FY 201X

U.S. Department 

of Education

Office of 

Innovation and 

Improvement

Washington, DC

20202-5900

[APPLICATION FOR GRANTS UNDER

THE INVESTING IN INNOVATION 

FUND (I3) GRANT PROGRAM ]

CFDA Number: 84.411P

Development Pre-Application 

grants

Form Approved 

OMB No. 1855-0021

Expiration Date: 10/31/2013

Closing Date: 04/XX/201X
2

Table	of	Contents

I. Letter to Applicant............................................................................................. 3

II. Notice Inviting Applications................................................................................ 4

III. Authorizing Legislation....................................................................................... 5

IV. Overview of the Application Process .................................................................. 6

Application Tips.............................................................................................................................. 10

A.Pre-Application Narrative Instructions ....................................................................................... 11

Instructions for Project Narrative Form ......................................................................................... 12

Instructions for Budget Narrative Form .............................................Error! Bookmark not defined.

Instructions for Other Attachments Form...................................................................................... 13

B.Required Forms........................................................................................................................... 14

Standard Forms and Instructions................................................................................................... 14

Application for Federal Assistance SF-424 .........................................Error! Bookmark not defined.

Instructions for Application for Federal Assistance (SF-424) .............Error! Bookmark not defined.

Definitions for ED SF-424....................................................................Error! Bookmark not defined.

Supplemental Information Required for Department of Education ..Error! Bookmark not defined.

Instructions for the SF-424.................................................................Error! Bookmark not defined.

Budget Information for Non-Construction Programs (SF-524) ..........Error! Bookmark not defined.

Instructions for ED Budget Summary Form (SF-524)..........................Error! Bookmark not defined.

Disclosure of Lobbying Activities (SF-LLL)...........................................Error! Bookmark not defined.

Instructions for Disclosure of Lobbying Activities (SF-LLL) .................Error! Bookmark not defined.

Assurances and Certifications ............................................................Error! Bookmark not defined.

General Education Provisions Act (GEPA) Section 427.......................Error! Bookmark not defined.

Assurances- Non-Construction Programs...........................................Error! Bookmark not defined.

Grants.gov Lobby Form (Formerly ED 80-0013 form) ........................Error! Bookmark not defined.

i3 Applicant Information Sheet ...................................................................................................... 15

V. Submitting Your Application............................................................................. 18

FY 2013 Optional Application Checklist.......................................................................................... 18

Submission Procedures......................................................................Error! Bookmark not defined.

DUNS Number Instructions................................................................Error! Bookmark not defined.

VI. Additional Information.............................................Error! Bookmark not defined.

Executive Order 12372.......................................................................Error! Bookmark not defined.

Paperwork Burden Statement........................................................................................................ 19
3

I. Letter	to	Applicant

Dear Applicant:

Thank you for your interest in applying for a Development grant under the Investing in Innovation (i3) Fund. In its first three years, 

i3 has generated unprecedented enthusiasm. Thousands of local educational agencies and non-profits have submitted high-quality 

proposals, and the Department of Education has funded 92 of them. The Department has requested $150 million for the Investing 

in Innovation program for FY 2013. The actual level of funding for the program this year (if any) depends on final congressional 

action. However, we are inviting applications at this time so that we have enough time to complete the grant competition process if 

Congress appropriates funds for this program.

The core aim of the i3 program continues: to improve education for our neediest students. The i3 program utilizes a “tiered 

evidence” framework to allocate funds: proposals supported by limited evidence receive the smallest grants, and proposals with the 

most rigorous evidence can receive large grants that enable expansion across the country. All i3 projects are required to conduct an 

independent evaluation in order to expand our understanding of what works in education, and help answer questions about for 

whom and in what contexts specific interventions are most effective. Our sincere hope is that these evaluations are valuable to 

grantees and the broader public alike. 

This year’s i3 Development competition incorporates a few changes to reflect lessons learned from prior i3 competitions, consistent 

with the final priorities, requirements, definitions, and selection criteria for this program, published in the Federal Register (the 

“2013 i3 NFP”). While the Department continues to use broad priorities in the i3 grant competition, the 2013 i3 NFP includes 

subparts under each priority that target specific needs. This structure enables the i3 program to build a portfolio of solutions and 

corresponding evidence for different approaches to addressing key challenges in public education. In addition, we have revised 

evidence standards and definitions so that applicants can better understand what is required to meet each level of evidence.

The i3 program also includes a statutory requirement for a private-sector match for all i3 grantees. We have modified the process 

for applicants to demonstrate evidence of the required private-sector match, with the intent of enabling you to secure more 

meaningful private-sector support for your project. Additional details regarding how this process will work are included in the 

Notice Inviting Applications, this Application Package, and the i3 Frequently Asked Questions.

Thank you for your interest in the Investing in Innovation Fund. Ensuring that every student receives a world-class education 

requires all of our efforts, and I commend you for taking advantage of this opportunity to help improve education for our nation’s 

students. 

Sincerely,

/s/

James H. Shelton, III

Assistant Deputy Secretary

Office of Innovation and Improvement

UNITED STATES DEPARTMENT OF EDUCATION

OFFICE OF INNOVATION AND IMPROVEMENT

400 MARYLAND AVE. SW, WASHINGTON, DC 20202

www.ed.gov

The Department of Education’s mission is to promote student achievement and preparation for global competitiveness 

by fostering educational excellence and ensuring equal access.
4

II. Notice Inviting Applications

Overview Information: 

Office of Innovation and Improvement 

Investing in Innovation Fund (i3)

CFDA Number: 84.411P

Dates: 

Pre-Application Available: March 29, 2013

Pre-Application Information Sessions:

The Department has pre-recorded a webinar that provides an overview of the Development 

competition, in particular the pre-application. The Department also plans to host informational sessions, 

live or online, designed to help interested applicants with the application process. Interested applicants 

are encouraged to participate in these sessions. The pre-recorded webinar, and any further information 

about these informational sessions as it becomes available, may be found on the i3 website, at 

http://www2.ed.gov/programs/innovation/index.html.

Deadline for Notice of Intent to Apply: April 16, 2013

Applicants are strongly encouraged to notify us of the applicant’s intent to submit an application for 

funding by completing a web-based form. The form can be accessed at the following URL:

http://go.usa.gov/2KeF

Deadline for Transmittal of Pre-Applications: April 26, 2013

Full Applications Available: Highly rated pre-applicants will be invited to submit a full application. The 

invitation will include the full application package and instructions on how to transmit it. Other preapplicants that choose to submit a full application may request the full application package and 

instructions from the Department. 

Deadline for Transmittal of Full Applications: The Department will announce on its Web site the 

deadline date for transmission of full applications. 

Deadline for Intergovernmental Review: 60 Calendars days after the deadline date for transmittal of full

applications.

The full text of the Notice Inviting Applications for the FY 2013 i3 Development competition can be 

found on the Federal Register Web site at the following URLs:

http://www.gpo.gov/fdsys/pkg/FR-2013-03-27/pdf/2013-07003.pdf (PDF)

http://www.gpo.gov/fdsys/pkg/FR-2013-03-27/html/2013-07003.htm (Text)
5

III. Authorizing Legislation

Section 14007 of Division A of Title XIV of the American Recovery and Reinvestment Act of 2009, as 

amended by section 307 of Division D of P.L. 111- 117 (H.R. 3288), the Consolidated Appropriations Act, 

2010

SEC. 14007. INNOVATION FUND.

(a) In General.

(1) Eligible entities. For the purposes of this section, the term 

"eligible entity'' means—

(A) a local educational agency; or

(B) a partnership between a nonprofit organization and—

(i) one or more local educational agencies; or

(ii) a consortium of schools.

(2) Program established. From the total amount reserved under 

section 14001(c), the Secretary may reserve up to $650,000,000 to establish an Innovation Fund, which 

shall consist of academic achievement awards that recognize eligible entities that meet the 

requirements described in subsection (b).

(3) Purpose of Awards. The Secretary shall make awards to eligible entities in order to identify,

document, and bring to scale innovative best practices based on demonstrated success, to allow such 

eligible entities to—

(A) expand their work and serve as models for best practices; and

(B) work in partnership with the private sector and the philanthropic community.

(b) Eligibility. To be eligible for such an award, an eligible entity shall—

(1)(A) have significantly closed the achievement gaps between groups of students described in section 

1111(b)(2) of the ESEA (20 U.S.C. 6311(b)(2)); or

(B) have demonstrated success in significantly increasing student academic achievement for all groups 

of students described in such section;

(2) have made significant improvement in other areas, such as graduation rates or increased recruitment 

and placement of high-quality teachers and school leaders, as demonstrated with meaningful data; and

(3) demonstrate that it has established one or more partnerships with the private sector, which may 

include philanthropic organizations, and that the private sector will provide matching funds in order to 

help bring results to scale.

(c) Special Rule. In the case of an eligible entity that includes a nonprofit

organization, the eligible entity shall be considered to have met the eligibility requirements of 

paragraphs (1)(A) or (1)(B) and (2) of subsection (b) if the nonprofit organization has a record of 

significantly improving student achievement, attainment, or retention and shall be considered to have 

met the requirements of subsection (b)(3) if it demonstrates that it will meet the requirement relating 

to private-sector matching.

(d) Subgrants. In the case of an eligible entity that is a partnership described in subsection (a)(1)(B), the 

partner serving as the fiscal agent may make subgrants to one or more of the other entities in 

partnership.
6

IV. Overview of the Application Process

Thank you for your interest in the Investing in Innovation Fund (i3) grant program. For fiscal year 2013, all 

potential applicants under this i3 Development grant competition must submit a pre-application. Based on 

positive feedback from applicants and peer reviewers, and internal Department analyses, we believe that a 

pre-application process will again benefit applicants by requiring them to expend fewer resources in preparing 

their initial applications.

Pre-applications will be reviewed by peer reviewers on the basis of selection criteria specifically designated for 

the pre-application phase. These pre-application selection criteria are specified in the FY 2013 Notice Inviting 

Applications (NIA) for the Development competition. Entities that have submitted pre-applications that are 

scored highly by the peer reviewers will be invited to submit full applications, however, entities that have 

submitted pre-applications who are not specifically invited to submit a full application may choose to submit a 

full application. 

The full application peer review will use different selection criteria than the pre-application peer review. These 

full application selection criteria are provided in the FY 2013 NIA for applicants’ reference. However, 

applicants should focus their pre-applications on the pre-application selection criteria. 

The following is a brief overview of the i3 application process

Getting Started

All interested applicants should first thoroughly review the NIA for FY 2013 published in the Federal 

Register on March 27, 2013 (78 FR 18710-18723). The Department has made several changes to the 

design of the i3 program to increase the program’s effect, so all applicants should carefully review the 

information provided in the NIA. The NIA will orient applicants to the i3 program by providing the following 

information:

 Background information and purpose of the program;

 Eligibility requirements;

 Absolute Priorities;

 Selection Criteria and assigned points; 

 Key definitions;

 Evidence Framework;

 Procedural and substantive requirements of both the pre-application and full application process, and

 Instructions on how to electronically submit the pre-application.

Applicants should pay close attention to the Selection Criteria, as pre-applications will be evaluated and scored 

against pre-application selection criteria. 

Completing and Submitting Your Application

A complete pre-application consists of the following components:
7

 Part A: Project Narrative Form;

Budget Narrative Form; and

Other Attachments Form (appendices)

 Part B: Required Forms (see page 16 for a complete list of forms)

ED Standard Forms;

Assurances and Certifications; and 

i3 Program Form.

NOTE: References to Part A and B are used strictly for the purpose of guiding applicants to the location of preapplication components within this document. Applicants will not find references to Parts A and B when 

submitting in Grants.gov; they will however find each component.

Pre-application components are discussed in detail in the following pages of this document. A detailed 

discussion of the submission process within Grants.gov can be found in this application package. Entities are 

encouraged to familiarize themselves with Grants.gov.

The Department strongly encourages applicants to submit their applications early. In prior years, a number 

of applicants submitted their applications late because they failed to familiarize themselves with the 

requirements of either the program or Grants.gov. Late applications will not be accepted.

All i3 applications must be received on or before April 26, 2013. Please note that U.S. Department of 

Education grant application deadline is 4:30:00 P.M. Washington, DC time. Your application must be fully 

uploaded and submitted and must be date and time stamped by the Grants.gov system no later than 4:30:00 

P.M., Washington, DC time, on the application deadline date. Late applications will not be accepted. The 

Department is required to enforce the established deadline to ensure fairness to all applicants. No changes or 

additions to an application will be accepted after the deadline date and time.

Addressing Your Questions

The Department provides multiple avenues for interested applicants to ask questions and clarify their 

understanding of the i3 competition and process. Applicants should keep in mind that the Department cannot 

provide guidance on specific proposals.

The Department publishes a comprehensive Frequently Asked Questions document on its website, at 

http://www2.ed.gov/programs/innovation/index.html. Applicants should review this document carefully to 

see whether their particular questions have been addressed previously. The Department also updates this 

document in response to applicant questions. Interested applicants may send their questions to i3@ed.gov.

The Department has pre-recorded a webinar that provides an overview of the Development competition, in 

particular the pre-application. The Department also plans to host informational sessions, live or online,

designed to help interested applicants with the application process. Interested applicants are encouraged to 

participate in these sessions. The pre-recorded webinar, and any further information about these sessions as it 

becomes available, may be found on the i3 website, at http://www2.ed.gov/programs/innovation/index.html.
8

I3 2013 DEVELOPMENT COMPETITION OVERVIEW

• Pre-application peer review

• Department announces highly rated pre-applications

• Full application peer review

• Department eligibility review, including evidence and applicant’s prior 

record of improvement

• Department announces highest-rated applications

Pre-A

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• Department publishes pre-application package

• Applicants register early on Grants.gov and SAM

• Applicants develop pre-application (7 pages)

• Applicants submit pre-application through Grants.gov

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• Department publishes full application package

• Highly rated pre-applicants and other pre-applicants, if they choose, develop full 

application (25 pages), including project partners and evaluation plans

• Highly rated pre-applicants and other pre-applicants submit full application 

through Grants.gov

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• Highest-rated applicants secure evidence of required private sector match

• Highest-rated applicants submit evidence of 50 percent of required privatesector match to the Department for approval and confirmation (Applicants 

must provide the remaining 50 percent six months after the project start 

date)

• Department announces awardees
9

NEW I3 DEVELOPMENT PROGRAM DESIGN ELEMENTS

In the 2013 i3 NFP, the Department redesigned key aspects of the i3 program to increase the program’s 

effect. The key aspects for the i3 Development competition are that it:

 Identifies eight Absolute Priorities for the FY 2013 Competition, representing a range of 

education topics including subparts under each priority that target specific needs. There are no 

longer Competitive Preference Priorities.

• Absolute Priority 1—Improving the Effectiveness of Teachers or Principals

• Absolute Priority 2—Improving Low-Performing Schools

• Absolute Priority 3—Improving Science, Technology, Engineering, and Mathematics 

(STEM) Education

• Absolute Priority 4—Improving Academic Outcomes for Students with Disabilities

• Absolute Priority 5—Improving Academic Outcomes for English Learners (ELs)

• Absolute Priority 6—Improving Parent and Family Engagement

• Absolute Priority 7—Effective Use of Technology

• Absolute Priority 8—Serving Rural Communities

• Note that this year’s applicants applying under this priority must address one of 

the other seven absolute priorities for the FY 2013 i3 Development competition 

listed above, while serving students enrolled in rural LEAs.

 Revises the evidence standards and definitions so that applicants can better understand what is 

required to meet each level of evidence. 

• Development applicants must identify the evidence standard under which they are 

submitting their applications (i.e., evidence of promise or strong theory).

 Modifies the process for applicants to secure, and demonstrate evidence of, the required 

private-sector match

• Applicants must still secure 15 percent of its Federal grant award but, the timeframe has 

been expanded.

• Highest-rated applicants must submit evidence of 50 percent of the required privatesector match prior to the awarding of an i3 grant. An applicant must provide evidence 

of the remaining 50 percent of the required private-sector match no later than six 

months after the project start date.

 Allows pre-applicants who were not highly rated to submit a full application if they choose. 
10

APPLICATION TIPS

 Register early on grants.gov. The registration process may take up to two weeks to complete.

For additional information on the registration and submission process please review the 

resources available on the Grants.gov Website. 

 Verify that the person assigned to submit the application has been designated as an Authorized 

Organization Representative (AOR). Track your AOR status (see page 44). You must be “active” 

in order to submit an application on behalf of the organization.

 Carefully review the FY2013 NIA for eligibility requirements. While applicants do not need to 

address the eligibility requirements for the pre-application, full applications will be deemed 

ineligible if they do not meet all of the eligibility requirements, including the required evidence 

standards and prior record of improvement.

 Clearly state which Absolute Priority you are submitting an application under and identify the 

subpart under the chosen priority your application addresses. Applications will be reviewed and 

ranked by Absolute Priority so it is important that you clearly indicate the Absolute Priority you 

intend the Department to review your application under. Applicants should ensure that the 

Absolute Priority and subpart identified in the application narrative matches that identified on 

the i3 Applicant Information Sheet. 

 Review the submission for clarity. Applications will be read by multiple peer reviewers; 

therefore it is important to ensure that the application can be understood by someone who is 

unfamiliar with your project.

 Submit all files in .PDF format. While Grants.gov may accept other format types, the 

Department’s system, which receives the files from Grants.gov, will only accept .PDF files. Files 

submitted in formats other than .PDF may not convert in a legible manner and, in these 

instances, cannot be reviewed.

 Submit early on Grants.gov. Applications must be finished uploading, and be validated by the 

Grants.gov system, by 4:30:00pm, Washington, DC, time on the deadline date. Validation 

indicates if the submission was successful and may take up to two days. If the submitted 

application is deemed invalid due to an error, applicants may correct the error and resubmit 

only if the 4:30:00pm EDT deadline has not passed. Applicants are encouraged to review the 

submission to be sure that the files transmitted correctly. Grants.gov may not catch all errors. 

Late submissions or modifications to the submitted application will not be accepted after the

deadline.

 NOTE: Applicants will receive multiple emails to confirm submission in Grants.gov, validation, 

and transmission to the Department of Education. Once the application is transmitted to the 

Department, applicants will receive a final email with a unique identifier called a PR Award 

Number. Use this number when making inquiries about the submitted application.
11

A. PRE-APPLICATION NARRATIVE INSTRUCTIONS

The i3 application will use the following Grants.gov Narrative Forms. 

 Project Narrative Form 

 Budget Narrative Form 

 Other Attachments Form (Upload appendices here) 

The Project Narrative Form is where you will attach the responses to the Selection Criteria and one of 

the eight absolute priorities addressed in the FY 2013 NIA. Applicants should include a Table of 

Contents that includes all responses to the Selection Criteria. Specific instructions are included on page 

12 of this application package. 

Applicants should limit the project narrative to 7 pages. The Table of Contents does not count towards 

this limit.

The Budget Narrative Form is where you will attach a line item budget (ED 524) and a budget narrative. 

Do not include multiple budgets for the LEA or nonprofit organization and partner(s). Only one 

combined budget should be submitted to represent costs for all entities involved in the proposed 

project. Specific instructions are included on page 13 of this application package.

Applicants should limit the budget narrative to 2 pages. The budget narrative does not count toward 

the 7 page limit specified above.

The Other Attachments Form is where you will attach the application appendices. Specific Appendix 

instructions are included on page 15 of this application package. Applicants should not include 

substantive, project-related information that they wish peer reviewers to consider anywhere in the preapplication other than in the Project Narrative Form and Budget Narrative Form sections.

NOTE: If you have multiple documents to be attached to one of the above narrative sections (except for 

Other Attachments), it is recommended that you merge them into one .PDF file and upload them to the 

appropriate narrative.
12

INSTRUCTIONS FOR PROJECT NARRATIVE FORM

The Project Narrative should describe the project that an applicant would carry out if funded and include the 

eligible applicant’s response to the Selection Criteria. Applicants should address each of the Selection Criteria 

since the application will be evaluated and scored against these criteria. The maximum possible score for each 

criterion is indicated in the NIA. 

Absolute Priorities

The FY 2013 i3 NIA includes eight Absolute Priorities. Applicants are required to choose one of the eight

Absolute Priorities and subpart, and explain in the project narrative how the project addresses the chosen 

priority. The eight Absolute Priorities and subparts are explained in detail in the NIA.

Applicants should keep in mind that, to the extent feasible, the Department intends to match peer reviewer 

experience with the Absolute Priority addressed in the application. In addition, the Department will rank 

applications by Absolute Priority. For these reasons, applicants should clearly identify the Absolute Priority in 

both the application narrative and on the i3 Applicant Information Sheet. 

Formatting

A “page” is 8.5" x 11", on one side only, with 1" margins at the top, bottom, and both sides. Page numbers and 

an identifier may be within the 1” margin. Double space (no more than three lines per vertical inch) all text in 

the application narrative, including titles, headings, footnotes, quotations, references, captions. Use a font size

that is either 12-point or larger or no smaller than 10 pitch. Use one of the following fonts: Times New Roman, 

Courier, Courier New, or Arial. 

Page Limits

Applicants should limit the project narrative to 7 pages. The page limits apply to the responses to the Selection 

Criteria. The Table of Contents does not count against the page limit.
13

INSTRUCTIONS FOR OTHER ATTACHMENTS FORM

Applicants should attach all appendices to the Other Attachments Form. For each appendix, applicants are 

asked to save files as a .PDF, label each file with the Appendix name (e.g., Appendix A – i3 Applicant Information 

Sheet) and upload the file to the Other Attachments Form. The Other Attachments Form can support up to ten 

attachments, therefore it is unnecessary to merge appendices into one document.

Applicants are encouraged to follow the instructions below when uploading information to the Appendix:

Appendix A: i3 Applicant Information Sheet

Eligible applicants must complete and submit the Applicant Information Sheet with each 

application submitted. Completing this form will assist ED staff in assessing the needs of 

the i3 competition and provide staff with a better sense of the applicant pool. 

Applicants must download this form, which provides information that is crucial for the 

peer review process, from the i3 website and submit it with their pre-application.

To complete this form:

1. Download it from the i3 website:

http://www2.ed.gov/programs/innovation/applicant.html

2. Complete the form in Adobe Acrobat

3. Save the form in Adobe Acrobat as a PDF

4. Upload the PDF to the Other Attachments Form of the application

DO NOT: Print the form, complete it, and scan it as a PDF; Save the form in any format 

other than PDF; Forget to include this form; Include an introductory page to this form; 

Merge it with other appendices.

Appendix B: Applicant’s list of proprietary information found in the application, if applicable. 

Applicants should identify the specific information and page numbers in the application 

where it can be found.

.
14

B. REQUIRED FORMS

STANDARD FORMS AND INSTRUCTIONS

Applicants must submit along with their project narratives, the required standard forms, assurances, and 

certifications included in the list below. 

• Application for Federal Assistance (SF 424)

NOTE: Please do not attach any narratives, supporting files, or application components to the Standard 

Form (SF 424). Although this form accepts attachments, the Department of Education will review only 

materials/files attached to the section labeled “Other Attachments Form.”

• Department of Education Supplemental Information for SF 424 

• Department of Education Budget Summary Form (ED 524) Sections A & B

• Disclosure of Lobbying Activities (SF-LLL)

• General Education Provisions Act (GEPA) Requirements - Section 427 

• Assurances, Non-Construction Programs (SF 424B) 

• Grants.gov Lobbying form (formerly ED 80-0013 form)

The following pages provide a copy of the required forms as well as the instructions for completing them. 

Electronic copies of the required forms can be found at the following address: 

http://www2.ed.gov/fund/grant/apply/appforms/appforms.html and in the Grants.gov submission package.
15

Office	of	Innovation	and	Improvement

I3 APPLICANT INFORMATION SHEET

FY	2013

Instructions:	Eligible	applicants	must	complete	and	submit	this	information	sheet	with	each	application	submitted.	

Completing	this	sheet	will	assist	ED	staff	in	assessing	the	needs	of	the	i3	competition	and	provide	staff	with	a	better	

sense	of	the	applicant	pool.	Applicants	must	fill	out	this	form	electronically,	“Save	As”	a	.PDF,	and	upload	the	

generated	.PDF	into	Appendix	A	on	Grants.gov.

PLEASE	NOTE:	Information	included	in	this	form	may	be	made	broadly	and	publicly	available.	Applicants	should	not	

include	proprietary	information.

Applicant	Info

Lead	Applicant	Name:	

Lead	Applicant	City:	

Lead	Applicant	State:	

Eligible	Applicant	Type:	Select										

Project	Info

Project	Title:	

Length	of	Requested	Grant	Award:	Select										

Select	the	Absolute	Priority	(AP)	that	you	will	address	in	your	application	and	identify	the	subpart	under	

the	chosen	priority:	

Absolute	Priority	1--Improving	the	Effectiveness	of	Teachers	or	Principals

Select	a	subpart

Absolute	Priority	2--Improving	Low-Performing	Schools

Select	a	subpart

Absolute	Priority	3--Improving	Science,	Technology,	Engineering,	and	Mathematics	(STEM)	Education

Select	a	subpart

Absolute	Priority	4--Improving	Academic	Outcomes	for	Students	with	Disabilities

Select	a	subpart

Absolute	Priority	5--Improving	Academic	Outcomes	for	English	Learners	(ELs)

Select	a	subpart

Absolute	Priority	6--Improving	Parent	and	Family	Engagement

Select	a	subpart

Absolute	Priority	7--Effective	Use	of	Technology

Select	a	subpart

Absolute	Priority	8--Serving	Rural	Communities	(please	remember	to	identify	the	additional	priority	and	

subpart	that	you	will	address)
16

Project	Description:

In	750	characters	or	less,	please	provide	a	brief	description	of	the	project	you	wish	to	propose.	Be	sure	to	include	a	

summary	of	project	objectives	and	expected	outcomes.
17

To	be	eligible	for	an	award	under	the	Investing	in	Innovation	Fund,	an	eligible	entity	shall—

(1)(A)	have	significantly	closed	the	achievement	gaps	between	groups	of	students	described	in	section	

1111(b)(2)	of	the	ESEA	(20	U.S.C.	6311(b)(2));	or

(B)	have	demonstrated	success	in	significantly	increasing	student	academic	achievement	for	all	groups	of	

students	described	in	such	section;

(2)	have	made	significant	improvement	in	other	areas,	such	as	graduation	rates	or	increased	recruitment	

and	placement	of	high-quality	teachers	and	school	leaders,	as	demonstrated	with	meaningful	data;	and

(3)	demonstrate	that	it	has	established	one	or	more	partnerships	with	the	private	sector,	which	may	

include	philanthropic	organizations,	and	that	the	private	sector	will	provide	matching	funds	in	order	to	

help	bring	results	to	scale.

(c)	Special	Rule.	In	the	case	of	an	eligible	entity	that	includes	a	nonprofit

organization,	the	eligible	entity	shall	be	considered	to	have	met	the	eligibility	requirements	of	paragraphs	

(1)(A)	or	(1)(B)	and	(2)	of	subsection	(b)	if	the	nonprofit	organization	has	a	record	of	significantly	

improving	student	achievement,	attainment,	or	retention	and	shall	be	considered	to	have	met	the	

requirements	of	subsection	(b)(3)	if	it	demonstrates	that	it	will	meet	the	requirement	relating	to	privatesector	matching.

I	understand	that	to	be	eligible	for	an	i3	award	I	must	meet	the	program	and	eligibility	

requirements	noted	above.	

To	be	eligible	for	an	award,	an	application	for	a	Development	grant	must	be	supported	by	evidence	

of	promise	or	strong	theory	as	defined	in	the	2013	Notice	Inviting	Applications.	Please	use	the	

options	below	to	identify	the	evidence	standard	under	which	you	will	apply	(select	one):

Evidence	of	Promise

Strong	Theory

________________________________

1

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. The valid OMB control number for this information collection is 1855-0021. The time 

required to complete this information collection is estimated to average120 hours per response, including the time to review 

instructions, search existing data sources, gather the data needed and complete and review the information collection. 

If you have any comments concerning the accuracy of the time estimate(s) or suggestions for improving this form, please write to: U.S. 

Department of Education, Washington, D.C. 20202-4651. If you have comments or concerns regarding the status of your individual 

submission of this form, write directly to: Ms. Carol Lyons, Investing in Innovation Fund, Office of Innovation and Improvement, U.S. 

Department of Education, 400 Maryland Avenue, S.W., Washington, D.C. 20202. 

Eligibility	Requirements
18

V. 			Submitting	Your	Application

FY 2013 OPTIONAL APPLICATION CHECKLIST

Applicants may use this checklist to ensure that they have included all mandatory parts of their i3 applications. 

The checklist contains all mandatory parts of the application.

Please do not attach any narratives, supporting files, or application components to any forms unless it is 

specifically required by the instructions for the individual section of the application. Although several forms 

accept attachments, the Department of Education will only review materials/files attached to the section 

labeled “Other Attachments Form.”

Part A: Application Narrative

Project Narrative Form

Budget Narrative Form

Other Attachments Form 

Part B: Required Forms 

ED Standard Forms

Application for Federal Assistance (SF 424) 

Department of Education Supplemental Information for SF 424 

Department of Education Budget Summary Form (ED 524) Sections A & B

Disclosure of Lobbying Activities (SF-LLL) 

Assurances and Certifications

GEPA Section 427 

Assurances – Non-Construction Programs (SF 424B)

Grants.gov Lobby form (formerly ED 80-0013 form)

i3 Program Form

i3 Applicant Information Sheet http://www2.ed.gov/programs/innovation/applicant.html
19

PAPERWORK 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 (American Recovery and Reinvestment Act of 2009). 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 20210-4537 or email 

ICDocketMgr@ed.gov and reference the OMB Control Number 1855-0021. Note: Please do not return the 

completed 1855-0021 i3 application to this address.