[Federal Register Volume 74, Number 248 (Tuesday, December 29, 2009)]
[Notices]
[Pages 68789-68798]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: E9-30807]
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CORPORATION FOR NATIONAL AND COMMUNITY SERVICE
Proposed Notice of Funds Available (NOFA) for Social Innovation
Fund Awards; Request for Feedback
AGENCY: Corporation for National and Community Service (the
Corporation).
ACTION: Request for Feedback on the Corporation's Fiscal Year (FY) 2010
Notice of Funds Available (NOFA) for Social Innovation Fund Awards.
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SUMMARY: This draft Notice of Funds Available (NOFA) announces the
availability of funding for the newly created Social Innovation Fund
(SIF), authorized by the Edward M. Kennedy Serve America Act of 2009.
The Social Innovation Fund is a vehicle to invest in promising,
innovative nonprofit organizations to help them strengthen their
evidence-base and develop the infrastructure to address our national
challenges in communities of need.
In FY 2010, SIF awards will be made to a select number of
grantmaking intermediaries (or eligible partnerships) focused on
improving measurable outcomes in the following priority areas:
Increased economic opportunity;
Preparing America's youth for success in school, active
citizenship, productive work, and healthy and safe lives.
Promoting healthy lifestyles and reducing the risk factors
that can lead to illness.
The SIF will stimulate and support a national network of
intermediary grantmaking institutions to identify and invest in
promising organizations to help them build their evidence-base and
support their growth. Social Innovation Fund grantees will match the
Federal funds received (dollar-for-dollar, in cash) in order to make
subgrants to nonprofit community organizations so that they, in turn,
can: (1) Produce measurable and transformational outcomes within
specific issue areas or geographic regions; (2) Add to the store of
evidence of effective approaches to achieving impact; and (3) Replicate
and/or expand their proven initiatives to reach more Americans.
Successful applicants in this competition will demonstrate:
An ability to conduct a robust process for identifying and
selecting innovative organizations with considerable potential to
produce significant results and broaden their impact; and
A strong track record of using rigorous evidence to
select, invest in, and monitor the growth and progression of their
grantees.
For FY 2010, SIF applicants must demonstrate the ability to meet 50
percent of their cash match requirement at the time of the application.
This Notice provides full details on how applicants must address these
and other factors in submitting their applications.
The Corporation is soliciting public input on the proposed
structure of the Social Innovation Fund, as outlined in this draft
Notice of Federal Funding Opportunity (NOFA). As appropriate, the
feedback received will be taken into account in the final NOFA. (The
Corporation will not provide individual responses to feedback
received.)
DATES: Feedback Due Date: January 15, 2010.
ADDRESSES: You may submit feedback, identified by Section xx of this
draft Notice, by any of the following methods:
(1) By mail sent to: Corporation for National and Community
Service, Attention: Stephanie Soper, Room 10708A; 1201 New York Avenue,
NW., Washington, DC, 20525.
(2) By hand delivery or by courier to: The Corporation's mailroom
at Room 8100 at the mail address given in paragraph (1) above, between
9 a.m. and 4 p.m. Monday through Friday, except Federal holidays.
(3) By fax to: (202) 606-3466, Attention: Stephanie Soper, SIF
Docket Manager.
(4) Electronically through the Corporation's e-mail address system:
[email protected].
FOR FURTHER INFORMATION CONTACT: Questions regarding specific SIF
program requirements should be directed to Stephanie Soper by e-mail at
[email protected]. Persons with hearing or speech impairments may access
these numbers via TTY by calling the Federal Information Relay Service
at (800) 877-8339.
Overview Information
A. Federal Agency Name: Corporation for National and Community
Service.
B. Funding Opportunity Title: Social Innovation Fund.
C. Announcement Type: Initial announcement.
D. Funding Opportunity Number: OMB Approval Numbers applicable to
this NOFA are -------- and --------.
E. Catalog of Federal Domestic Assistance (CFDA) Number(s): 94:019.
F. Dates:
1. Application Receipt Requirements and Date: CNCS is not currently
accepting applications for this assistance.
2. Estimated Award Date. The estimated award date will be included
in the final NOFA published by CNCS.
G. Additional Important Overview Information:
1. We are specifically seeking feedback on the Social Innovation
Fund, and not the Corporation's overall grant making processes/
policies.
The Corporation is specifically inviting feedback on
whether or not its treatment of low-income, rural, and ``significantly
philanthropically underserved'' communities (as described in Section IV
of the Notice) is appropriate, and, if not, what other appropriate
treatments might be. Specifically, the Corporation is interested in
viewpoints on how specific geographic areas can be identified as ``low-
income communities,'' including an appropriate threshold to include in
the approach the Corporation has initially adopted in this Notice.
As described in Section IV of the Notice, the Corporation
expects that the use of rigorous evidence will be part of the culture
of any intermediary that will receive SIF funding; and that,
consequently, the intermediary will assess the impact of its own
activities. The Corporation is specifically inviting feedback on how
the intermediaries should assess the impact of their work and how the
Corporation should hold intermediaries accountable for their
performance.
As described in Section VI of the Notice, the Corporation
expects intermediaries to hold subgrantees accountable for their
progress against agreed-upon indicators of success. Therefore, the
Corporation will ask SIF intermediaries to report subgrantee
performance information to the Corporation. The Corporation is
interested in determining the right structure of accountability for
both Intermediaries and subgrantees, and invites public feedback on the
appropriate accountability framework.
2. Application materials. The NOFA and application materials will
be available for download via the Corporation's Web site at http://www.nationalservice.gov/pdf/09_1218_sif_nofadraft.pdf.
Full Text of Announcement
I. Funding Opportunity Description
What is the purpose of the Social Innovation Fund?
The Edward M. Kennedy Serve America Act of 2009 established the
Social Innovation Fund within the Corporation for National and
Community Service (the Corporation). The Social Innovation Fund, also
referred to as the SIF throughout this draft NOFA, is intended to
support a
[[Page 68790]]
national network of funds, led by community experts, that identify and
invest in promising organizations that demonstrate impact in low-income
communities. The Corporation defines ``social innovation'' as the
development of a potentially transformative practice or approach to
meeting critical social needs. By investing in social innovation as a
driver of results and accountability, the Federal government will play
a central role in accelerating the spread of promising solutions to
address our most pressing national and local challenges. In FY 2010,
SIF awards will be focused on improving measurable outcomes in the
following priority areas:
Economic Opportunity--Increasing the economic
opportunities for economically disadvantaged individuals;
Youth Development and School Support--Preparing America's
youth for success in school, active citizenship, productive work, and
healthy and safe lives; and
Healthy Futures--Promoting healthy lifestyles, and
reducing the risk factors that can lead to illness.
The SIF funds will be awarded to existing intermediary
organizations, which are either grantmaking institutions or grantmaking
partnerships as defined in this Notice. These intermediary
organizations will award subgrants to nonprofit community organizations
working to address priority issues. To be awarded funding,
intermediaries will need to demonstrate:
The ability to identify innovative solutions and
successfully invest in growth and replication;
A track record of using rigorous evidence to select,
invest in, and monitor the growth and progression of their grantees;
Expertise and demonstrated impact in the proposed issue
area(s) of focus; and
Depth and breadth of relationships with stakeholders in
the issue area or region of focus.
The SIF will also attract and leverage private donors to match
Federal dollars, bringing new resources to support promising
organizations. The statute requires both the SIF intermediaries and
their subgrantees to match their grants dollar-for-dollar, in cash,
with non-Federal funding. In FY 2010, the SIF will focus on
dramatically accelerating a select number of community innovations that
are supported by rigorous evidence, have the capacity to expand or
replicate, and have the potential to be transformational.
Emphasis on Evidence
The Corporation is committed to using the limited resources
available to the SIF to invest in the programs likeliest to produce
transformative change. Wherever possible, this means acting on evidence
from well-designed and well-implemented experimental or quasi-
experimental studies that demonstrate the program has a sizeable
impact. However, the Corporation recognizes that in many fields and in
many parts of the country, such evidence is not available. In those
cases, the Corporation is committed to funding promising efforts in
order to build the base of evidence about what works, improve programs,
and inform future investments.
The SIF will support the use of evidence in several ways. First,
the SIF will prioritize intermediaries that use rigorous evidence (see
Section V) to select and invest in their grantees. Second, the SIF will
encourage the use of data and evaluation tools by both intermediaries
and grantees to monitor the growth and progression of their grantees.
Third, the SIF will evaluate the efforts of these intermediaries and
their grantees to achieve measurable outcomes. Finally, the SIF seeks
to connect the efforts of government and foundations to use evidence
and evaluation in systematic ways. Taken together, these efforts aim to
help both SIF grantees and the nonprofit and philanthropic communities
as a whole.
Subgranting as Part of the SIF Award Competition
As discussed above, this Notice seeks applications for
organizations to act as SIF intermediaries. By statute, SIF
intermediaries must select subgrantees on a competitive basis. The
primary functions of the recipients of these awards will be to conduct
subgrant competitions and administer those subgrants as required by the
National and Community Service Act of 1990 (``the Act''), this Notice,
and the terms and conditions of the final awards. Subgrants are to be
made in annual amounts of $100,000 or more per year. However, for the
FY 2010 SIF competition, the Corporation anticipates SIF intermediaries
awarding subgrants that reflect more substantial investment in programs
that show the highest levels of effectiveness, as defined in Section V.
The criteria applicable to the subgrant competitions are specified
in Section V of this Notice. Applicants should note that their
subgrantees will be required to provide dollar-for-dollar matching
funds, in cash, for each year that they receive a SIF subgrant.
Applicants may either: (1) Conduct a subgrant competition before
applying to the Corporation (thereby applying with an identified set of
local community organizations that would receive funding upon a SIF
intermediary grant award); or (2) conduct a subgrant competition after
receiving a SIF intermediary grant award. In either case, the
Corporation will assess the completed or proposed subgrant competition
against the criteria specified in Section V.
For applicants in the first category, the Corporation may request
additional information regarding any pre-selected subgrantees for
compliance against the criteria as described in this Notice. For
applicants in the second category, the Corporation may: (1) Require
that the intermediary select its subgrantees within six months of the
grant award; and (2) review the results of the subgrant process for
compliance and appropriate outcomes.
In evaluating two applications of otherwise equal merit, the
Corporation may give preference to the applicant that identifies its
subgrantees in its application. An applicant that identifies
subgrantees is more likely to have an impact in communities sooner than
an applicant that plans to select subgrantees post-award. Moreover, an
application that identifies subgrantees provides the Corporation with
more information about the strengths and weaknesses of a proposed
program.
Illustrations of Potentially Successful SIF Applicants
The following examples are intended to provide illustrations of
hypothetical SIF awardees.
Scenario #1: A rural, nonprofit grantmaking organization with deep
roots in the local community and a strong focus on community needs,
including education, health and poverty.
You have a track record of engaging a broad array of
stakeholders across sectors and convening them to develop integrated
and coordinated responses to critical social problems. Your investment
in local organizations is substantive and multi-year, and includes both
financial capital and intellectual resources. Directly, and through
contracted services, you provide support for management assistance and
evaluation. You have identified a select number of local innovations
with evidence of impact, and you are committed to growing and testing
these models.
Scenario #2: A high-engagement philanthropy organization working
with a handful of innovative community
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organizations in two areas: workforce development and poverty
alleviation.
You invest in select organizations around the country
identified through your own due-diligence process. Your emphasis is on
identifying promising innovations ripe for larger-scale investment, and
your organization provides multi-year funding for support of growth
capacity, management assistance and evaluation. A subset of your
portfolio has gathered rigorous evidence of impact, and you want to
work with them as a group to deepen their models and extract lessons
that could potentially inform public policy in the identified key issue
areas.
Scenario #3: A local government office with a commitment to
spurring, investing in, and supporting new solutions to local problems.
You provide multi-year investment and support to both
pilot and evaluate local innovations led by your agencies in
partnership with high-capacity nonprofit groups. You conduct evaluation
of your grantees through outside organizations, while also relying on
some in-house capacity. Two other municipalities have approached you
about partnering, and you are considering partnering with them to
spread the most promising solutions within your current portfolio.
II. Award Information
How much funding is available?
The Corporation anticipates that up to $50 million will be
available to award new cooperative agreements in the approximate
amounts of $5 million to $10 million to approximately five to seven
intermediary organizations.
Within this range, the amount of the individual awards may vary.
The Corporation expects to make larger grants to those intermediary
organizations whose subgrantees have higher levels of evidence (as
described in Section V) of strong impact and the capacity to expand or
replicate quickly.
What Is the Project Award Period?
The SIF award periods are up to five years, with funding provided
in annual increments. Grantees will be eligible for continuation
funding in the second through fifth year contingent on the availability
of appropriations, compliance with grant conditions, and satisfactory
performance, including having secured cash matching funds.
What Is the Award Amount?
For the FY 2010 SIF award competition, the Corporation expects to
make annual awards in the range of $5 million to $10 million, with an
average of approximately $7 million. As noted earlier, the Corporation
expects to make larger grants to those intermediary organizations whose
subgrantees have higher levels of evidence (as described in Section V)
of strong impact and the capacity to expand or replicate.
What Is the type of Funding Instrument used for these grants?
The funding instrument for the SIF is a cooperative agreement. As a
partner in this cooperative agreement, the Corporation expects to have
substantial involvement with the intermediary organizations as they
carry out approved activities. In particular, the Corporation
anticipates having substantial involvement in: Reviewing the results of
the subgrant process for compliance and appropriate outcomes;
The development of final, detailed plans for evaluation of
major subgrantees that would include:
[cir] The specific questions the evaluation(s) intends to answer;
[cir] The type of research design (including rigorous impact
evaluations of the largest subgrantees);
[cir] The timeline and estimated budget for the evaluation;
[cir] Description of who will conduct the evaluations and the
process to be employed to maintain independence, objectivity, and high-
quality reports;
The development of a final, detailed plan for expansion or
replication of subgrantees;
The development of best practices deliverables in
collaboration with Corporation staff; and
Other appropriate activities as specified in the final
award.
III. Eligibility Information
This competition is open to all entities that meet the eligibility
criteria as specified in this Notice. Receipt of prior Corporation or
other Federal grant funding is not a prerequisite to applying under
this Notice.
To be eligible for a SIF intermediary award, you must:
Be an existing grantmaking institution or an eligible
partnership;
Properly propose to be either a geographically- or issue
area-based SIF that will focus on improving measurable outcomes;
Have a strong track record of using rigorous evidence to
select, invest in, and monitor the growth and progression of your
grantees.
Have a well-articulated plan to either:
[cir] Replicate and expand research-proven initiatives that have
been shown to produce sizable, sustained benefits to participants or
society, or
[cir] Partner with a research organization to carryout rigorous
evaluations to assess the effectiveness of such initiatives;
Have appropriate policies on conflicts of interest, self
dealing and other improper practices; and
Demonstrate either cash-on-hand or commitments (or a
combination thereof) toward meeting 50 percent of your first year
matching funds, based on the amount of grant funds requested. For
example, a request of $1 million needs to be accompanied by
documentation of $500,000 dollars on-hand at the time of application.
Some of these eligibility requirements are specifically addressed
as eligibility factors in the selection criteria in Section V of this
Notice. The Corporation will conduct initial reviews of applications to
determine whether they meet those specific eligibility criteria. Any
application that does not meet all of the eligibility criteria
identified in Section V will not be further reviewed.
Applications that meet all the eligibility criteria discussed in
Section V will be reviewed in full. In its full evaluations, the
Corporation will consider and weigh how the applications address all
the stated criteria (both Eligibility Criteria and Application Review
Criteria).
The Corporation will make an award only after determining that an
organization meets all the eligibility criteria. As necessary, the
Corporation will further evaluate an applicant during clarifying
discussions (and possible site visits) with applicants. The Corporation
also anticipates conducting due diligence reviews to assess or confirm
information or assurances provided by applicants. As part of these
further discussions and reviews, the Corporation may conclude that
applicants do not meet one or more of the eligibility requirements. In
that case, the Corporation will not further consider the application.
In order to maximize the impact of the of the SIF and ensure a
diverse array of innovative grantees across the Federal government,
preference will be given to intermediary applicants that agree to
direct SIF funds toward innovations that are not likely to be receiving
large amounts from other Federal innovation funds (e.g., ``Investing in
Innovation'' at the Department of Education). Final SIF award decisions
also may be weighed based on the outcome of other large Federal grant
competitions.
[[Page 68792]]
IV. Application and Submission Information
A. Online Submission of Applications via eGrants
The Corporation requires that all applicants make every effort to
submit their applications electronically through the Corporation's web-
based application system, eGrants. The Corporation will provide
detailed instructions on how to apply for this funding through eGrants.
If your organization is considering applying for funding through
this Notice, please submit a notice of intent to apply by e-mail to [email protected] by TBD. The e-mail should include your organization's name
and the name(s) of any partner organization(s), if applicable. This is
not a required deadline, but submitting your request by that time helps
us plan for the review of the applications.
In the event of prolonged unavailability of the eGrants system on
the date of submission, the Corporation reserves the right to extend
the eGrants submission deadline. Any notice of an extended submission
deadline will be posted in eGrants and on www.nationalservice.gov.
If extenuating circumstances make the use of eGrants impossible,
applicants may send a hard copy of the application to the following
address, via overnight carrier (non-U.S. Postal Service because of
security-related delays in receiving mail from the U.S. Postal
Service). All deadlines and requirements in this Notice apply to hard
copy applications.
Corporation for National and Community Service, ATT: Office of Grants
Policy and Operations/SIF Application, 1201 New York Avenue, NW.,
Washington, DC 20525.
Applications submitted by fax will not be accepted.
B. Content and Form of Application Submission
Your application in eGrants will consist of the following
components. Please make sure to complete each one.
I. Applicant Info
II. Application Info
III. Executive Summary
IV. Narratives
V. Documents
VI. Budget
VII. Review, Authorize, and Submit
VIII. Survey on Ensuring Equal Opportunity for Applicants (Optional)
Applicants should note that the narrative portion of their
application (which will include Part I: Program Design, Part II:
Organizational Capability, and Part III: Cost-Effectiveness and Budget
Adequacy) may not exceed X characters, or 20 pages. The character count
includes spaces and punctuation.
See Appendix X for eGrants instructions. (TBD)
C. Technical Assistance
The Corporation will host technical assistance calls and/or
workshops to answer questions from potential applicants about this
funding opportunity, including submitting the application through
eGrants. Applicants are strongly encouraged to participate in these
sessions. Details TBD.
D. Submission Dates and Times
The Corporation anticipates posting a final NOFA following this
feedback period in early February 2010 with a deadline for applications
at TBD. Applications must arrive at the Corporation by the deadline in
order to be considered.
E. Intergovernmental Review
Applicants under this program are not subject to Executive Order
12372 ``Intergovernmental Review of Federal Programs.''
F. Funding Restrictions
Matching Funds
Applicants must provide matching funds in an amount equal to and
not less than $1 for every $1 of funds provided under the grant.
Matching funds may come from State, local, or private sources, which
may include State or local agencies, businesses, private philanthropic
organizations, or individuals. Federal funds may not be counted towards
the match requirement.
Additionally:
Matching funds must be provided in cash.
The matching funds must be expended on the approved
program.
If the applicant is a partnership that includes a State
Commission or a local government office, the state or local government
involved must provide not less than 30 percent and not more than 50
percent of the matching funds.
The Corporation is particularly interested in applicants
that demonstrate that Federal funds are generating additional or new
private sector funds.
The Corporation is also particularly interested in
applicants that present both a strong capacity to raise additional
dollars to be provided to subgrantees, and a serious commitment to
share the fundraising burden for their subgrantees.
Administrative and Direct Cost Limitations
For the FY 2010 SIF award competition, the Corporation has adopted
the following limitations on applicant program costs:
No more than 5 percent of the Federal funds awarded by the
Corporation may be used to pay for administrative costs.
No more than 15 percent of the Federal funds awarded by
the Corporation may be used to pay direct program costs (other than
subgrants awarded) of the SIF Intermediary in carrying out its approved
program.
The limitation on administrative costs will be implemented in the
same manner as the limitation on administrative costs for the
Corporation's AmeriCorps programs. These requirements are found in the
Corporation's regulations at 45 CFR 2510.20 and 2521.95.
The limitation on direct program expenditures will be applied as a
cap on the Federal funds that may be used to reimburse a SIF award
recipient for its approved direct program costs, other than subgrants
made to local community organizations. This limitation will be applied
to direct program costs as defined in the applicable cost principles
for the award recipient--
2 CFR Part 220--Cost Principles for Educational
Institutions (OMB Circular A-21)
2 CFR Part 225--Cost Principles for State, Local and
Tribal Governments (OMB Circular A-87)
2 CFR Part 230--Cost Principles for Non-Profit
Organizations (OMB Circular A-122).
The Corporation's review of applicants' budgets will include an
assessment of compliance with these limitations.
F. Other Submission Requirements
Low-income, Rural and Significantly Philanthropically Underserved
Communities
As specified in section 198K of the Act, SIF intermediary grantees
must make subgrants and otherwise support programs that serve low-
income communities. For purposes of this Notice, ``low-income
community'' means either:
A population of individuals or households being served by
a subgrantee on the basis of having a household income that is 150
percent or less of the applicable Federal poverty guideline, or
A defined geographic area where, within the past twelve
months, --------
[[Page 68793]]
percent or more of the area's population had household incomes at or
below 150 percent of the applicable Federal poverty guideline (based on
the most recent American Community Survey data issued by the U.S.
Census Bureau).
In making its final award determinations under this Notice, section
198K(h)(2) of the Act requires the Corporation to include among award
recipients eligible applicants that propose to provide subgrants to
community organizations that will serve significantly philanthropically
underserved communities. For purposes of this FY 2010 Notice, the
Corporation will consider applicants proposing to serve significantly
philanthropically underserved communities if they carryout activities
in low-income communities (as defined above), which are also in a rural
geographic area.
For purposes of this Notice, a rural geographic area is one with a
2003 Rural-Urban Continuum Code of 6 or higher (as issued by the U.S.
Department of Agriculture, Economic Research Service). The full list of
Rural-Urban Continuum Codes is listed here: http://www.ers.usda.gov/briefing/rurality/ruralurbcon/.
In the FY 2010 SIF award competition, the Corporation does not
anticipate reducing the match requirement for applicants that will be
serving significantly philanthropically underserved communities.
Use of Evidence
The SIF is one of several new Federal grant programs that place a
significant emphasis on using evidence of program impact as a critical
factor in funding decisions, with the goal of directing limited federal
resources toward more effective programs and to increase our knowledge
about what works.
Intermediaries will need to demonstrate in their applications how
they use evidence of program impact to select, invest in, and monitor
the growth and progression of their subgrantees. Across programs, issue
areas, and regions, the available evidence of program effectiveness
will necessarily vary, sometimes significantly. However, the best
evidence will come from independent, well-designed studies using
experimental and quasi-experimental designs, ideally from more than one
site or with more than one population, that demonstrate the program has
had a strong impact. Where these types of evidence are not available,
the intermediaries will be expected to identify the existing levels of
evidence (as defined in Section V) of the subgrantees and use SIF
resources to help build the evidence-base of these programs.
In addition, the Corporation expects that the use of rigorous
evidence will be part of the culture of the intermediary and that,
consequently, the intermediary will assess the impact of its own
activities.
Participation in Learning Community
Grantees will be required to participate in, organize, or
facilitate, as appropriate, learning communities for the Social
Innovation Fund. A learning community, or ``community of practice,'' is
a group of grantees that agrees to interact regularly to solve a
persistent problem or improve practice in an area that is important to
them. Establishment of learning communities under the SIF will enable
grantees to meet, discuss, and collaborate with each other regarding
grantee projects.
V. Application Review Information
Corporation staff and outside reviewers with expertise in
innovation, evaluation and replication will rate each eligible
application using the following criteria.
------------------------------------------------------------------------
Category Percentage Sub-Categories
------------------------------------------------------------------------
Part I. Program Design......... 45% Goals and Objectives.
.............. Use of Evidence.
.............. Community Resources.
.............. Description of
Activities.
Part II. Organizational 35% Ability to Provide
Capacity. Program Oversight.
.............. Ability to Provide
Fiscal Oversight.
Part III. Cost-Effectiveness 20% Budget and Program
and Budget Adequacy. Design.
.............. Match Sources.
------------------------------------------------------------------------
The specific selection criteria for the various parts and
subcategories are listed below. The selection criteria are categorized
as either eligibility criteria or application review criteria.
Reviewers will first assess your application against the eligibility
criteria. If this review shows that an application does not meet any
one of the eligibility criteria specified below, the application will
not be further reviewed. All eligible applications will be fully
reviewed and assessed based on both the eligibility and application
review criteria.
To best respond to the criteria, we suggest that you address each
question, suggestion, or bullet if it pertains to your application.
However, these recommendations on addressing the criteria are not
exhaustive. Applicants should be careful to specifically address the
eligibility and application review criteria to the maximum extent
practical.
In reviewing applications submitted in response to this Notice, the
Corporation may consider, with respect to any particular proposal, the
factors and information identified in 45 CFR 2522.470.
In selecting applicants to receive awards under this Notice, the
Corporation will endeavor to include:
Applicants who propose to serve areas that are
significantly philanthropically underserved, and
A diverse set of applicants, in terms of issue area and
geography.
Part I. Program Design (45%)
A. Goals and Objectives
Eligibility Criteria
The Corporation asks applicants to use a thematic approach in
describing their proposed investments in community organizations. As
established in the Act, there are two basic operational models of SIF
intermediaries. The first is a SIF that will operate in a single
geographic location, and address one or more issues within that
location. This model is referred to as a ``geographically-based SIF.''
The second model is a SIF that will address a single issue area in
multiple geographic locations. This model is referred to as an ``issue-
area based SIF.'' The Corporation will assess whether the application
properly proposes goals and objectives as either a geographically-based
or an issue area-based SIF.
Geographically-Based SIF
To apply as a geographically-based SIF, the applicant must propose
to focus on serving low-income communities within a specific local
geographic area,
[[Page 68794]]
and propose to focus on improving measurable outcomes related to one or
more of the following issue areas:
Economic Opportunity--Increasing the economic
opportunities for economically disadvantaged individuals;
Youth Development and School Support--Preparing America's
youth for success in school, active citizenship, productive work, and
healthy and safe lives-; and
Healthy Futures --Promoting healthy lifestyles and
reducing the risk factors that can lead to illness.
The application must provide statistics on the needs related to the
issue areas within the specific local geographic area, and information
on the specific measurable outcomes related to those issue areas that
the applicant will seek to improve.
Issue Area-Based SIF
To apply as an issue area-based SIF, the application must propose
to focus on addressing one of the following specific issue areas within
multiple low-income communities:
Economic Opportunity--Increasing the economic
opportunities for economically disadvantaged individuals;
Youth Development and School Support--Preparing America's
youth for success in school, active citizenship, productive work, and
healthy and safe lives.; and
Healthy Futures --Promoting healthy lifestyles and
reducing the risk factors that can lead to illness.
The application must provide statistics on the needs related to the
issue area within the local geographic areas likely to be served,
including statistics demonstrating that those geographic areas have a
high need in the specific issue area. The application must also include
information on the specific measurable outcomes related to the specific
issue area that the applicant will seek to address.
Addressing the Eligibility Criteria
Geographically-Based SIF
[cir] Describe the target community or region that you propose to
serve.
[cir] Describe the specific issue areas on which you propose to
focus and the statistical information that supports the need to address
those issue areas.
[cir] Describe your organization's qualifications to support the
proposed goals and objectives.
Issue Area-Based SIF
[cir] Describe specifically the issue area on which you propose to
focus.
[cir] Describe the specific statistical information showing that
the areas likely to be served have a high need in this specific issue
area.
[cir] Describe your organization's qualifications to support the
proposed goals and objectives.
Achieving Measurable Outcomes
[cir] For each issue area, describe the measurable outcomes you
propose to achieve.
[cir] Describe the data that could be used to assess how your
program caused progress toward those outcomes.
[cir] Indicate whether or not you could get relevant data or would
aim to contract with others to do so.
[cir] If you are applying with a portfolio of selected subgrantees,
describe their track records of achieving specific outcomes related to
the measurable outcomes you have proposed to improve, and how,
collectively, your proposed portfolio of SIF subgrantees will achieve
measurable results for the target communities.
B. Use of Rigorous Evidence
Eligibility Criteria
Applicants must include in their application information describing
their track record of:
Using rigorous evidence to select and invest in their subgrantees.
Utilizing data and evaluation tools to monitor the growth
and progression of their grantees.
Achieving measurable outcomes.
Addressing the Eligibility Criteria
The Corporation expects grantees, to the extent practicable, to
fund subgrantees with rigorous evidence of their impact. The
Corporation will prioritize intermediaries whose subgrantees have
strong evidence of strong impact (as described below). The Corporation
recognizes, however, that in many parts of the country, and in many
fields, such evidence will not yet be available. In these areas, the
Corporation will prioritize intermediaries that are prepared to build
portfolios that, over time, are most likely to demonstrate strong
evidence of strong impact. Such intermediaries could have portfolios of
programs supported by moderate evidence (as described below), or that
they are planning to run a competition that will prioritize such
entities. In areas where such evidence also is not available, the
Corporation has provided examples of preliminary evidence that might be
considered for funding in order to build the base of evidence about
what works, make program improvements, and inform future investments.
In order to achieve the goal of increasing our knowledge of what
works, the Corporation expects that all intermediary applicants will
have a clear and detailed plan for evaluating the impact of their
investments and that one of the goals of these evaluation plans will be
to increase the number of programs over time that have moderate or
strong evidence of program effectiveness.
The Corporation will use the following definitions of impact and
evidence (these definitions are consistent with those used in the
Investing in Innovation fund at the Department of Education):
Strong impact means an impact with a substantial
likelihood of yielding a major change in life outcomes for individuals
or improvements in community standards of living. This definition will
vary with context. To give examples, a mentoring program that cut youth
crime by 2 percent over a given period would not have a strong impact,
but a program that cut such crime by 20 percent could. A program that
increases earnings by $50 per week for one month, and then fades out,
would not have a strong impact. A program that increased earnings by
this amount for a period of years would.
Strong evidence means evidence from previous studies whose
designs can support causal conclusions (i.e., studies with high
internal validity), and studies that in total include enough of the
range of participants and settings to support scaling up to the State,
regional, or national level (i.e., studies with high external
validity). The following are examples of strong evidence: (1) More than
one well-designed and well-implemented experimental study (as defined
in this Notice) or well-designed and well-implemented quasi-
experimental study (as defined in this Notice) that supports the
effectiveness of the practice, strategy, or program; or (2) one large,
well-designed and well-implemented randomized controlled, multisite
trial that supports the effectiveness of the practice, strategy, or
program.
Moderate evidence means evidence from previous studies
whose designs can support causal conclusions (i.e., studies with high
internal validity) but have limited generalizability (i.e., moderate
external validity), or studies with high external validity but moderate
internal validity. The following would constitute moderate evidence:
(1) At least one well-designed and well-implemented experimental or
quasi-experimental study supporting the effectiveness of the practice
strategy, or program, with small sample sizes or other conditions of
implementation or analysis that limit generalizability; (2) at
[[Page 68795]]
least one well-designed and well-implemented experimental or quasi-
experimental study that does not demonstrate equivalence between the
intervention and comparison groups at program entry but that has no
other major flaws related to internal validity; or (3) correlational
research with strong statistical controls for selection bias and for
discerning the influence of internal factors.
Preliminary evidence means evidence that is based on a
reasonable hypothesis supported by research findings. Thus, research
that has yielded promising results for either the program, or a similar
program, will constitute preliminary evidence, and will meet the
Corporation's criteria. Examples of research that meet the standards
include: (1) Outcome studies that track program participants through a
service `pipeline' and measure participants' responses at the end of
the program; and (2) pre- and post-test research that determines
whether participants have improved on an outcome of interest. In future
years, the Corporation may expand its standard for preliminary evidence
to include reasonable hypotheses that are based on theories of change.
Assessment of Subgrantee Evidence
Applicants should gauge whether each proposed subgrantee has
preliminary, moderate, or strong evidence of program effectiveness.
This determination should be fully substantiated, as appropriate, with:
A summary of recently completed evaluation(s) of the
subgrantees' programs. For subgrantees presenting preliminary evidence,
the evaluation(s) may be from a similar program, but must include a
justification for why the evaluation(s) are appropriate for the
subgrantees' program and demonstrate an understanding of the research
literature in this area(s).
Weblinks to recent reports (both published and
unpublished) from these studies. Links should be to full reports and
appendices; i.e., not executive summaries or journal articles.
Preferably, the reports will include design documentation.
Applicant's Track Record of Using Rigorous Evidence To Select, Invest
in, and Monitor the Grantees
Describe situations in which your organization has applied evidence
produced by rigorous evaluations in decision-making with respect to
specific programs at either the preliminary, moderate, or strong
levels.
Describe the process your organization uses to incorporate
evidence into the selection, investment, and monitoring of your
grantees.
Describe a specific example of how your organization has
used rigorous evidence to drive program improvement and/or increase the
base of evidence of what works.
Describe the study or studies that generated the evidence
(e.g., methodology), and the evidence that was derived from the
evaluation(s). Provide weblinks to recent report(s) (both published and
unpublished) from these studies. Links should be to full reports and
appendices; i.e., not executive summaries or journal articles.
Preferably, the reports will include design documentation.
C. Community Resources
The applicant's community resources will be assessed as described
in Part III. B. Match Sources.
D. Description of Activities
1. Subgranting
Application Review Criteria
Applicants must describe the process by which they have
competitively selected (or will competitively select) their community
organization subgrantees. Specifically, applicants must describe how
their competitive subgrantee selection process ensured (or will ensure)
that their subgrantees:
Is a nonprofit community organization with proven/
promising evidence and a demonstrated track record of achieving
specific outcomes related to the measurable outcomes for the SIF
intermediary;
Has articulated measurable outcomes for the use of the
subgrant funds that are connected to the measurable outcomes for the
intermediary;
Has a well-defined plan for replicating, expanding, or
supporting the initiatives funded, and will use the grant funds to
carry out that plan;
Has strong leadership and financial and management
systems;
Will meet the requirements for subgrantees providing
dollar-for-dollar matching funds and can sustain the initiatives after
the subgrant period concludes; and
Is committed to the use of data collection and evaluation
for improvement of the initiatives.
Either as part of its review of the application, or in
clarification reviews prior to award, the Corporation may request
additional information regarding pre-selected subgrantees for
compliance and appropriate outcomes.
For those applicants who propose to carryout a subgrant process
after they are selected for award, the Corporation will review the
results of the subgrant process for compliance and appropriate
outcomes.
Addressing the Review Criteria
Describe how your proposed subgrantees meet the stated
requirements.
Describe your approach to identifying and selecting
innovations with impact potential, and provide examples of the
effectiveness and transparency of that approach.
Describe your use of a rigorous selection process based on
evidence of impact.
Describe your relationships with and engagement of experts
and leaders in relevant domains to ensure quality identification and
selection of subgrantees.
2. Technical Assistance and Support
Application Review Criteria
Applicants must include in their application information describing
how they will provide technical assistance and support (other than
financial support) that will increase the ability of subgrantees to
achieve their measurable outcomes, including expansion or replication
of the identified solution. Expansion or replication may happen in
various ways (including, for example, creating new sites or affiliating
with another program to replicate an intervention) and in multiple
contexts, including serving more people in a current geography or,
growing to new geographies.
Addressing the Review Criteria
Describe your commitment to long-term relationships with
subgrantees; and your goal to take them ``from A to B.''
How will you help your subgrantees invest in program
effectiveness (appropriate to their respective organizational
lifestages)?
How will you provide resources and support to build
subgrantee capacity in key areas?
Describe your willingness to support your subgrantees in
achieving match requirements.
Describe your track record of using data to measure your
grantees' performance and holding grantees accountable for progress.
Part II. Organizational Capacity (35%)
A. Ability To Provide Program Oversight
Application Review Criteria
In evaluating your organization's ability to provide program
oversight, the Corporation will consider:
[[Page 68796]]
The extent to which your organization has a sound
structure including:
[cir] The ability to provide sound programmatic oversight,
including:
[squ] Experience with and capacity for evaluation, and
[squ] Experience with and capacity for supporting expansion or
replication;
[cir] Well-defined roles for your board of directors,
administrators, and staff;
[cir] A well-designed plan or systems for organizational (as
opposed to subgrantee) self-assessment and continuous improvement; and
[cir] The ability to provide and/or secure effective technical
assistance.
Whether your organization has a sound record of
accomplishment, including the extent to which you:
[cir] Have a track record of supporting organizations that
demonstrate evidence of impact;
[cir] Demonstrate leadership within the organization and strong
relationships within the communities served; and
[cir] Have a track-record of raising substantial resources, and,
if, you are an existing Federal grantee, you have secured the matching
resources as required in your prior grant awards.
The extent to which your community support recurs,
increases in scope or amount, and is more diverse, as evidenced by:
[cir] Collaborations that include a diverse spectrum of community
stakeholders;
[cir] A broad base of financial support, including local financial
and in-kind contributions; and
[cir] Supporters who represent a wide range of community
stakeholders.
Addressing the Review Criteria
Sound Organizational Structure
Ability to Provide Sound Programmatic Oversight:
[cir] Provide a brief history of your organization. What year was
your organization established? Describe your organization's experience
in the proposed areas of activity and your experience operating and
overseeing programs comparable to the ones proposed. Include specific
examples of your prior accomplishments and outcomes. Describe your
capacity to manage a Federal grant and to provide on site monitoring of
the financial and other systems required to administer a Federal grant.
[cir] Describe the types of evaluations the applicant has conducted
or sponsored, including the quality and selection of evaluators, the
study methodologies (including data collection and analysis), and the
reporting and release of the findings. Please provide weblinks to
recent reports (both published and unpublished) from these evaluations.
Links should be to full reports and appendices; i.e., not executive
summaries or journal articles. Preferably the reports will include
design documentation.
[cir] What are the procedures that you have in place to ensure that
the evaluations meet the optimum standards of technical quality and
independence?
[cir] How have you used and shared the results of evaluations (both
positive and negative findings) for program improvement?
[cir] Describe the range of replications that you have overseen or
sponsored.
[cir] Describe the kinds of resources (e.g., data systems; staff)
you have for expansion or replication.
[cir] Explain how you are able to support and oversee multiple
programs at different locations.
[cir] What are your current or previous programmatic relationships
with the programs?
[cir] Describe your plans for monitoring site compliance
programmatic requirements.
Board of Directors, Administrators, and Staff:
[cir] Describe your organization's management and staff structure
and how the board of directors, administrators, and staff members will
be used to support your program.
[cir] Identify the key program positions responsible for your
organization. Describe the relevant background and experience of all
staff members working on the project and their respective roles, or
your plans to recruit, select, train, and support additional staff, and
their roles.
Plan for Self-Assessment or Improvement:
[cir] How does your organization conduct ongoing internal
assessment and improvement of its overall--not program-specific--
systems, structure, staffing, and other capacities to ensure that it
remains sound and well managed?
B. Ability To Provide Fiscal Oversight
Eligibility Criteria
Entities eligible to apply for SIF grants include:
Existing grant-making institutions, or
Partnerships between an existing grant-making institution
and another grant-making institution, a State Commission, or the chief
executive officer of a unit of general local government.
Existing grantmaking institutions are organizations in existence at
the time of the application that have the following as part of their
core operating functions:
Conducting open or otherwise competitive programs to award
grants to a diverse portfolio of local community organizations,
Negotiating specific grant requirements with local
community organizations, and
Overseeing and monitoring the performance of its grantees.
Addressing the Eligibility Criteria
Describe your qualifications (as either a qualifying grantmaking
institution or partnership including at least one grantmaking
institution), as well as any strategic associations with other
organizations.
Application Review Criteria
In evaluating your organization's ability to provide fiscal
oversight, the Corporation will take into account its review of your
organization's organizational capacity. The Corporation will further
consider:
The extent to which your organization has key personnel
with the knowledge, skills, abilities and experience to provide fiscal
oversight of subgrantees; and
Whether your organization, or proposed strategic
partnership, has specific experience in providing fiscal oversight of
subgrantees of Federal funds.
Addressing the Review Criteria
Describe the experience and infrastructure your organization has in
managing grants.
What is your current organizational budget?
What percentage of the budget would this grant represent?
How will you ensure compliance with Federal requirements?
Part III. Cost Effectiveness and Budget Adequacy (20%)
A. Budget and Program Design
Application Review Criteria
In evaluating the cost-effectiveness and budget adequacy of your
proposed program, the Corporation will consider:
Whether your program is cost-effective based on:
[cir] The extent to which your program demonstrates diverse, non-
Federal resources for program implementation and sustainability;
[cir] The extent to which you are proposing to provide more than
the minimum required share of the costs of your program; and
[[Page 68797]]
[cir] Whether the reasonable and necessary costs of your program or
project are higher because you are proposing to serve areas that are
significantly philanthropically underserved.
Whether your budget is adequate to support your program
design.
Addressing the Application Review Criteria
Demonstrate how your program has or will obtain diverse
non-Federal resources for program implementation and sustainability.
Discuss the adequacy of your budget to support your
program design including how it is sufficient to support your program
activities and is linked to your desired outputs and outcomes.
B. Match Sources
Eligibility Criteria
At the time of submission of the application, applicants must
demonstrate either cash-on-hand or commitments (or a combination
thereof) toward meeting 50 percent of their first year matching funds,
based on the amount of Federal grant funds applied for.
Addressing the Eligibility Criteria
Applicants may demonstrate cash-on-hand by a statement from the
Chief Financial Officer or other officer that the organization has
established a reserve of otherwise uncommitted funds for the purposes
of performing a SIF grant. Applicants may demonstrate commitments by a
dated and signed letter from each donor/foundation, indicating the
amount of funds committed for the specific use of supporting the Social
Innovation Fund grant. Such a letter must contain a firm commitment to
provide the applicant the stated funding upon award of a SIF grant by
the Corporation. The Corporation's instructions on submitting
applications through eGrants will provide further guidance on how to
submit this documentation.
Application Review Criteria
In addition to the match eligibility criteria, the Corporation will
evaluate the extent to which you have a combination of cash-on-hand or
commitments to meet the full match requirements, and whether your
organization will be able to provide financial resources for your SIF
program beyond the minimum required match.
Addressing the Application Review Criteria
Include a discussion of the additional commitments you
plan to secure, and how you will secure them. In the budget, you must
list the sources of your match funds.
Describe the extent to which you propose to provide
matching funds in excess of the minimum requirement.
VI. Award Administration Information
A. Award Notices
The Corporation will award cooperative agreements following the
grant selection announcement. We anticipate announcing the results of
this competition in Summer 2010. The government is not obligated to
make any award as a result of this Notice.
B. Administrative and National Policy Requirements
The Notice of Grant Award (NGA) will be subject to and incorporate
the requirements of section 198k of the National and Community Service
Act of 1990, as well as other applicable sections of the Act. The NGA
will also incorporate the approved application and budget as part of
the binding commitments under any award.
Awardees will be subject to the following (as applicable):
2 CFR Part 175--Award term for trafficking in persons
2 CFR Parts 180 and 2200--Nonprocurement Debarment and Suspension
2 CFR Part 215 and 45 CFR Part 2543--Uniform Administrative
Requirements for Grants and Agreements with Institutions of Higher
Education, Hospitals, and Other Non-Profit Organizations (OMB Circular
A-110)
2 CFR Part 220--Cost Principles for Educational Institutions (OMB
Circular A-21)
2 CFR Part 225--Cost Principles for State, Local and Tribal Governments
(OMB Circular A-87)
2 CFR Part 230--Cost Principles for Non-Profit Organizations (OMB
Circular A-122)
45 CFR Part 2541--Uniform Administrative Requirements for Grants and
Cooperative Agreements to State and Local Governments
45 CFR Part 2545--Governmentwide Requirements for Drug-Free Workplace
(Financial Assistance)
45 CFR Part 2555--Nondiscrimination on The Basis of Sex in Education
Programs or Activities Receiving Federal Financial Assistance
The Single Audit Act (31 U.S.C. Chapter 75) and OMB Circular A-133,
Audits of States, Local Governments, and Non-Profit Organizations
(Available at: http://www.whitehouse.gov/omb/assets/omb/circulars/a133/a133.pdf.)
The award recipient must comply with the following requirements:
Use of Materials
To ensure that materials generated with Corporation funding are
available to the public and readily accessible to grantees and sub-
grantees, the Corporation reserves a royalty-free, nonexclusive, and
irrevocable right to obtain, use, modify, reproduce, publish, or
disseminate publications and materials produced under the award,
including data, and to authorize others to do so.
Limitation on Consultant Fees
Funds may not be used to pay or to provide reimbursements for
payment of the salary of a consultant at more than the daily equivalent
rate of $540.00.
C. Reporting Requirements
What are the reporting requirements for these grants?
The award recipient for this competition must identify the critical
outcomes of the work, indicators of success in this work, and how
progress can be judged or measured. The recipient will be required to
report semi-annually on agreed upon performance measures. Specific
guidance on the collection of data against these standardized measures
will be provided upon award. The Corporation may also require an
independent assessment of grantee performance. In addition, the
Corporation expects intermediaries to hold subgrantees accountable for
their progress against agreed-upon indicators of success. The
intermediaries will be asked to report subgrantee performance
information to the Corporation.
Performance Progress Reports (PPR)
A semi-annual narrative progress report is submitted using the
Corporation's web-based grants management system, eGrants, no later
than 30 days after the close of each reporting period. The report will
include:
Budget report for the completed budget period.
Narrative analysis of the budget report, explaining
differences between budgeted and actual activities and costs by funding
source.
Progress towards performance goals and any supporting data
and methodology.
Analysis of sub-application progress and performance
measures.
Discussion of any problems observed or experienced and
recommended solutions.
[[Page 68798]]
Federal Financial Reports
Federal Financial Reports (FFRs) must be submitted semi-annually.
The reports are cumulative and must be submitted on the Corporation's
Web-based grants management system, eGrants, no later than 30 days
after the close of each reporting period.
Final Reports
In addition to submission of required semi-annual reports, the
award recipient completing an agreement period will be required to
submit a final report that is cumulative over the entire award period
and consistent with the close-out requirements of the Corporation's
Office of Grants Management. The final report is due 90 days after the
end of the agreement.
In lieu of the last semi-annual FFR, a final FFR must also be
submitted. The final FFR is due 90 days after the end of the agreement.
Other Data-collection Requirements
The Corporation will require SIF grantees to develop final,
detailed plans for evaluation of subgrantees that address key
questions, such as the following:
What are the specific questions the evaluation(s) intends
to answer?
For grantees proposing an impact study, what type of
research design (e.g., randomized control trial, quasi-experimental) do
you hope to conduct? Why is this evaluation design appropriate for the
subgrantees' stage of development, and what useful information do you
hope to gain?
What is the timeline and estimated budget for the
evaluation?
Please describe who will conduct the evaluations, and the
process you will employ to maintain independence, objectivity, and high
quality reports.
The award recipient must:
Identify and document effective practices.
Meet as necessary with the cognizant program officer, or
other staff or consultants.
VII. Agency Contacts
This Notice is available at http://www.nationalservice.gov/pdf/09_1218_sif_nofadraft.pdf. The TTY number is 202-606-3472. For further
information or for a printed copy of this Notice, call (202) 606-6745.
Or send an e-mail to [email protected].
VIII. Other Information
A. For additional information on the Edward M. Kennedy Serve
America Act, go to: http://www.nationalservice.gov/pdf/09_0331_recovery_summary.pdf.
B. Public Burden Statement: The Paperwork Reduction Act of 1995
requires the Corporation to inform all potential persons who are to
respond to this collection of information that such persons are not
required to respond unless it displays a currently valid OMB control
number. (See 5 CFR 1320.5(b)(2)(i)). This collection is approved under
OMB Control : 3045-0129 (CNCS Universal Application,
Expiration Date: 11/30/2011).
Dated: December 22, 2009.
Kristin McSwain,
Chief of Program Operations.
[FR Doc. E9-30807 Filed 12-28-09; 8:45 am]
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