i3 Grants Program Application

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

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400 Maryland Ave. SW, Washington, DC 20202

www.ed.gov

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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 pre-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 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)

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.

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.

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:

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 pre-application 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 [email protected].

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.

i3 2013 Development Competition Overview

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Pre-application peer review
Department announces highly rated pre-applications

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Full application peer review
Department eligibility review, including evidence and applicant’s prior record of improvement
Department announces highest-rated applications

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

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.

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 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 them to the appropriate narrative.

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.

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:

Download it from the i3 website:
http://www2.ed.gov/programs/innovation/applicant.html
Complete the form in Adobe Acrobat
Save the form in Adobe Acrobat as a PDF
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.

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.

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:

Project Info

Project Title: 

Length of Requested Grant Award:

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

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 (please remember to identify the additional priority and subpart that you will address)

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.

Eligibility Requirements

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;

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):

________________________________

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.

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

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 [email protected] and reference the OMB Control Number 1855-0021. Note: Please do not return the completed 1855-0021 i3 application to this address.

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