State Fiscal Stabilization Fund (SFSF) Investing in Innovation (i3) Fund

To provide competitive grants to (a) local educational agencies (LEAs) or (b) partnerships between a nonprofit organization and one or more LEAs or a consortium of schools with a record of improving student achievement and attainment in order to expand the implementation of, and investment in, innovative
practices that are demonstrated to have an impact on improving student achievement or student growth, closing achievement gaps, decreasing dropout rates, increasing high school graduation rates, or increasing college enrollment and completion rates.
Related Programs

Examples of Funded Projects

Fiscal Year 2010: FY 2010--Scale-up, Validation, and Development grants addressed each of the four absolute priorities: innovations that support effective teachers and principals; innovations that improve the use of data, innovations that complement the implementation of high standards and high quality assessments; and innovations that turn around persistently low-performing schools.

Project narratives of the 49 awardees available on i3 website at

Funding for these awards were provided by ARRA and are included under CFDA 84.396.

Fiscal Year 2011: No Current Data Available Fiscal Year 2012: No Current Data Available

Agency - Department of Education

The Department of Education ensures equal access to education and promotes educational excellence through coordination, management and accountability in Federal education programs. The Department works to supplement and complement educational efforts on all levels, encouraging increased involvement by the public, parents and students.

Program Accomplishments

Fiscal Year 2010: In FY 2010, a total of nearly 1700 applications were received (19 Scale-up, 355 Validation, and 1324 Development).
49 awards were made (4 Scale-up, 15 Validation, 30 Development).
These funds were awarded under CDFA 84.396 with funds appropriated under ARRA. Fiscal Year 2011: No Current Data Available Fiscal Year 2012: No Current Data Available

Uses and Use Restrictions

The Department will award three types of grants: Scale-up, Validation, and Development.

Funds will 1) allow eligible entities to expand and develop innovative practices that can serve as models of best practice; 2) allow eligible entities to work in partnership with the private sector and the philanthropic community; and 3) support eligible entities in identifying and documenting best practices that can be shared and taken to scale based on demonstrated success.

Eligibility Requirements

Applicant Eligibility

(1) local educational agencies (LEAs) and (2) nonprofit organizations in partnership with (a) one or more LEAs or (b) a consortium of schools.

Beneficiary Eligibility

High-need students in LEAs will benefit.


OMB Circulars No. A-110 and A-122 apply to this program. OMB Circular No. A-87 applies to this program.

Aplication and Award Process

Preapplication Coordination

Preapplication coordination is not applicable.

Environmental impact information is not required for this program.

This program is excluded from coverage under E.O.


Application Procedures

This program is excluded from coverage under OMB Circular No. A-102. OMB Circular No. A-110 applies to this program. The Department of Education application procedures and criteria to award grants on a competitive basis. Applicants must select one of three types of grants: Scale-up, Validation, or Development and must apply to one of four absolute priorities. Applicants for all types of grants may choose to write to any of six competitive preference priorities. Applications are reviewed by panels of peer reviewers. Points are awarded on the basis of the published selection criteria, are ranked on the basis of the points awarded, and selected for funding based on the rank order.

Award Procedures

To be eligible to receive an i3 grant, applicants must: 1) implement practices, strategies, or programs for high-need students; 2) an LEA applying on its own must demonstrate that it: (a) closed achievement gaps or improved achievement for all groups of students, and (b) achieved significant improvement in other areas; partnerships involving a non-profit organization must demonstrate that the non-profit organization has a record of significantly improving student achievement, attainment, or retention through its record of work with an LEA or schools; 3) address one of the absolute priorities; 4) secure matching funds from the private sector equal to 10% (Scale-up), 15% (Validation), and 20% (Development) of the award; and 5) meet the evidence requirement of the type of grant for which the applicant applied.


Contact the headquarters or regional office, as appropriate, for application deadlines.


American Recovery and Reinvestment Act of 2009 (ARRA), Title XIV, Public Law 111-5.

Range of Approval/Disapproval Time

Approximately 4 months from receipt of applications.


Not Applicable.


Not Applicable.

Assistance Considerations

Formula and Matching Requirements

This program has no statutory formula.
Matching Requirements: Matching requirements are applicable to this program. Applicants must secure matching funds from the private sector equal to 10% (Scale-up), 15% (Validation), and 20% (Development) of the award.
This program does not have MOE requirements.

Length and Time Phasing of Assistance

Applicants can request awards of 3, 4, or 5 years. For FY 2011, funds for all years are awarded in FY 2011. See the following for information on how assistance is awarded/released: The information will be included in the grant award documents.

Post Assistance Requirements


Annual performance reports (ED 524B).

Report requirements will be included in grant award documents.

Report requirements will be included in grant award documents.

Report requirements will be included in grant award documents.

Report requirements will be included in grant award documents.


In accordance with the provisions of OMB Circular No. A-133 (Revised, June 27, 2003), "Audits of States, Local Governments, and Non-Profit Organizations," nonfederal entities that expend financial assistance of $500,000 or more in Federal awards will have a single or a program-specific audit conducted for that year. Nonfederal entities that expend less than $500,000 a year in Federal awards are exempt from Federal audit requirements for that year, except as noted in Circular No. A-133. All grantees are subject to the provisions of the Single Audit Act, 31 U.S.C. 75, and OMB circular A-133.


Each recipient must maintain records that fully disclose the total cost of the activity for which the funds are used, the share of the cost provided from other sources, and other such records as will facilitate an effective financial or programmatic audit. The recipient shall maintain such records for three years after the completion of the activity for which funds are used.

Financial Information

Account Identification



(Project Grants) FY 10 $0; FY 11 $149,700,000; FY 12 $300,000,000

Range and Average of Financial Assistance

No Data Available.

Regulations, Guidelines, and Literature

The Education Department General Administrative Regulations (EDGAR) in 34CFR parts 74, 75, 77, 79, 80, 81, 82, 84, 85, 86, 97, 98, and 99. The notice of final priorities requirements, definitions, and selection criteria (NFP) for this program published in the Federal Register.

Information Contacts

Regional or Local Office


Headquarters Office

Margo Anderson 400 Maryland Ave. S.W., Washington, District of Columbia 20202 Email: Phone: 202-205-3010

Criteria for Selecting Proposals

Criteria will be contained in the program guidance.

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