# First in the World Program

# FY 2015 Validation Competition Webinar

# Script for the Slide Presentation

## Slide 1 of 33.  Title Page

First in the World (FITW) Program, Validation Competition Webinar, May 15, 2015

## Slide 2.  Disclaimer

Slide 2 shows the disclaimer for this presentation.  The purpose of this webinar is to provide information about the Validation competition in the 2015 FITW program.  The webinar provides the U.S. Department of Education’s interpretation of various statutory provisions and does not impose any requirements beyond those included in the FITW notice inviting applications (NIA) for the 2015 Validation grant competition; and other applicable laws and regulations.  In addition, it does not create or confer any rights for or on any person.

Do not rely solely on the information in this webinar.  

Please refer to the NIA published in the Federal Register for additional information.  The Federal Register Notice is the official document governing the competition.   You may download all the application materials in www.grants.gov/.  The keyword search is First in the World.

## Slide 3.  General Information  

Slide 3 contains three information items related to technical assistance.  First, it is very important to read the Frequently Asked Questions for the Validation competition on the FITW Web site.  The address for these FAQs is on the screen. http://www2.ed.gov/programs/fitw/faq.html

Second, we want to call your attention to our process for handling your questions during the open application period.  You may submit questions to us at opefitwvalidation@ed.gov.  Our phone numbers are also provided at the conclusion of this webinar.  We are happy to answer any program specific or technical assistance questions you may have, such as eligibility, allowable costs, or requirements.  But please note that the FITW staff will not provide answers during the open competition period to applicant specific questions, such as proposal content or ideas.  We do this in order to be fair to all applicants.

Finally, we want to call your attention to the webinar that will provide information on evidence standards on May 19, 2015 at 3:00 p.m., Washington DC time.  Registration information is on the FITW Web site.

## Slide 4.  FITW Program 2015

Slide 4 notes that in FY 2015 the Department is holding two FITW competitions.  We are holding a Development competition for piloting and testing strategies for meeting postsecondary challenges.  We are also holding a Validation competition for replicating tested strategies across multiple entities in postsecondary education.  These two competitions have separate NIAs and separate application packages.

## Slide 5.  Purpose of FITW

Slide 5 lists the four key purposes of the FITW program.  First, it is part of the national agenda to be a world leader in the number and percentage of citizens with postsecondary degrees, credentials, and certifications.  Second, the program focuses on the students most needed to bring about increased postsecondary completion numbers.  These are high-need students who are most in danger of not persisting and not completing postsecondary programs of study.  Third, the Validation competition is fully based on published evidence standards.  Finally, a key purpose of the program is to increase and enhance a database of proven, effective practices 

## Slide 6.  Dates to remember

Slide 6 lists the important dates for this competition.  The competition opened on May 11, 2015 and will close on June 30, 2015 at 4:30:00 Washington DC time.  This is an absolute closing date timed to the second.  We will not review late proposals.  On September 30, 2015 the awards will be announced.  During the internal review period we do not have any contact with applicants.

## Slide 7.  Cautions from 2014

Slide 7 contains some important cautions and lessons learned from the 2014 competition.  Be sure to submit early.  We suggests several days ahead of the deadline.  Be sure to register for SAM, the system that is required for uploading grant applications.  This registration process can take two or more weeks.  If you are going to apply, register in SAM NOW.  It is always important to write clearly and present a text free of errors and typos. The Validation competition has several requirements.  You must meet all requirements to be considered for funding.  The last line of this slide underscores the importance of reading all application materials and paying close attention to timelines.

## Slide 8.  Validation Competition Profile

Slide 8 is the first of three slides to explain the Validation competition profile.  A key thing to keep in mind is that Validation grants must be based on educational practices that have already been tested and already meet or could meet the specific What Works Clearinghouse standard with or without reservations.   Another key component of a Validation grant is its central structure of large scale partnerships.  Be sure to read the definition of Validation project scale (partnerships) in the NIA.    Regardless of the absolute priority selected for the application, the proposed project must focus on large numbers of high-need students.  The NIA provides a precise definition for the required number of students.  Finally, the Validation competition has two evidence standards—one for eligibility and a separate one for project results.  Both are based on What Works Clearinghouse standards as explained in the NIA.  We encourage you to participate in the upcoming evidence webinar or to view it when posted on the FITW Web site.

## Slide 9. Validation Competition Profile

Slide 9 is the second of three slides on the competition profile.  The total congressional FY 2015 appropriation is $60,000,000 with up to $16,000,000 set aside for MSIs.  This appropriation covers two competitions--Development and Validation.  We expect to make 0-5 Validation awards.  The estimated range for these awards is:  $6,000,000 - $10,000,000.  While we will not make any awards above $10 million, competitive proposals may be submitted anywhere in the range and even below the range.

## Slide 10.  Validation Competition Profile

Slide 10 is the third of three slides on the competition profile.  There are four Absolute Priorities in the competition.  There are four selection criteria.   More on these criteria will be on the slides below.  All Validation awards will be for four years and all will be forward funded.  Each performance and budget year for each grant is October 1 - September 30.

## Slide 11.  Key Requirements

Slide 11 is the first of two slides on key requirements.  This does not constitute the total list of requirements for the Validation competition.  To begin with all applicants must address one of the four absolute priorities.  All applicants must replicate practices that serve large numbers high need students.  All applicants must include a project evaluation plan that is designed and implemented by an independent and external evaluator. It is critical to meet the evidence standard for eligibility to the competition and equally critical to design and implement an evaluation plan that has potential to meet the project results standard.  Both evidence standards are defined in the NIA.   

## Slide 12.  Key Requirements

Slide 12 is the second of two slides on key requirements.  This slide explains the definition of the students who are at the center of Validation proposals.  All eligible applicants must implement strategies, programs, or practices for high-need students. We define high-need students as those who are at risk of educational failure or otherwise in need of special assistance and support such as adult learners, working students, part-time students, students from low-income backgrounds, students of color, first-generation students, students with disabilities, and students who are English learners.  

It is a requirement of the Validation competition that an applicant must identify how the proposed project serves high-need student populations. However, while the definition noted above provides examples of high-need students, it does not attempt to define all possible high-need student populations.  Applicants must identify how their project serves high-need students.

## Slide 13.  First? Read!

Slide 13 provides some basic advice.  Before you call us with questions and before you sit down with your colleagues to start planning a submission, read every part of the application materials several times.  Start with the NIA.  It is in three places—the Federal register, the FITW Web site, and in grants.gov.  Pay close attention to grants.gov.  There are four competitions listed under the CFDA number 84.116.  Be sure you download and later upload the correct application materials.  Finally, do not start before you have read the Validation FAQs on the FITW Web site.  Many questions can be answered right there.

## Slide 14.  Who is eligible?

Slide 14 explains the important things to keep in mind for eligibility.  Eligible applicants are defined by our FIPSE statute which comes from the Higher Education Act of 1965 as amended in 2008.  The statute defines eligible applicants as “Institutions of higher education, combinations of such institutions, and other public and private non-profit institutions and agencies.”  If you have questions about this please e-mail us at opefitwvalidation@ed.gov.  

FITW (Development and Validation) is a limited submission program.  Keep in mind the following three requirements.  First, only Validation applications are eligible for a Validation award.  Second, an applicant may submit only one FITW application in 2015.  You may submit one application to the Development competition or one application to the Validation competition but not one application in each competition.  Finally, 2014 Development grantees may not apply for 2015 Development competition, but may apply for 2015 Validation competition.

## Slide 15.  MSI Eligibility

Slide 15 is the first of two slides on Minority-Serving Institution eligibility. Remember this is an eligibility requirement for an institution that wishes to be considered for the set aside.  It is not eligibility for the competition.  Applicants that request MSI eligibility and do not receive it will still be reviewed in the general competition.  Applicants applying for MSI eligibility must indicate MSI status request on the “Abstract and Information Page.”

An Institution qualifies as an MSI if it meets one of the following conditions: 1) has participated in the FY 2015 designation of eligibility process and received an approval letter to apply for grant programs under Title III and Title V; 2) has an open grant under one of the Department’s Title III or Title V programs; or 3) has been designated as an HBCU or a Tribally Control College or University.

## Slide 16.  MSI Eligibility

Slide 16 describes another way to meet MSI eligibility.   If an applicant does not meet any of the three criteria in the previous slide, IPEDS data will be used to determine the proportion of minority students served.  In some cases, applicants must also meet the needy student and E&G expenditure requirements.  There are formulas for the   numbers and percentages of students related to E&G budgets.  Specific details are in the Eligibility section of the application package.  You do not have to provide any details to be considered for MSI eligibility.  Eligibility for an MSI application is determined solely by the status of the lead institution.

## Slide 17.  Questions?

## Slide 18.  Absolute Priorities

Slide 18 lists the four absolute priorities for the 2015 Validation competition.  Applicants must select one priority. Regardless of choice applicants must focus on high-need students and must meet the requirements for “up front” and “back end” evidence standards.  

The four absolute priorities include: Improving Success in Developmental Education Courses: Improving Teaching and Learning; Improving Student Services; and Influencing the Development of Non-cognitive Factors.

## Slide 19.  Selection Criteria

Slide 19 contains general information about the four selection criteria.  Each selection criteria must be in a clearly labelled section of the project narrative.  Each of the subparts must be answered carefully.  Reviewers are required to use a scoring grid that assigns points to each sub-part.  The highest possible score is 100 points. 

The page limit for addressing the four criteria in the project narrative is 35.

## Slide 20.  Significance (up to 20 points)

Slide 20 explains the first selection criterion that should be placed in the first section of the project narrative.  It is important to describe carefully the following three items: the tested strategies that form the basis for the proposed project; the importance and value of the replication; and the importance of the balance between replication and adaptability.

## Slide 21.  Project Design (up to 30 points)

Slide 21 describes the second selection criterion on project design.  In this second part of the project narrative it is important to describe the overall plan and structure of the proposed project.  This is also the place in the project narrative to explain the supporting study or studies that make the project eligible.  Explain the core components of the study or studies and compare them carefully to the core components of your proposed project.  Demonstrate that they are the same or similar.  If there are differences between the supporting studies and the project, explain the differences, and the rationale for the proposed modifications.   Finally, explain the plan for post-grant continuation.

## Slide 22.  Adequacy of Resources (up to 20 points)

Slide 22 explains the third selection criterion.  There are four basic parts to this criterion.  First, describe the specific resources related to the successful implementation of the project such as facilities, equipment, and supplies. This includes the lead applicant but also each partner institution or agency.  It is important to get a picture of the total resources for the project. Second, describe the letters of support that were submitted to demonstrate the institutional level of commitment to the project. The actual letters must be attached under “Other Attachments” in the application.  Third, the requested funds must be reasonable and support activities directly related to the control and comparison groups.  Funds are limited to project activities directly related to the students in the control and treatment groups in the evaluation plan.   

Peer reviewers will evaluate the qualifications of the project director.   This should not be a placeholder for someone to be hired later.  Reviewers cannot assess the qualifications of someone who has not yet been hired.

## Slide 23.  Quality of the Project Evaluation (up to 30 points)

Slide 23 lists the elements of the project evaluation.  Reviewers with expertise in the What Works Clearinghouse standards will assess and score this criterion.  The project narrative should detail the activities that are to be evaluated against the standard.  It is critical to understand what the phrase “without reservations” means and what kind of evaluation structure must be used to meet the standard.  The third part of this criterion focuses on the qualifications of the project evaluator.  The name and resume of this person must be submitted as one of the application requirements.  The reviewers will look closely at the evaluator’s experience in designing and conducting studies that would meet the required evidence standard.

## Slide 24.  Review Process

Slide 24 is the first of two slides that explains the peer review process for the Validation competition.  Two types of reviewers will serve on each panel.  Content reviewers will read the entire proposal but score only selection criteria one, two, and three.  Evaluation reviewers will also read the entire proposal but score only the final criterion on evaluation. On the basis of these combined raw scores a rank order will be developed.

## Slide 25.  Review Process

Slide 25 is the second slide on the review process.  The peer reviewers will score the application against the four selection criteria.  All reviewers are drawn from the G5 database and are selected to reflect a variety of expertise, institutional backgrounds, and professions.  Conflicts of interest are also carefully checked.  A number of reviewers will be selected based on their expertise in evaluation design and their knowledge of the What Works Clearinghouse standards. 

## Slide 26.  Budget

Slide 26 is the first of two slides on budget instructions.  Validation projects are large and complex in scale, involving many individuals and many institutions and agencies.   Budgets must be carefully constructed and all costs must be justified.  The range of awards has an upper limit but no lower limit.  Projects with a smaller number of partners are equally competitive.   Budgets are reviewed twice, first by the peer reviewers and later, with great scrutiny, by the FIPSE staff.  Section A (budget form) and Section C (budget narrative) must be submitted.  Section B (cost share and match) does not apply to this program.

## Slide 27.  Budget

Slide 27 is the second slide on budget instructions.  In the FITW program there is no required cost share or matching funds.  The indirect cost rate is eight percent.  There are two sets of budget instructions.  First, there are budget instructions that are program specific and included in the application package.  Pay close attention to these program specific instructions.  

Based on FIPSE’s statutory language on prohibiting funding to students, the FITW program does not fund scholarships, tuition, participation incentives, housing, meals, transportation, mentoring, or tutoring.   Only undergraduates or graduate students who help in the administration of the project or help with data collection may be paid with grant funds.  If you have any questions on allowable costs, contact the FITW staff.

Second, we also call your attention to the general cost principles and regulations described in EDGAR and OMB circulars. The Web addresses for these are on the slide.

## Slide 28.  Application Checklist

Slide 28 shows the seven major parts of a complete application.  Be sure you have included every required part of this checklist.  Incomplete applications will not be reviewed.

## Slide 29.  Grants.gov

Slide 29 explains the process for submitting an electronic application in grants.gov.  Electronic submission is required through grants.gov unless you have a waiver.   Note carefully that the application uploading process can be time consuming.  Please submit your application several days before the closing date.  The closing time of 4:30:00 is absolute.  We do not accept late submissions.

The process for uploading the application is quite straightforward.  On grants.gov homepage, go to the “Apply for Grants” link. Use the search engine and type in “First in the World.”  Be sure you upload the Validation submission into the correct part of grants.gov

If you are experiencing problems submitting your application through Grants.gov, please contact the Grants.gov Support Desk, toll free, at 1-800-518-4726.  You must obtain a Grants.gov Support Desk Case Number and keep a record of it. You can also contact them via e-mail at support@grants.gov.  We accept late applications only if there are issues with grants.gov on our part.

## Slide 30.  Registering for SAM.gov

Slide 30 explains how to register in the System for Award Management (SAM).  This is necessary to submit an application in grants.gov.  As the slide indicates this registration process in SAM can take several weeks so it is important to do this well in advance of the closing date. Two Web sites are listed for general information and for a tip sheet on SAM registration.

## Slide 31.  Resources

Slide 31 list Web sites for the First in the World, the Federal Register NIA, the grants.gov application package, the Validation FAQs, and the inbox for submitting questions.

## Slide 32.  Contact Information

Slide 32 lists contact information for the program staff, Frank Frankfort, Gary Thomas, Sarah Beaton, and Kelly Harris.

## Slide 33.  Questions?