pursuing funding from the department of education proposal development workshop ut san antonio april...
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Pursuing Funding from the Department of Education
Proposal Development Workshop
UT San AntonioApril 13, 2015
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Academic Research Funding Strategies, LLC
Our goal: To help your institution, faculty and staff to develop the skills they need to compete successfully for research funding.
http://academicresearchgrants.com
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Lucy [email protected]
979-693-0825
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Founder and President, Academic Research Funding Strategies, LLC (2010)Nine years in research and proposal development at Texas A&M University as associate director of two research development and grant writing officesBS/MS Materials Science and EngineeringJunior Faculty Initiative, CAREER, instrumentation, research, education, Center-level proposalsNSF, NIH, DOE, DoD, DoED, IMLS, FoundationsResearch Engineer (16 years in applied research, with extensive proposal writing experience to NSF, DARPA, ONR, AFOSR, ARO, DOE)
Examples of Education FundersU.S. Department of Education (ED)National Science FoundationInstitute of Education Sciences (ED/IES)National Center for Education Research (IES/NCER)Texas Education AgencyNational Science FoundationWilliam T. Grant FoundationSpencer FoundationArthur Vining Davis FoundationsRussell Sage FoundationAlfred P. Sloan FoundationFord FoundationFoundations for Education Excellence (Foundation Center)More
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Grant Rule #1:Get to Know Your Potential Funder!
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Steps to pursuing discretionary funding from ED
Understand ED’s mission and cultureKnow where new ED solicitations are postedAnalyze the ED solicitation in detailUnderstand the ED application processUnderstand the role of ED program officersLearn how your ED proposal will be reviewedLearn how the ED funding decision will be made
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U. S. Department of Education (ED)
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ED offers three kinds of grants:Discretionary grants: awarded using a competitive process and peer review—the focus of this presentation.Student loans or grants: to help students attend college.Formula grants: uses formulas determined by Congress and has no application process.
ED discretionary grants Use a competitive review process rather than a pre-existing formula. Most university faculty or other university eligible PIs will respond to discretionary grant programs at ED (more). Eight principal offices administer the discretionary grant programs. For example:
Office of Postsecondary Education (OPE) formulates federal postsecondary education policy and administers programs that address critical national needs in support of postsecondary education through 2 programs
Higher Education Programs (HEP) International and Foreign Language Education (IFLE).
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Offices Administering ProgramsFederal Student Aid (FSA)Institute of Education Sciences (IES)Office of Elementary and Secondary Education (OESE)Office of English Language Acquisition (OELA)Office of Innovation and Improvement (OII)Office of Postsecondary Education (OPE)Office of Safe and Drug Free Schools (OSDFS)Office of Special Education and Rehabilitative Services (OSERS)Office of the Deputy Secretary (ODS)Office of Vocational and Adult Education (OVAE).
Multiple Paths to ED funding
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ED grants forecast: competitions opening soonGrants.gov: Application packages for ED programsFederal Register Notices: competitions and other ED announcementsOpen ED competitions: with links to application informationIES funding: funding opportunities from ED's Institute for Education Sciences (IES)A-Z list of all ED programs
Understanding ED Programs
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Grantmaking at ED general overview of the grant processnon-technical summary of ED's discretionary grant process.
Guide to Education Programs annual publication Info on financial assistance offered to
state and local education agenciesinstitutions of higher educationother postsecondary institutions, public and private nonprofit organizationsindividuals
Discretionary Grants AdviceED publication Answers to Your Questions About the Discretionary Grants Process, 2010,
69-page overview of the discretionary grants process for new and experienced grant seekers (formerly called “What Should I Know about ED Grants”).
Grantmaking at ED: Answers to Your Questions About the Discretionary Grants Process (new website under construction)
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Office of Postsecondary EducationLink to programs
Institutional Service ProgramsInternational and Foreign Language EducationStudent ServiceOther programs (miscellaneous)
Example: Hays-Fulbright Group Projects Abroad
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Evaluation Plan – 20 points
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Institute for Education Research (IES)Research arm of EDMission: Provide rigorous and relevant evidence on which to ground education practice and policy and to share information broadly
Identify what works, what doesn’t, and whyImprove educational outcomes for all students, particularly those at risk of failure
Approach: Conducts and supports rigorous education research, statistics, and evaluation to provide reliable information about education
IES Research PrioritiesIES supports projects to
Examine the state of education in the USDevelop and evaluate innovative approaches to improving education outcomesUnderstand the characteristics of high-quality teaching and how better to train current and prospective teachers and how to recruit, support and retain effective teachersUnderstand classroom, school, and other social contextual factors that moderate the effects of education practices and contribute to their successful implementation and sustainability
IES SupportsEducation and Special Education Research ProgramsResearch Training ProgramsStatistical and Research Methodology in EducationPartnerships and Collaborations Focused on Problems of Practice or PolicyNational Research and Development Centers and Special Education Research and Development Centers
IES Funding OpportunitiesNational Center for Education Research (NCER) administers 10 long-term education research programs
Cognition and Student LearningEarly Learning Programs and PoliciesEducation TechnologyEffective Teachers and Effective TeachingEnglish LearnersImproving Education SystemsMathematics and Science EducationPostsecondary and Adult EducationReading and WritingSocial and Behavioral Context for Academic Learning
Last year’s deadlinesJune 2014 letter of intentAugust 7, 2015 application due date
Other initiatives – May come and go with various due datesNote: funding fluctuates from year to year, affecting grant competitions
IES Funding OpportunitiesNational Center for Special Education Research (NCSER) administers 11 long-term special education research programs
Early Intervention and Early Learning in Special EducationReading, Writing, and Language DevelopmentMathematics and Science EducationSocial and Behavioral Outcomes to Support LearningTransition Outcomes for Special Education Secondary StudentsCognition and Student Learning in Special EducationProfessional Development for Teachers and Related Service ProvidersSpecial Education Policy, Finance, and SystemsAutism Spectrum DisordersTechnology for Special EducationFamilies of Children with Disabilities
Types of Project (Goals)Exploration – Explore the relations between education outcomes and malleable factors, as well as mediators or moderators of those relations. Intended to inform development of interventions. Typical $100K - $300K per year, up to 2 yearsDevelopment & Innovation – Develop innovative education interventions (programs, practices, technology, policies) or improve existing education interventions. $150K - $400K per year, up to 3 yearsEfficacy & Replication – Experimental and quasi-experimental research projects to evaluate the efficacy of newly developed and existing education programs, practices, and policies. Typical $250K - $650K per year, up to 4 yearsScale-up Evaluation – Scale-up evaluation to determine whether or not an intervention is effective when implemented under conditions of routine implementation. Typical $250K - $400K per year, up to 3 yearsMeasurement – Research to develop and validate measurement instruments that are intended for purposes such as screening, progress monitoring, and outcome assessments. Typical $150K - $300K per year, up to 4 years
IES Funding OpportunitiesIES also supports:
Research Training Programs in Education Sciences and Special Education (postdoctoral and predoctoral)Statistical and Research Methodology in EducationEvaluation of State and Local Education Programs and PoliciesNational Research and Development Centers and Special Education Research and Development Centers
(not all programs have competitions every year – watch for RFAs on website and in Federal Register)
IES Funding OpportunitiesUnsolicited (investigator-initiated)
Research, evaluation, statistics, and knowledge utilization projects that contribute to IES’s mission but are not eligible for funding under current grant competitionsOr time-sensitive research projects (only these were accepted for FY 2014)Discuss with Program Officer For FY 2014 funding, a 6-page prospectus had to be submitted before March 4th (see instructions)
Other IES ResourcesResearch Funding WebinarsOverview of IES Research and Research Training Grant ProgramsSearch funded IES grantsSign up for email notices of funding announcements, other newsResources for Researchers
Types of Projects
Basic Applied
Ideal Conditions
Routine Practice
Exploration Scale-up
Types of Projects (Goals)Exploration – Up to $700K for up to 2 years (more for projects with primary data collection)Development & Innovation – up to up to $1.5M for up to 4 yearsEfficacy & Replication – Up to $3.5M for up to 4 yearsEffectiveness – Up to $5M for up to 3 years (3 years for follow-up)Measurement –Typical $1.6M per year, up to 4 years
Exploration Projects (Goal 1)Explore the relations between education outcomes and malleable factors, as well as mediators or moderators of those relations. Intended to inform development of interventions.Cannot proposal to develop an interventionShould include:
Description of the malleable factors, the relationships you expect them to have with specific student education outcomes, and any mediators or moderators you will be studying. Theory for and evidence that the malleable factors may be associated with beneficial student education outcomes or that the mediators and moderators may influence such an association.How the results of this work will inform the future development of an intervention or assessment or the future decision to evaluate an intervention
Development & Innovation (Goal 2)Develop innovative education interventions (programs, practices, technology, policies) or improve existing education interventions to improve student education outcomes in education settings. Should result in a fully developed interventionMust include:
Detailed plan for development of interventionPilot studyMeasures, data analysis proceduresDissemination plan
Efficacy & Replication (Goal 3)Experimental and quasi-experimental research projects to evaluate the efficacy of newly developed and existing education programs, practices, and policies implemented under ideal or routine conditions.Expected outcome:
Evidence regarding the impact of a fully-developed intervention on relevant student education outcomes relative to a comparison condition using a research design that meets the Institute’s What Works Clearinghouse evidence standards (with or without reservations) Conclusions about and revisions to the theory of change guiding the intervention
Effectiveness (Goal 4)Scale-up evaluation to determine whether or not a fully-developed intervention is effective when implemented under conditions of routine implementation.Follow-ups also funded
Measurement (Goal 5)Research to develop and validate measurement instruments that are intended for purposes such as screening, progress monitoring, and outcome assessments.
IES Research Funding WebinarsThe National Center for Special Education Research and the National Center for Education Research within the Institute of Education Sciences periodically host a series of webinars related to research funding opportunities. Sign up to receive valuable information on choosing the correct funding opportunity, grant writing, the application process, and more.For more information regarding webinar topics, dates, and registration process, browse here.To view slides from previous webinar sessions, browse here.
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Before You Start Writing
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Start with your great idea
Translate it into a projectWhat are your objectives and how will they contribute to your long-term research goals?Is the scope appropriate for the funding opportunity and project type?Do you have required equipment and resources?Do you need collaborators (other researchers, schools, etc.)?Does the project meet the requirements of a particular program?Do you have enough publications and/or preliminary data related to the topic?
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Logic Model
From W.K. Kellogg Logic Model Development Guide
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Theory of Change
From IES Education Research Grants RFA for FY 2015
Formulating Clear Objectives/AimsObjectives should support your goal(s)Outcomes should be clearOften tied to research questions/hypotheses or theory of changeAvoid ambiguous terminologyBeware too many objectives!
Common MistakesMismatch with funder or program
Too theoretical if funder is looking for applied research
Outcomes not clearNo clear theory of change and rationaleInsufficient impact or significanceDo not tie clearly to goals
Read and Re-read the RFAReview criteria
Address these clearly and conciselyMake these easy to find
Proposal componentsDon’t forget any components
Page limitationsFormatting requirements
Follow directions religiously!Example
Talking to the Program Officer
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Do your homework firstRead the RFA and background materials carefullyLook at what else has been funded
Develop at the main ideas of your projectEmail your program officer with a concise description of your idea and ask for a time to callDuring your call, ask open-ended questions and listen carefully
Does this project topic fit the interests of your program?Which program type should I apply under?Do you have any suggestions about how to improve it or pitfalls to avoid?
Typical IES Proposal Components
SF-424 FormsSummary/abstract 1 page
Project Narrative 25 pages single spaced
AppendicesBibliography and References Cited
Example Project Narrative Requirements Development and Innovation Project
Significance of Project – why is this important?Research aimsContext of proposed interventionIntervention features and components, theory of change, and theoretical and empirical rationalePractical importanceRationale justifying the importance of the proposed research
Research Plan – how will you accomplish your aims?MethodologySampleIterative development processFeasibility of implementationPilot studyMeasures
Personnel – why is your team qualified and likely to succeed?Resources – do you have the resources required to succeed?Other
Results of previous grants, etc.
Review CriteriaSignificance
Does the applicant provide a compelling rationale for the significance of the project as defined in the Significance of the Project section for the goal under which the applicant is submitting the proposal?
Research Plan Does the applicant meet the requirements described in the methodological requirements section for the goal under which the applicant is submitting the proposal?
Personnel Does the description of the personnel make it apparent that the Principal Investigator and other key personnel possess appropriate training and experience and will commit sufficient time to competently implement the proposed research?
Resources Does the applicant have the facilities, equipment, supplies, and other resources required to support the proposed activities? Do the commitments of each partner show support for the implementation and success of the project?
How ED Reviews Your ApplicationUsually recruit application reviewers from outside who have expertise in the subject area of the grant program for which the applications were submitted. For some competitions, program offices may use employees or contractors of ED, or employees of other federal agencies, to serve as reviewers. In general, ED screens applications to ensure that they meet all the requirements of the program and assign applications to reviewers. Reviewers read and independently score each application assigned to them. After the reviewers scoring, ED program staff conduct an internal review to ensure scoring sheets are correctly completed.
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ED Review ProcessPeer reviewers score each application based on review criteriaAverage score determines rank orderNumber of applications to be funded are determined by available appropriationsCost analysis performed on applications to be considered for fundingFormal list (“slate”) of applications recommended for funding createdPrincipal officer of the program office makes final decision (may consider other info such as applicant’s past performance, geographic distribution, etc.)
Other ED funding key factorsNo particular score guarantees funding. Depends on number of high-scoring applications and geographic distributionSome applications may not be funded because of an applicant’s poor performance in the past on other federal projects.
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Grantsmanship
Things to Keep in
Mind
It’s not about you…It’s about the funder
Understand what the funder is trying to accomplish by giving this grantExplain how funding you will help them to accomplish those goals
A Proposal is Not an Academic ArticleMust be persuasiveMust communicate passionMust communicate impact Must be easy to understand by readers with various backgroundsMust tie research to the goals of the funderFocuses on future, not pastMust inspire confidence in researchers’ abilities and resources
Make Your Proposal Easy to Understand and Easy to Read
Use figures, flow charts, tables, bullet lists, etc.Use heading and subheadings to help reviewers locate the informationBold, italics and underlining (used judiciously) can help reviewers find important pointsNo tiny fonts or illegible figure labels
You must convince the reviewers…This is a project that should be done
It supports the goals of the agency and programIt will yield significant resultsIt is more important (or cooler or more significant) than other proposed projects
You (and your team) are the right people to do it
You have the skills and resources to be successfulYou have thought through the project
And most importantly, you must….
Intrigue the Reviewers
Now to the Nitty Gritty… Writing
Get to the exciting stuff here!
The Project Description: Getting Started
First Para-graph
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Zzzzzzz
Revi
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Generic Intro
Long, unconnected background
Strong, Unique Intro
Concise background that provides context
Get to the exciting stuff here!
Put Your Project in Context
The Big Question orThe Big Need
Preliminary Work Funded project 1 Further work
Project Goals/Specific Aims Outcomes
What is the kernel of your great idea?What you will accomplishThe approach you will useThe problem you’re addressingNew tools or resources you’ll bring to the problem
Put it up front!
Introduction and OverviewProvide reviewers with an outline of your proposed project which you will fill in later (1 – 2 pages)
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Tell Your Project Story
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How ED Reviews Your ApplicationUsually recruit application reviewers from outside who have expertise in the subject area of the grant program for which the applications were submitted. For some competitions, program offices may use employees or contractors of ED, or employees of other federal agencies, to serve as reviewers. In general, ED screens applications to ensure that they meet all the requirements of the program and assign applications to reviewers. Reviewers read and independently score each application assigned to them. After the reviewers scoring, ED program staff conduct an internal review to ensure scoring sheets are correctly completed.
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ED Review ProcessPeer reviewers score each application based on review criteriaAverage score determines rank orderNumber of applications to be funded are determined by available appropriationsCost analysis performed on applications to be considered for fundingFormal list (“slate”) of applications recommended for funding createdPrincipal officer of the program office makes final decision (may consider other info such as applicant’s past performance, geographic distribution, etc.)
Other ED funding key factorsNo particular score guarantees funding. Even if an application ranks high, it may not be funded. ED may be unable to fund all high-scoring applications because of the large number of high-quality applications submitted and the set level of funds that Congress appropriates for a program. High-scoring applications may not be funded because a program may establish a geographic distribution requirement limiting the number of grants awarded to specific regions of the country. Some applications may not be funded because of an applicant’s poor performance in the past on other federal projects.
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STEM Education FundingScience, Technology, Education, Math
Basic research on teaching and learningInitiatives to improve STEM education, diversity, engagementWorkforce development programs
Federal Investment in STEM Education
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Restructuring of Federal STEM Education Funding
Issue: STEM Education funding dispersed throughout multiple federal agencies with little coordinationCongress: Directed Office of Science and Technology Policy with developing a 5-year strategic plan for STEM EducationResult: Federal STEM Education 5-year Strategic Plan released by the Committee on STEM Education National Science and Technology Council May 2013Impact: New, reorganized and eliminated STEM education grant programs at NSF, ED, NASA, and other federal agencies
The Strategic PlanFive priority areas
Improve P-12 STEM instruction Increase and sustain youth and public engagement in STEMImprove undergraduate STEM educationBetter serve groups historically underrepresented in STEM fieldsDesign graduate education for today’s STEM workforce
Two coordination strategiesBuild new models for leveraging assets and expertise (coordinated portfolio with lead and collaborating agencies)Identify, use and share evidence-based approaches – common metrics, evidence guidelines, evaluation practices
Lead AgenciesImproving P-12 STEM instruction: led by Department of Education
STEM Ed Master Teacher CorpsNew STEM Innovation NetworksCollaborate with all Co-STEM agencies
Improve delivery of undergraduate STEM teaching and learning through evidence-based reforms: led by NSF
New $123M program to improve STEM retentionExpand Graduate Fellowship ProgramsOffer a set of opportunities to address workforce needs of the CoSTEM agencies
Improving informal STEM education: led by the Smithsonian InstitutionOther CoSTEM agencies will continue to be key players
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Common Guidelines for Education Research & Development
Jointly issued by IES and NSF in 2013NSF and ED’s shared understandings of the roles of various types of research in generating evidence about strategies and interventions for increasing student learning. Describes agencies’ expectations for the purpose of each type of research
Theoretical or empirical justificationTypes of studiesExpected outcomes
Find it here
How will all this affect STEM education researchers?
More funding opportunitiesChanging requirements and expectationsMore opportunities for collaboration as workforce and broadening participation programs become more evidence/research-based
Education Funding at the National Science Foundation
NSF DirectoratesBiological Sciences (BIO)Computer and Information Science and Eng (CISE)Education and Human Resources (EHR)Engineering (ENG)Geosciences (GEO)Mathematical and Physical Sciences (MPS)Social, Behavioral and Economic Sciences (SBE)Office of Polar Programs (OPP)Cross-cutting Programs
NSF Directorate of Education and Human Resources (EHR)
Very focused on STEM learning2014 Budget appropriation: $372MEHR has Divisions:
Graduate EducationResearch on Learning in Formal and Informal SettingsUndergraduate EducationHuman Resource Development
Recently restructured
New EHR Core Research (ECR)For foundational research areas in
STEM learningSTEM learning environmentsWorkforce developmentBroadening participation in STEM
Two typesCore research proposals (max 5 years, $1.5M)
Propose study of foundational research qustion/issue designed to inform transformation of STEM learning and education
Capacity Building proposals (max 3 years, $300K)Supports groundwork necessary for advancing research within the four areas
See ECR’s webinar series here
State and Foundation Funding Usually significant state funding for education research
Must understand your state agencyTalk to your colleagues
Foundation funding for educationSpencer FoundationKellogg FoundationBill and Melinda Gates FoundationEtc.
Spencer FoundationLarge Grant ProgramSmall Research Grants in Areas of Inquiry
Relation Between Education and Social OpportunityOrganizational Learning in Schools, School Systems, and Higher Education SystemsTeaching, Learning, and Instructional ResourcesPurposes and Values of Education
Strategic InitiativesThe New Civics InitiativeData Use and Educational ImprovementPhilosophy in Educational Policy and Practice
Midcareer Grant Program
Other resourcesGrantmaking at ED – an overview of the discretionary grants processInformation about ED programs (latest guide to programs posted here)Searchable ED awards databaseIES Research Funding WebinarsIES Data and Tools pageDetailed description of IES review process
Questions?
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