summarize key 

accomplishments in each of the projects in your State Plan. 

Narrative Boxes –

 In the areas where progress has not been made, describe strategies to ensure that measurable 

progress will be made by the end of the next reporting year and/or the end of the grant period. 

 Consider how your spending relates to your accomplishments. Your narrative should be 

consistent with the budget tables. For example, if you were not able to award a contract in 

the time anticipated, how did that impact progress made? 

 There are no word limits to the narrative sections. We ask that you be specific, clear, and 

concise. You may use bullets for the narrative. Graphics should be included only if 

explanatory. 

 Please do not include attachments; program staff will request an attachment if deemed 

necessary.

Performance Measures (Tables B2c, B4c1, B4c2, C3d, D2d1, D2d2) --

 Do not revise your approved performance measure targets and baseline data. Also, do not 

reformat these tables from what you submitted in your application. 

 Add notes to explain any gaps in data or methods of calculating data that will not be apparent 

to the reader.

 For all targets that were not met, provide an explanation in the narrative box with information 

about how you will address the need to meet these targets going forward.

 Should the Number of Programs in the State or the Number of Children with High Needs 

Served by Programs in the State change from what was submitted in the original application, 

you should so indicate in the appropriate narrative section along with an explanation and a 

statement about implications of such changes. 

Background Tables (from Section A(1) of your application) --

 The tables at the end of the report reference the demographic data included in your original 

application. Please report based on the reporting year. 

 Tables A(1) -1 through 3 should be updated with current data. Tables 4 and 5 should provide

data for the reporting year as well as previous years of the grant. Tables 6 and 7 may be 

updated only where significant changes have occurred (if no changes have occurred, you 

should note that fact). 

Budget and Expenditure Tables --
4

 These tables request budget and expenditure information for the reporting year. Expenditures 

should be reported based on your State’s definition of “expenditures” (for example, funds that 

have been obligated but not yet drawn down from G5). 

 Project officers will expect explanations for any significant discrepancies between your 

approved budget and your expenditures for the reporting year. You should explain the 

reasons for the discrepancy (for example, a delay in making a contract award) and how the 

difference will be made up in the coming grant year. 

 If changes to your budget will be necessary, please explain. A detailed amendment request 

may need to be submitted to your project officer, following our amendment guidelines. 

Submission expectations and timelines: 

 This APR is due in electronic form to your ED/HHS project officers by [insert date].

 Please address any questions in writing to your ED/HHS project officers.

 You may email the report with the electronic signature of the authorized representative or a 

scanned copy with that signature or submit online via GRADS360. 

 Remember to include a copy of your most recent indirect cost agreement (or multiple 

agreements, if applicable). 

 ED and HHS expect to provide feedback on submitted APRs within 45 days of receipt. 

Feedback may be provided informally through an email or phone call, as well as a formal 

letter from the Departments of through the GRADS360 system. 

 APRs will be posted on the program website after feedback is provided to each State. 

Resources: 

 Applications (Phase 1, Phase 2, and thereafter): http://www2.ed.gov/programs/racetothetopearlylearningchallenge/applicant.html

 FAQs: http://www2.ed.gov/programs/racetothetop-earlylearningchallenge/faq.html

 Grantee Scopes of Work: [URL to be inserted]

 2012 Performance Reports: [URL to be inserted]

Note: States’ progress on their approved Scopes of Work is not collected in this APR because it is 

reported to ED/HHS Project Officers on a monthly basis in the online GRADS360 system. 
5

Performance Report: Cover Sheet

General Information

1. PR/Award #: 

2. Grantee Name (Block 1 of the Grant Award Notification.):

3. Grantee Address 

4. Project Director Name: Title: 

Ph #: ( ) - Ext: ( ) Fax #: ( ) -

Email Address: 

Reporting Period Information 

5. Reporting Period: From: / / To: / / (mm/dd/yyyy)

Indirect Cost Information 

6. Indirect Costs

a. Are you claiming indirect costs under this grant? Yes No

b. If yes, do you have an Indirect Cost Rate Agreement(s) approved by the Federal Government? Yes No

c. If yes, provide the following information:

Period Covered by the Indirect Cost Rate Agreement(s): 

From: / / To: / / (mm/dd/yyyy)

Approving Federal agency: ED HHS Other (Please specify): 

(Attach current indirect cost rate agreement to this report.)

Certification 

7. The Grantee certifies that the state is currently participating in:

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 (P.L. 111-148));

 Yes

 No

Programs authorized under section 619 of part B and part C of the Individuals with Disabilities 

Education Act (IDEA);

 Yes

 No

The Child Care and Development Fund (CCDF) program
6

 Yes

 No

To the best of my knowledge and belief, all data in this performance report are true and correct and the 

report fully discloses all known weaknesses concerning the accuracy, reliability, and completeness of the data.

Title: 

Name of Authorized Representative:

Date: / / 

Signature
7

Executive Summary

For the reporting year, please provide a summary of your State’s (1) accomplishments, 

(2) lessons learned, (3) challenges, and (4) strategies you will implement to address those 

challenges.

(Enter narrative here)
8

Successful State Systems

Aligning and coordinating early learning and development across the State (Section A(3) of 

Application)

Governance Structure

Please provide any relevant information and updates related to the governance structure

for the RTT-ELC State Plan (specifically, please include information on the organizational 

structure for managing the grant, and the governance-related roles and responsibilities of the 

Lead Agency, State Advisory Council, and Participating State Agencies).

(Enter narrative here)

Stakeholder Involvement

Describe State progress in involving 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 implementation of the 

activities carried out under the grant.

(Enter narrative here)

Proposed Legislation, Policies, or Executive Orders

Describe any changes or proposed changes to state legislation, budgets, policies, 

executive orders and the like that had or will have an impact on the RTT-ELC grant. Describe 

the expected impact and any anticipated changes to the RTT-ELC State Plan as a result. 
9

(Enter narrative here)

Participating State Agencies

Describe any changes in participation and commitment by any of the Participating State 

Agencies in the State Plan.

(Enter narrative here)

High-Quality, Accountable Programs

Developing and adopting a common, statewide Tiered Quality Rating and Improvement 

System (TQRIS) (Section B(1) of Application). 

During this 1st year of RTT-ELC implementation, has the State made progress in developing or 

revising a TQRIS that is based on a statewide set of tiered Program Standards that include--

(1) Early Learning and Development Standards

 No

 Yes

If yes, these standards currently apply to (please check all that apply):

 State-funded preschool programs

 Early Head Start and Head Start programs

 Early Learning and Development programs funded under 

section 619 of part B of IDEA and part C of IDEA

 Early Learning and Development Programs funded under 

Title I of ESEA

 Early Learning and Development Programs receiving funds 

from the State’s CCDF program:

 Center-based

 Family Child Care
10

(2) A Comprehensive Assessment System

 No

 Yes

If yes, these standards currently apply to (please check all that apply):

 State-funded preschool programs

 Early Head Start and Head Start programs

 Early Learning and Development programs funded under 

section 619 of part B of IDEA and part C of IDEA

 Early Learning and Development Programs funded under 

Title I of ESEA

 Early Learning and Development Programs receiving funds 

from the State’s CCDF program:

 Center-based

 Family Child Care

(3) Early Childhood Educator qualifications

 No

 Yes

If yes, these standards currently apply to (please check all that apply):

 State-funded preschool programs

 Early Head Start and Head Start programs

 Early Learning and Development programs funded under 

section 619 of part B of IDEA and part C of IDEA

 Early Learning and Development Programs funded under 

Title I of ESEA

 Early Learning and Development Programs receiving funds 

from the State’s CCDF program:

 Center-based

 Family Child Care

(4) Family engagement strategies

 No

 Yes

If yes, these standards currently apply to (please check all that apply):

 State-funded preschool programs

 Early Head Start and Head Start programs

 Early Learning and Development programs funded under 

section 619 of part B of IDEA and part C of IDEA

 Early Learning and Development Programs funded under 

Title I of ESEA

 Early Learning and Development Programs receiving funds 

from the State’s CCDF program:

 Center-based

 Family Child Care
11

(5) Health promotion practices

 No

 Yes

If yes, these standards currently apply to (please check all that apply):

 State-funded preschool programs

 Early Head Start and Head Start programs

 Early Learning and Development programs funded under 

section 619 of part B of IDEA and part C of IDEA

 Early Learning and Development Programs funded under 

Title I of ESEA

 Early Learning and Development Programs receiving funds 

from the State’s CCDF program:

 Center-based

 Family Child Care

(6) Effective data practices

 No

 Yes

If yes, these standards currently apply to (please check all that apply):

 State-funded preschool programs

 Early Head Start and Head Start programs

 Early Learning and Development programs funded under 

section 619 of part B of IDEA and part C of IDEA

 Early Learning and Development Programs funded under 

Title I of ESEA

 Early Learning and Development Programs receiving funds 

from the State’s CCDF program:

 Center-based

 Family Child Care

The State has made progress in ensuring that (please check all that apply):

 TQRIS Program Standards are measurable 

 TQRIS Program Standards meaningfully differentiate program quality levels

 TQRIS Program Standards reflect high expectations of program excellence 

commensurate with nationally recognized standards that lead to improved learning 

outcomes for children 

 The TQRIS is linked to the State licensing system for Early Learning and Development 

Programs.

Describe progress made during the reporting year in developing or revising a TQRIS that

is based on a statewide set of tiered Program Standards. Please describe the State’s strategies to 

ensure that measurable progress will be made in this area by the end of the four-year grant 

period.
12

(Enter narrative here)

Promoting Participation in the TQRIS (Section B(2) of Application)

Describe progress made during the reporting year in promoting participation in the 

TQRIS. Please describe the State’s strategies to ensure that measurable progress will be made in 

this area by the end of the four-year grant period.

(Enter narrative here)

Performance Measure (B)(2)(c)

In the table, provide data on the numbers and percentages of Early Learning and 

Development Programs that are participating in the State’s TQRIS by type of Early Learning and 

Development Program. Targets must be consistent with those in the State’s application unless a 

change has been approved. 
13

Performance Measure (B)(2)(c): Increasing the number and percentage of Early Learning and 

Development Programs participating in the statewide TQRIS.

Type of Early 

Learning and 

Development 

Program in the 

State

Number 

of

programs 

in the 

State

Number and percentage of Early Learning and Development 

Programs in the TQRIS

Baseline Year One 

(Target)

Actual

Year Two 

(Target)

Actual

Year 

Three 

(Target)-

Actual

Year Four 

(Target)

Actual

# % # % # % # % # %

State-funded 

preschool

Specify:

Early Head Start 

and Head Start1

Programs funded 

by IDEA, Part C

Programs funded 

by IDEA, Part B, 

section 619

Programs funded 

under Title I of 

ESEA

Programs receiving 

from CCDF funds

Other

Describe:

[Please indicate if baseline data are actual or estimated; describe the methodology used to collect the 

data, including any error or data quality information; and please include any definitions you used that 

are not defined in the notice.]

For all targets that were not reached in the reporting year, please describe the State’s

strategies to ensure that measurable progress will be made in reaching the established grant 

targets by the end of the grant period.

(Enter narrative here)

 

1

Including Migrant and Tribal Head Start located in the State.
14

Rating and monitoring Early Learning and Development Programs (Section B(3) of 

Application). 

The State has made progress in developing and enhancing a system for rating and monitoring the 

quality of Early Learning and Development Programs that participate in the TQRIS that (please 

check all that apply):

 Includes information on valid and reliable tools for monitoring such programs

 Has trained monitors whose ratings have an acceptable level of inter-rater reliability

 Monitors and rates Early Learning and Development Programs with appropriate 

frequency

 Provides 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) 

 Makes 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.

Describe progress made during the reporting year in developing and enhancing a system 

for rating and monitoring the quality of Early Learning and Development Programs that 

participate in the TQRIS. Describe the State’s strategies to ensure that measurable progress will 

be made in rating and monitoring Early Learning and Development Programs by the end of the 

grant period.

(Enter narrative here)
15

Promoting access to high-quality Early Learning and Development Programs for Children 

with High Needs (Section B(4) of Application). 

Has the State made progress in improving the quality of the Early Learning and Development 

Programs that are participating in your State TQRIS through the following policies and 

practices? (If yes, please check all that apply.)

 Program and provider training

 Program and provider technical assistance

 Financial rewards or incentives

 Higher, tiered child care subsidy reimbursement rates

 Increased compensation

Number of tiers/levels in the State TQRIS ________

How many programs moved up at least one level within the TQRIS over the last fiscal 

year? 

 State-funded preschool programs ____

 Early Head Start ____

 Head Start programs ____

 Early Learning and Development programs funded under section 619 of part B of IDEA 

and part C of IDEA ____

 Early Learning and Development Programs funded under Title I of ESEA ___

 Early Learning and Development Programs receiving funds from the State’s CCDF 

program:

o Center-based ___

o Family Child Care ___

How many programs moved down at least one level within the TQRIS over the last fiscal 

year? 

 State-funded preschool programs ____

 Early Head Start ____

 Head Start programs ____

 Early Learning and Development programs funded under section 619 of part B of IDEA 

and part C of IDEA ____

 Early Learning and Development Programs funded under Title I of ESEA ___

 Early Learning and Development Programs receiving funds from the State’s CCDF 

program:

o Center-based ___

o Family Child Care ___
16

Has the State made progress in developing high-quality benchmarks at the highest level(s) of the 

TQRIS in the following areas? (If yes, check all that apply.)

 Standards alignment or reciprocity with Early Learning and Development Programs that 

meet State preschool standards (e.g., content of the standards is the same, or there is a 

reciprocal agreement between State preschool and the TQRIS) 

 Standards alignment or reciprocity with Early Learning and Development Programs that 

meet Federal Head Start Performance Standards (e.g., content of the standards is the 

same, there is a reciprocal agreement between Head Start and the TQRIS, or there is an 

alternative pathway to meeting the standards) 

 Standards alignment or reciprocity with Early Learning and Development Programs that 

meet national accreditation standards (e.g., content of the standards is the same, or an 

alternative pathway to meeting the standards) 

 Early Learning and Development Standards

 A Comprehensive Assessment System

 Early Childhood Educator qualifications

 Family engagement strategies

 Health promotion practices

 Effective data practices

 Program quality assessments

Please provide more detail on your development of high-quality benchmarks at the 

highest level(s) of the TQRIS. Please describe the State’s strategies to ensure that measurable 

progress will be made in developing high-quality benchmarks at the highest level(s) of the 

TQRIS by the end of the grant period.

(Enter narrative here)

Performance Measures (B)(4)(c)(1) and (2)

In the table below, provide data on the number of Early Learning and Development 

Programs in the top tiers of the TQRIS. Targets must be consistent with those in the State’s 

application unless a change has been approved. 
17

Performance Measure (B)(4)(c)(1): Increasing the number of Early Learning and Development 

Programs in the top tiers of the TQRIS.

Baseline Year One

(Target)

Actual

Year Two

(Target)

Actual

Year Three

(Target)

Actual

Year Four

(Target)

Actual

Total number of 

programs covered 

by the TQRIS

Number of 

programs in Tier 1

Number of 

programs in Tier 2

Number of 

programs in Tier 3

Number of 

programs in Tier 4

Number of 

programs in Tier 5

In the table below, provide data on the number and percentage of children with high 

needs who are enrolled in Early Learning and Development Programs in the top tiers of the 

TQRIS. Targets must be consistent with those in the State’s application unless a change has been 

approved. 
18

Performance Measure (B)(4)(c)(2): 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 TQRIS.

Type of Early 

Learning and 

Development 

Program in the State

Number of 

Children 

with High 

Needs 

served by 

programs 

in the 

State

Baseline and Annual Targets -- Number and percent of Children 

with High Needs Participating in Programs that are in the top 

tiers of the TQRIS

Baseline Year One 

(Target)

Actual

Year Two 

(Target)

Actual

Year 

Three 

(Target)

Actual

Year 

Four 

(Target)

Actual

# % # % # % # % # %

State-funded preschool

Specify:

Early Head Start and 

Head Start2

Early Learning and 

Development 

Programs funded by 

IDEA, Part C 

Early Learning and 

Development 

Programs funded by 

IDEA, Part B, section 

619

Early Learning and 

Development 

Programs funded 

under Title I of ESEA

Early Learning and 

Development 

Programs receiving 

funds from the State’s 

CCDF program

Other

Describe:

For all targets that were not reached in the reporting year, please describe the State’s

strategies to ensure that measurable progress will be made in reaching the established targets by

the end of the grant period.

 

2

Including Migrant and Tribal Head Start located in the State.
19

(Enter narrative here)

Validating the effectiveness of the State TQRIS (Section B(5) of Application).

Describe progress made during the reporting year in validating the effectiveness of the 

TQRIS during the reporting year, including the State’s strategies for determining whether TQRIS 

tiers accurately reflect differential levels of program quality and assessing the extent to which 

changes in ratings are related to progress in children’s learning, development, and school 

readiness. Describe the State’s strategies to ensure that measurable progress will be made by the 

end of the grant period.

(Enter narrative here)
20

Focused Investment Areas -- Sections (C), (D), and (E)

Grantee should complete only those sections that correspond with the focused investment areas 

outlined in the grantee’s RTT-ELC application and State Plan. 

Promoting Early Learning Outcomes

Early Learning and Development Standards (Section C(1) of Application)

The State has made progress in ensuring that its Early Learning and Development 

Standards (check all that apply):

 Are developmentally, culturally, and linguistically appropriate across each defined age 

group of infants, toddlers, and preschoolers;

 Cover all Essential Domains of School Readiness; 

 Are aligned with the State’s K-3 academic standards; and 

 Are incorporated in Program Standards, curricula and activities, Comprehensive 

Assessment Systems, the State’s Workforce Knowledge and Competency Framework, 

and professional development activities. 

Describe the progress made in the reporting year, including supports that are in place to 

promote the understanding of and commitment to the Early Learning and Development 

Standards across Early Learning and Development Programs. Please describe the State’s 

strategies to ensure that measurable progress will be made in these areas by the end of the grant 

period.

Check the Focused Investment Areas addressed in your RTT-ELC State Plan:

 (C)(1) Developing and using statewide, high-quality Early Learning and Development Standards.

 (C)(2) Supporting effective uses of Comprehensive Assessment Systems. 

 (C)(3) Identifying and addressing the health, behavioral, and developmental needs of Children with

 High Needs to improve school readiness.

 (C)(4) Engaging and supporting families.

 (D)(1) Developing a Workforce Knowledge and Competency Framework and a progression of 

credentials.

 (D)(2) Supporting Early Childhood Educators in improving their knowledge, skills, and abilities.

 (E)(1) Understanding the status of children’s learning and development at kindergarten entry.

 (E)(2) Building or enhancing an early learning data system to improve instruction, practices, services, 

and policies.
21

(Enter narrative here)

Comprehensive Assessment Systems (Section C(2) of Application)

The State has made progress in implementing a developmentally appropriate 

Comprehensive Assessment System working with Early Learning and Development Programs to

(check all that apply):

 Select assessment instruments and approaches that are appropriate for the target 

populations and purposes; 

 Strengthen Early Childhood Educators’ understanding of the purposes and uses of each 

type of assessment included in the Comprehensive Assessment Systems; 

 Articulate an approach for aligning and integrating assessments and sharing assessment 

results; and

 Train Early Childhood Educators to appropriately administer assessments and interpret 

and use assessment data in order to inform and improve instruction, programs, and 

services.

Describe the progress made during the reporting year. Please describe the State’s 

strategies to ensure that measurable progress will be made in these areas by the end of the grant 

period.

(Enter narrative here)
22

Health Promotion (Section C(3) of Application)

The State has made progress in (check all that apply):

 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 

your TQRIS Program Standards;

 Increasing the number of Early Childhood Educators who are trained and supported in 

meeting the health standards;

 Promoting healthy eating habits, improving nutrition, expanding physical activity; and 

 Leveraging existing resources to meet ambitious yet achievable annual targets.

Describe the progress made during the reporting year. Please describe the State’s 

strategies to ensure that measurable progress will be made in this area by the end of the grant 

period.

(Enter narrative here)

Performance Measure (C)(3)(d)

In the table, provide data on leveraging existing resources to meet ambitious yet 

achievable statewide targets. Targets must be consistent with those in the State’s application 

unless a change has been approved. 

Performance Measure (C)(3)(d): Leveraging existing resources to meet ambitious yet achievable 

annual statewide targets.

Baseline and annual targets

Baseline 

(from 

application)

Year One 

(Target)

Actual

Year Two 

(Target)

Actual

Year Three 

(Target)

Actual

Year Four 

(Target)

Actual

Number of Children with 

High Needs screened 

Number of Children with 

High Needs referred for 

services who received

follow-up/treatment 

Number of Children with 

High Needs who participate 
23

Performance Measure (C)(3)(d): Leveraging existing resources to meet ambitious yet achievable 

annual statewide targets.

Baseline and annual targets

Baseline 

(from 

application)

Year One 

(Target)

Actual

Year Two 

(Target)

Actual

Year Three 

(Target)

Actual

Year Four 

(Target)

Actual

in ongoing health care as 

part of a schedule of well 

child care 

Of these participating 

children, the number or 

percentage of children who 

are up-to-date in a schedule 

of well child care

[Please indicate if baseline data are actual or estimated; describe the methodology used to collect the 

data, including any error or data quality information; and please include any definitions you used that 

are not defined in the notice.]

For all targets that were not reached in the reporting year, please describe the State’s

strategies to ensure that measurable progress will be made in reaching the established targets by

the end of the grant period.

(Enter narrative here)

Engaging and Supporting Families (Section C(4) of Application)

The State has made progress in (check all that apply):

 Establishing a progression of culturally and linguistically appropriate standards for family 

engagement across the levels of your Program Standards; 

 Including information on activities that enhance the capacity of families to support their 

children’s education and development;

 Increasing the number and percentage of Early Childhood Educators trained and 

supported to implement the family engagement strategies; and

 Promoting family support and engagement statewide, including by leveraging other 

existing resources.
24

Describe the progress made during the reporting year. Please describe the State’s strategies to 

ensure that measurable progress will be made in this area by the end of the grant period.

(Enter narrative here)

Early Childhood Education Workforce 

Workforce Knowledge and Competency Framework and progression of credentials.

(Section D(1) of Application)

The State has made progress in developing (check all that apply):

 A common, statewide Workforce Knowledge and Competency Framework designed to 

promote children’s learning and development and improve child outcomes; and

 A common, statewide progression of credentials and degrees aligned with the Workforce 

Knowledge and Competency Framework.

Describe the progress made during the reporting year, including progress in engaging 

postsecondary institutions and other professional development providers in aligning 

professional development opportunities with the State Workforce Knowledge and 

Competency Framework. Please describe the State’s strategies to ensure that measurable 

progress will be made in this area by the end of the grant period.

(Enter narrative here)

Supporting Early Childhood Educators in improving their knowledge, skills, and abilities.

(Section D(2) of Application)

The State has made progress in improving the effectiveness and retention of Early 

Childhood Educators who work with Children with High Needs with the goal of improving child 

outcomes (check all that apply):
25

 Providing and expanding access to effective professional development opportunities that are 

aligned with your State’s Workforce Knowledge and Competency Framework;

 Implementing policies and incentives that promote professional and career advancement 

along an articulated career pathway that is aligned to the Workforce Knowledge and 

Competency Framework, and that are designed to increase retention, including

 Scholarships

 Compensation and wage supplements, 

 Tiered reimbursement rates, 

 Other financial incentives

 Management opportunities

 Publically reporting aggregated data on Early Childhood Educator development, 

advancement, and retention

 Setting ambitious yet achievable targets for --

 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

 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.

Describe the progress made during the reporting year. Please describe the State’s 

strategies to ensure that measurable progress will be made in this area by the end of the grant 

period.

(Enter narrative here)

Performance Measures (D)(2)(d)(1) and (2):

In the tables below, indicate State progress toward meeting 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.
26

Performance Measure (D)(2)(d)(1): Increasing the number of Early Childhood Educators receiving 

credentials from postsecondary institutions and professional development providers with programs 

that are aligned to the Workforce Knowledge and Competency Framework.

Baseline

(From

Application)

Year One 

(Target)

Actual

Year Two 

(Target)

Actual

Year Three 

(Target)

Actual

Year Four

(Target) 

Actual

Total number of 

“aligned” institutions

and providers

Total number of Early 

Childhood Educators 

credentialed by an 

“aligned” institution or 

provider

Performance Measure (D)(2)(d)(2): Increasing number and percentage of Early Childhood 

Educators who are progressing to higher levels of credentials that align with the Workforce 

Knowledge and Competency Framework.

Progression of 

credentials (Aligned to 

Workforce Knowledge 

and Competency 

Framework)

Baseline and Annual Targets -- Number and percentage of Early Childhood 

Educators who have moved up the progression of credentials, aligned to the 

Workforce Knowledge and Competency Framework, in the prior year

Baseline 

(From 

Application)

Year One 

(Target)

Actual

Year Two 

(Target)

Actual

Year Three 

(Target)

Actual

Year Four 

(Target) 

Actual

# % # % # % # % # %

Credential Type 1

Specify:

(target)

Credential Type 2

Specify:

Credential Type 3

Specify:

Credential Type 4

Specify:

Include a row for each credential in the State’s proposed progression of credentials, customize the 

labeling of the credentials, and indicate the highest and lowest credential. 

[Please describe the methodology used to collect the data, including any error or data quality 

information.]
27

For all targets that were not reached in the reporting year, please describe the State’s

strategies to ensure that measurable progress will be made in reaching the established targets by

the end of the grant period.

(Enter narrative here)

Measuring Outcomes and Progress

Understanding the Status of Children’s Learning and Development at Kindergarten Entry 

(Section E(1) of Application)

The State has made progress in developing a common, statewide Kindergarten Entry

Assessment that (check all that apply):

 Is aligned with the State’s Early Learning and Development Standards and covers all 

Essential Domains of School Readiness;

 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;

 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; 

 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

 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).

Describe the domain coverage of the State’s Kindergarten Entry Assessment, validity and 

reliability efforts regarding the Kindergarten Entry Assessment, and timing of the administration 

of the Kindergarten Entry Assessment.

(Enter narrative here)
28

Describe the progress made during the reporting year. Please describe the State’s 

strategies to ensure that measurable progress will be made in this area by the end of the grant 

period.

(Enter narrative here)

Early Learning Data Systems (Section E(2) of Application)

The State has made progress in enhancing its existing Statewide Longitudinal Data 

System or building or enhancing a separate, coordinated, early learning data system that aligns 

and is interoperable with the Statewide Longitudinal Data System and that (check all that apply):

 Has all of the Essential Data Elements;

 Enables uniform data collection and easy entry of the Essential Data Elements by

Participating State Agencies and Participating Programs; 

 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;

 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

 Meets the Data System Oversight Requirements and complies with the requirements 

of Federal, State, and local privacy laws.

Describe the progress made during the reporting year, including the State’s progress in 

building or enhancing a separate early learning data system that aligns with and is interoperable 

with the Statewide Longitudinal Data System and that meets the criteria described above. 

Describe the State’s strategies to ensure that measurable progress will be made in this area by the 

end of the grant period.

(Enter narrative here)
29

Data Tables:

Commitment to early learning and development. 

In the tables that follow, provide updated data on the State’s commitment to early learning and 

development as demonstrated in Section A(1) of the State’s RTT-ELC application. Tables A(1) -1 

through 3 should be updated with current data. Tables 4 and 5 should provide data for the reporting 

year as well as previous years of the grant. Tables 6 and 7 may be updated only where significant 

changes have occurred (if no changes have occurred, you should note that fact). 

Table (A)(1)-1: Children from Low-Income3families, by age

Number of children from LowIncome families in the StateChildren from Low-Income 

families as a percentage of all 

children in the State 

Infants under age 1

Toddlers ages 1 through 2

Preschoolers ages 3 to 

kindergarten entry

Total number of children, 

birth to kindergarten entry, 

from low-income families

[Enter text here to indicate data source and clarify or explain any of these data if needed]

Table (A)(1)-2: Special populations of Children with High Needs

The State should use these data to guide its thinking about where specific activities may be required to 

address special populations’ unique needs. The State will describe such activities throughout its 

application.

Special populations: Children 

who...

Number of children (from birth 

to kindergarten entry) in the 

State who...

Percentage of children 

(from birth to kindergarten 

entry) in the State who...

Have disabilities or 

developmental delays4

Are English learners5

 

3 Low-Income is defined as having an income of up to 200% of the Federal poverty rate.

4

For purposes of this application, children with disabilities or developmental delays are defined as children birth 

through kindergarten entry that have an Individual Family Service Plan (IFSP) or an Individual Education Plan 

(IEP). 
30

Table (A)(1)-2: Special populations of Children with High Needs

The State should use these data to guide its thinking about where specific activities may be required to 

address special populations’ unique needs. The State will describe such activities throughout its 

application.

Special populations: Children 

who...

Number of children (from birth 

to kindergarten entry) in the 

State who...

Percentage of children 

(from birth to kindergarten 

entry) in the State who...

Reside on “Indian Lands”

Are migrant6

Are homeless7

Are in foster care

Other as identified by the State

Describe: 

[Enter text here to indicate data source and clarify or explain any of these data if needed.]

Table (A)(1)-3a: Participation of Children with High Needs in different types of Early Learning 

and Development Programs, by age

Note: A grand total is not included in this table since some children participate in multiple Early 

Learning and Development programs.

Type of Early Learning and 

Development Program

Number of Children with High Needs participating in each 

type of Early Learning and Development Program, by age

Infants 

under 

age 1

Toddlers 

ages 1 

through 2

Preschoolers ages 3 

until kindergarten 

entry

Total 

State-funded preschool

Specify:

Data Source and Year:

 

5

For purposes of this application, children who are English learners are children birth through kindergarten entry 

who have home languages other than English. 

6

For purposes of this application, children who are migrant are children birth through kindergarten entry who meet 

the definition of “migratory child” in ESEA section 1309(2).

7 The term “homeless children” has the meaning given the term ”“homeless children and youths” in section 725(2) 

of the McKinney-Vento Homeless Assistance Act (425 U.S.C. 11434a(2)). 
31

Table (A)(1)-3a: Participation of Children with High Needs in different types of Early Learning 

and Development Programs, by age

Note: A grand total is not included in this table since some children participate in multiple Early 

Learning and Development programs.

Type of Early Learning and 

Development Program

Number of Children with High Needs participating in each 

type of Early Learning and Development Program, by age

Infants 

under 

age 1

Toddlers 

ages 1 

through 2

Preschoolers ages 3 

until kindergarten 

entry

Total 

Early Head Start and Head Start8

Data Source and Year:

Programs and services funded by 

IDEA Part C and Part B, section 

619

Data Source and Year:

Programs funded under Title I of 

ESEA

Data Source and Year:

Programs receiving funds from the 

State’s CCDF program

Data Source and Year:

Other 

Specify: 

Data Source and Year:

Other 

Specify: 

Data Source and Year:

Add additional rows as needed.

[Enter text here to clarify or explain any of these data if needed.]

 

8

Including children participating in Migrant Head Start Programs and Tribal Head Start Programs. 
32

Table (A)(1)-3b: Participation of Children in Early Learning and Development Programs in the State, 

by Race/Ethnicity

Note: A grand total is not included in this table since some children participate in multiple Early Learning 

and Development programs.

Type of Early 

Learning and 

Development 

Program in the 

State

Number 

of

Hispanic 

children

Number 

of NonHispanic 

American 

Indian or 

Alaska 

Native 

Children

Number 

of NonHispanic 

Asian 

Children

Number 

of NonHispanic 

Black or 

African 

American 

Children

Number 

of NonHispanic 

Native 

Hawaiian 

or Other 

Pacific 

Islander 

Children

Number 

of NonHispanic 

Children 

of Two 

or more 

races

Number 

of NonHispanic 

White 

Children

State-funded 

preschool

Specify:

Early Head Start and 

Head Start9

Early Learning and 

Development 

Programs funded by 

IDEA, Part C 

Early Learning and 

Development 

Programs funded by 

IDEA, Part B, 

section 619

Early Learning and 

Development 

Programs funded 

under Title I of 

ESEA

Early Learning and 

Development 

Programs receiving 

funds from the 

State’s CCDF 

program

Other

Describe:

[Enter text here to indicate data source and clarify or explain any of these data if needed.]

 

9

Including Migrant and Tribal Head Start located in the State.
33

Table (A)(1)-4: Data on funding for Early Learning and Development.

Type of investment Funding for each Fiscal Year

Baseline Year 

One

Year Two Year 

Three

Year Four

Supplemental State spending on 

Early Head Start and Head Start10

State-funded preschool 

Specify:

State contributions to IDEA Part C 

State contributions for special 

education and related services for 

children with disabilities, ages 3

through kindergarten entry

Total State contributions to CCDF11

State match to CCDF

Exceeded/Met/Not Met (if exceeded, 

indicate amount by which match was 

exceeded)

TANF spending on Early Learning 

and Development Programs12

Other State contributions

Specify:

Other State contributions

Specify: 

Total State contributions: 

Note: For States that have a biennial State budget, please complete for all fiscal years for which State 

funds have been appropriated. We are not asking for forecasting, but for actual allocations. Therefore, 

States that do not have biennial budgets need not complete for years for which appropriations do not yet 

exist. 

[Enter text here to indicate data source and clarify or explain any of these data, including the State’s 

fiscal year end date.]

 

10 Including children participating in Migrant Head Start Programs and Tribal Head Start Programs. 

11 Total State contributions to CCDF must include Maintenance of Effort (MOE), State Match, and any State 

contributions exceeding State MOE or Match.

12 Include TANF transfers to CCDF as well as direct TANF spending on Early Learning and Development 

Programs.
34

Table (A)(1)-5: Historical data on the participation of Children with High Needs in Early 

Learning and Development Programs in the State

Note: A grand total is not included in this table since some children participate in multiple Early 

Learning and Development programs.

Type of Early Learning and 

Development Program

Total number of Children with High Needs participating in 

each type of Early Learning and Development Program13

Baseline Year One Year Two Year 

Three

Year 

Four

State-funded preschool 

(annual census count; e.g., October 1

count)

Specify:

Early Head Start and Head Start14

(funded enrollment)

Programs and services funded by 

IDEA Part C and Part B, section 

619

(annual December 1 count)

Programs funded under Title I of 

ESEA

(total number of children who receive 

Title I services annually, as reported 

in the Consolidated State 

Performance Report )

Programs receiving CCDF funds

(average monthly served)

Other 

Describe:

[Enter text here to indicate data source and clarify or explain any of these data if needed. Include 2012 

if data are available. The final column of data should match that reported in Table (A)(1)-3.]

 

13 Include all Children with High Needs served with both Federal dollars and State supplemental dollars.

14 Including children participating in Migrant Head Start Programs and Tribal Head Start Programs. 
35

Table (A)(1)-6: Current status of the State’s Early Learning and Development Standards

Please place an “X” in the boxes to indicate where the State’s Early Learning and Development 

Standards address the different age groups by Essential Domain of School Readiness

Essential Domains of School Readiness

Age Groups

Infants Toddlers Preschoolers

Language and literacy development

Cognition and general knowledge (including early 

math and early scientific development)

Approaches toward learning

Physical well-being and motor development

Social and emotional development

[Enter text to explain or clarify information as needed]

Table (A)(1)-7: Elements of a Comprehensive Assessment System currently required within the 

State.

Please place an “X” in the boxes to indicate where an element of a Comprehensive Assessment System 

is currently required.

Types of programs 

or systems 

Elements of a Comprehensive Assessment System

Screening

Measures

Formative 

Assessments

Measures of 

Environmental 

Quality

Measures of 

the Quality of 

Adult-Child 

Interactions

Other

State-funded 

preschool

Specify:

Early Head Start 

and Head Start15

Programs funded 

under IDEA Part C

Programs funded 

under IDEA Part B, 

section 619

Programs funded 

under Title I of 

ESEA

 

15 Including Migrant and Tribal Head Start located in the State.
36

Table (A)(1)-7: Elements of a Comprehensive Assessment System currently required within the 

State.

Please place an “X” in the boxes to indicate where an element of a Comprehensive Assessment System 

is currently required.

Types of programs 

or systems 

Elements of a Comprehensive Assessment System

Screening

Measures

Formative 

Assessments

Measures of 

Environmental 

Quality

Measures of 

the Quality of 

Adult-Child 

Interactions

Other

Programs receiving 

CCDF funds

Current Quality 

Rating and 

Improvement 

System

requirements

Specify by tier (add 

rows if needed): 

State licensing 

requirements

Other

Describe:

[Edit the labels on the above rows as needed, and enter text here to clarify or explain any of the data, if 

necessary.]
37

Additional Performance Measures Tables

Update any additional performance measure, if applicable. 

Performance Measures – Other (if applicable)

[Insert title here]

Project Goals/Desired Outcomes:

Narrative: [Briefly describe...]

Annual Targets for Key Performance Measures:

Performance Measures for (other): 

[Customize performance measure tables as appropriate] 

Baseline

(from 

Application)

Year One

(Target)

Actual

Year Two

(Target) 

Actual

Year Three 

(Target)

Actual

Year Four 

(Target) 

Actual
38

Budget and Expenditure Tables

Budget and Expenditure Table 1: Overall Budget and Expenditure Summary by Budget 

Category-- Report your actual budget expenditures for the entire previous budget period and for 

the current reporting period. 

Budget Table1: Budget Summary by Budget Category

Budget Categories

Grant 

Year 1

(a)

Grant 

Year 2

(b)

Grant 

Year 3

(c)

Grant

Year 4

(d)

Total

(e)

1. Personnel

2. Fringe Benefits

3. Travel

4. Equipment

5. Supplies

6. Contractual

7. Training Stipends

8. Other

9. Total Direct Costs (add lines 1-8)

10. Indirect Costs*

11. Funds to be distributed to localities, 

Early Learning Intermediary 

Organizations, Participating Programs 

and other partners.

12. Funds set aside for participation in 

grantee technical assistance

13. Total Grant Funds Requested

(add lines 9-12)

14. Funds from other sources used to 

support the State Plan

15. Total Statewide Budget (add lines 

13-14)

Columns (a) through (d): For each grant year for which funding is requested, show the total amount requested for each 

applicable budget category. 

Column (e): Show the total amount requested for all grant years.

Line 6: Show the amount of funds allocated through contracts with vendors for products to be acquired and/or professional 

services to be provided. A State may apply its indirect cost rate only against the first $25,000 of each contract included in line 

6. 

Line 10: If the State plans to request reimbursement for indirect costs, complete the Indirect Cost Information form at the end 

of this Budget section. Note that indirect costs are not allocated to line 11. 

Line 11: Show the amount of funds to be distributed to localities, Early Learning Intermediary Organizations, Participating 
39

Budget Table1: Budget Summary by Budget Category

Budget Categories

Grant 

Year 1

(a)

Grant 

Year 2

(b)

Grant 

Year 3

(c)

Grant

Year 4

(d)

Total

(e)

Programs, and other partners through MOUs, interagency agreements, contracts, or other mechanisms authorized by State 

procurement laws. States are not required to provide budgets for how the localities, Early Learning Intermediary 

Organizations, Participating Programs, and other partners will use these funds. However, the Departments expect that, as part 

of the administration and oversight of the grant, States will monitor and track all expenditures to ensure that localities, Early 

Learning Intermediary Organizations, Participating Programs, and other partners spend these funds in accordance with the 

State Plan.

Line 12: 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. This is primarily to be used for travel and may be allocated to 

Participating State Agencies evenly across the four years of the grant. 

Line 13: This is the total funding requested under this grant.

Line 14: Show total funding from other sources (including Federal, State, private, or local) being used to support the State 

Plan and describe these funding sources in the budget narrative.

Please provide a brief explanation of any discrepancies between the State’s approved 

budget and its total expenditures for the reporting year. 

(Enter narrative here)

Please describe any substantive changes that you anticipate to the State RTT-ELC budget 

in the upcoming year. 

(Enter narrative here)
40

Budget and Expenditure Table 2: by Project -- Report your actual budget expenditures for the 

entire previous budget period and for the current reporting period. Copy the table and questions 

below for each project. 

Budget Table 2: Project Name 

Budget Categories

Grant 

Year 1

(a)

Grant 

Year 2

(b)

Grant 

Year 3

(c)

Grant

Year 4

(d)

Total

(e)

1. Personnel

2. Fringe Benefits

3. Travel

4. Equipment

5. Supplies

6. Contractual

7. Training Stipends

8. Other

9. Total Direct Costs (add 

lines 1-8)

10. Indirect Costs*

11. Funds to be distributed to 

localities, Early Learning 

Intermediary Organizations, 

Participating Programs and 

other partners.

12. Funds set aside for 

participation in grantee 

technical assistance

13. Total Grant Funds 

Requested (add lines 9-12)

14. Funds from other sources 

used to support the State Plan

15. Total Budget (add lines 

13-14)

Columns (a) through (d): For each grant year for which funding is requested, show the total amount requested for each 

applicable budget category. 

Column (e): Show the total amount requested for all grant years.

Line 6: Show the amount of funds allocated through contracts with vendors for products to be acquired and/or 

professional services to be provided. A State may apply its indirect cost rate only against the first $25,000 of each 

contract included in line 6. 

Line 10: If the State plans to request reimbursement for indirect costs, complete the Indirect Cost Information form at the 

end of this Budget section. Note that indirect costs are not allocated to line 11. 

Line 11: Show the amount of funds to be distributed to localities, Early Learning Intermediary Organizations, 

Participating Programs, and other partners through MOUs, interagency agreements, contracts, or other mechanisms 
41

Budget Table 2: Project Name 

Budget Categories

Grant 

Year 1

(a)

Grant 

Year 2

(b)

Grant 

Year 3

(c)

Grant

Year 4

(d)

Total

(e)

authorized by State procurement laws. States are not required to provide budgets for how the localities, Early Learning 

Intermediary Organizations, Participating Programs, and other partners will use these funds. However, the Departments 

expect that, as part of the administration and oversight of the grant, States will monitor and track all expenditures to 

ensure that localities, Early Learning Intermediary Organizations, Participating Programs, and other partners spend these 

funds in accordance with the State Plan.

Line 12: The Participating State Agency’s allocation of the $400,000 the State must set aside from its Total Grant Funds 

Requested for the purpose of participating in RTT–ELC grantee technical assistance activities facilitated by ED or HHS. 

This is primarily to be used for travel and may be allocated evenly across the four years of the grant. 

Line 13: This is the total funding requested under this grant.

Line 14: Show total funding from other sources (including Federal, State, private, or local) being used to support the 

State Plan and describe these funding sources in the budget narrative.

For this project, please provide an explanation of any discrepancies between the State’s 

approved budget and expenditures for the reporting year. 

(Enter narrative here)

For this project, please describe any substantive changes that you anticipate to the State 

RTT-ELC budget in the upcoming year. 

(Enter narrative here)