# FY **201 X** 

U.S. Department of Education Office of Innovation and Improvement Washington, DC 20202 - 5900 

# [ **APPLICATION FOR GRAN TS UNDER**  **THE INVESTING IN INN OVATION**  **FUND (I3) GRANT PROGRAM**  

# ]

CFDA Number: **84.411 P**  **Development Pre**  **- Application**  **grants** Form Approved OMB No. 1855 - 0021 Expiration Date: 10/31/2013 **Closing Date: 0** **4 /** **XX /201**  **X**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.** Supplement al 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 ................................ ................................ ................................ ........ 193 

## 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 subm itted high - quality proposals, and the Department of Education has funded 9 2 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. T he core aim of the i3 program continues: to improv e education for our neediest students. The i3 program utilizes a “tiered evidence” framework to allocate funds: p roposals supported by limited evidence receive the smallest grants, and proposals with the most rigorous evidence can receive large gran ts that enable expan sion 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 interven tions 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 di fferent 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. W e have modified the process for applicants to demonstrate evidence of the required private- sector match , with the intent of enabling you to secure more m eaningful 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 th e 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 O ffice of Innovation and Improvement U NITED S TATES D EPARTMENT OF EDUCATION O FFICE OF INNOVATION AND I MPROVEMENT

400 MARYLAND AVE . SW, WASH INGTON, 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 Innova tion and Improvement Investing in Innovation Fund (i3) CFDA Number: 84.411P **Dates** : Pre -Application Available: March 29 , 201 3 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: H igh ly 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 p re applicants 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 f ull 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 philanthrop ic 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 hi gh - 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 prov ide 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 ent ities 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 201 3 , all potential applicants under this i3 Development grant competition mu st 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 t heir 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 201 3 Notice Inviting Applications (NIA) for the Development competition . E ntities 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 - applicat ions who are not specifically invited to submit a full application may choose to submit a full application . Th e full application peer review will use different selection criteria than the pre - application peer review . These full application selection cri teria are provided in the FY 201 3 NIA for applicants’ reference . **However, a**  **pplicants should focus their pre -**  **applications on the pre -**  **application selection criteria.** The following is a brief overvie w of the i3 application process **Getting Started** All interested applicants should first thoroughly review the NIA for FY 201 3 published in the Federal Register on March 2 7 , 201 3 (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 follo wing 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 w ill 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 1 6 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 pre application components within this document . Applicants will not find references to Parts A and B when submitting in Grants.gov; they will however fi nd each component. Pre - application component s are discussed in detail in the following page s of this document. A detailed discussion of the submission process within Grants.gov can be found in this application package. Entities are encouraged to familia rize themselves with Grants.gov . **The Department strongly encourages applicants to submit their applications early.**  In p rior years, a number of applicants submitted their applications late because they failed to familiarize themselves with the requirement s of either the program or Grants.gov. Late applications will not be accepted . All i3 applications must be received on or before **April 26 , 201**  **3 .**  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., Wash ington, 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 Depart ment 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. Inte rested 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 Departmen t 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 I 

## 3 201 3 D EVELOPMENT 

## C OMPETITION 

## O VERVIEW



### • **Pre -**  **application peer review** • **Department announces high ly**  **rated pre -**  **app lications** 

• **Full application peer review**  • **Department eligibility review , including evidence and applicant**  **’s prior**  **record of improvement** • **Department announces highest -**  **rated app lications** **P r** **e -** **A p** **p l** **i c** **a t** **i o** **n P** **e r** **i o** **d** 

### • 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**F u** **l l** **A p** **p l** **i c** **a t** **i o** **n P** **e r** **i o** **d** 

### • Department publishes full application package • Highly rated p re - applicants and other pre - applicants, if they choose, develop full application (25 pages), including project partners and evalua tion plans • Highly rated pre - applicants and other pre - applicants submit full application through Grants.gov**M a** **t c** **h i** **n g** **P e** **r i** **o d**  

### • Highest - rated applicants secure evidence of required private sector match • Highest - rated applicants submit evidence of 50 percent of required private sector match to the Department for approval and confirmation (Applicants must provide the remaining 50 percent six months after the project start date) • Department announces awardees9 

## N EW I 

## 3 D EVELOPMENT 

## P ROGRAM 

## D ESIGN 

## E LEMENTS 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 :  Identifie s eight Absolute P riorities 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 Effe ctiveness 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 Disa bilities

• 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 yea r’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.

 Revise s the evidence standards and definitions so th at 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) .  Modifie s the p rocess 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 private sector 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 - applic ants who were not highly rated to submit a full application if they choose.10 

## A PPLICATION 

## T IPS

 Register e arly 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 Representat ive (AOR). Track your AOR status ( see p a g e 44 ) . You must be “active” in order to submit an application on behalf of the organization.  Carefully review the FY201 3 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.  C learly 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 t he 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 G rant s.gov may accept other format types, the Department’s system, which receives the files from G rants.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 ear ly on G rants.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:** Applicant s 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. P RE 

## - A PPLICATION 

## N ARRATIVE 

## I NSTRUCTIONS 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 201 3 NIA. Applicants should includ e a Table of Contents that includes all responses to the Selection Criteria . Specific instructions are included on page 1 2 of this application package. **A pplicants**  **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. S pecific instructions are included on page 1 3 of this application package . **A pplicants should limit the**  **budget narrative to**  **2 pages**  **.** T he 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 1 5 of this application package. Applicants should not include substantive, project - related information that they wish peer reviewers to consider anywhere in the pre application 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 th em to the appropriate narrative.12 

## I NSTRUCTIONS FOR 

## P ROJECT 

## N ARRATIVE 

## F ORM 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 201 3 i3 NIA includes eight Absolu te Priorities. A pplicants 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 th**  **ese reason**  **s , applicants should clearly identify the Absolute Priority**  **in both the application narrative and on the i3 Applicant Information Sheet**  **. F**  **ormatting** 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, qu otations, references, captions. Use a font size t hat 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** A pplicants should limit the project narrative to 7 pages. The page limits apply to the resp onses to the Selection Criteria. The Table of Contents does not count against the page limit .13 

## I NSTRUCTIONS FOR 

## O THER 

## A TTACHMENTS 

## F ORM 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 Informatio n 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 th at 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 info rmation 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. R EQUIRED 

## F ORMS 

## S TANDARD 

## F ORMS AND 

## I NSTRUCTIONS Applicants must submit along with their project narrative s, the required standard forms, assurances, and certifications include d 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 c ompleting them . Electronic c opies 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** I 

## 3 A PPLICANT 

## I NFORMATION 

## S HEET 

## 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	an d	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	o f	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	(E Ls) **Select	a	subpart** Absolute	Priority	6 -- Improving	Parent	and	Family	Engagem ent **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	provi de	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	m eet	the	requirement	relating	to	private sector	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	su pported	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):**  

### Evid ence of

P romis e Stron g Th eory

________________________________ 1 **Public Bur den Statement:**  **According to the Paperwork Reduction Act of 1995, no persons are required to respond to a collection of information unless su ch**  **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 col lection.**  **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 indi vidual**  **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	Requirements18 

## V. Submitting	Your	Application FY 201 3 O PTIONAL 

## A PPLICATION 

## C HECKLIST Applicants may use this checklist to ensure that they have included all mandatory parts of their i3 application s . The checklist conta ins 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 sever al 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.html19 

## P APER WORK 

## B URDEN 

## S TATEMENT 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 informati on 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.