[Federal Register Volume 75, Number 249 (Wednesday, December 29, 2010)]
[Notices]
[Pages 81979-81993]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 2010-32789]
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CORPORATION FOR NATIONAL AND COMMUNITY SERVICE
Proposed Notice of Funding Opportunity (NOFO) for Social
Innovation Fund 2011 Awards; Request for Feedback
AGENCY: Corporation for National and Community Service (the
Corporation).
ACTION: Request for Feedback on the Corporation's Fiscal Year (FY) 2011
Notice of Funding Opportunity (NOFO) for Social Innovation Fund Awards.
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SUMMARY: The Corporation for National and Community Service (CNCS) is
releasing a draft of the Notice of Funding Opportunity (NOFO) for the
2011 Social Innovation Fund competition. This release will initiate a
public input period that will extend until January 21, 2011.
The Social Innovation Fund is an innovative program that awards
grants to and works with existing grantmaking institutions, referred to
in the Notice as ``intermediaries,'' to direct resources to innovative
community-based nonprofit organizations that will identify and grow
promising programs with
[[Page 81980]]
preliminary evidence of effectiveness. These programs will address
challenges facing local communities in three priority issue areas:
Youth Development;
Economic Opportunity; and
Healthy Futures
This public input process reinforces the commitment of CNCS to
maintain the high standard of transparency and openness the Social
Innovation Fund demonstrated in its initial year (2010). An open
process is also critical to ensure that, moving forward, the Social
Innovation Fund is able to select the high quality of grantees required
to advance its mission--significantly and sustainably improving the
lives of people in low-income communities throughout the U.S.
CNCS has built on the lessons from the 2010 Social Innovation Fund
competition, and is proposing several changes from last year's process
that are reflected in the draft 2011 document:
The Social Innovation Fund is taking additional steps
towards transparency consistent with CNCS's commitment to transparency.
The NOFO indicates that CNCS plans to release the names and executive
summaries of all applications considered for funding, the names of all
expert reviewers, and the reviewer comments for all selected grantees.
The public comment period will allow us to gauge the sector's thoughts
on this issue.
To expand the number of intermediaries able to participate
in the Social Innovation Fund, we have decreased the maximum dollar
amount for which intermediaries can apply from $10 million to $7
million. The minimum level will remain at $1 million.
To stimulate the identification of additional high-impact
community-based organizations throughout the U.S., intermediaries will
not be permitted to include pre-selected subgrantees in their
applications. All intermediary applicants will select all of their
subgrantees through open, competitive processes initiated after receipt
of their award.
CNCS has streamlined and clarified the overall content of
the NOFO to make it easier for organizations to apply. Particularly we
have clarified the eligibility criteria, consolidated guidelines for
narrative content, and added information about the review process.
CNCS is soliciting public input on the proposed Social Innovation
Fund NOFO. As appropriate, the feedback received will be taken into
account in the final NOFA. (CNCS will not provide individual responses
to feedback received.)
DATES: Feedback Due Date: January 21, 2011.
ADDRESSES: You may submit feedback by any of the following methods:
(1) Electronically through the Corporation's e-mail address system:
[email protected].
(2) By mail sent to: Corporation for National and Community
Service, Attention: Kirsten Breckinridge, Room 10708A; 1201 New York
Avenue, NW., Washington, DC 20525.
(3) 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.
(4) By fax to: (202) 606-3466, Attention: Kirsten Breckinridge, SIF
Docket Manager.
FOR FURTHER INFORMATION CONTACT: Questions regarding specific SIF
program requirements should be directed to Kirsten Breckinridge by e-
mail at [email protected]. Persons with hearing or speech impairments
may contact CNCS 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 3045-0129.
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. CNCS is specifically seeking feedback on the changes that have
been made to the 2011 Social Innovation Fund Notice of Funding
Opportunity that are intended to clarify the Social Innovation Fund
transparency practices, as well as the review and selection processes
from the 2010 NOFA. We also welcome feedback on changes to the Notice
format.
CNCS is specifically inviting feedback on the outlined
transparency practices and description of the review and selection
process. CNCS is interested in whether the process and policies
outlined reflect our intention to make public the processes behind
grant selection and if not, how they can be changed to do so.
The Corporation has changed two policies within the 2010
Notice regarding the allowability of pre-selected subgrantees and the
range of grant award that may be requested by an applicant. The
Corporation is interested in public feedback on these two changes and
the implications for potential applicant programming.
The format of the Notice of Funding Opportunity has been
changed from the 2010 NOFO to provide streamlined application narrative
instructions and to more clearly delineate the eligibility criteria and
the selection criteria. These changes are mostly contained within
sections II, IV, and V. The Corporation is specifically inviting
feedback on whether these changes improve the clarity of the
eligibility and review criteria and whether the narrative instructions
are clearly laid forth.
2. Application materials. The NOFA and application materials will
be available for download via the Corporation's Web site at http://www.nationalservice.gov/about/programs/innovation.asp.
Full Text of Announcement
Overview
This Notice of Funding Opportunity (Notice) announces the
opportunity (pending the availability of appropriations) to apply for
fiscal year 2011 awards from the Social Innovation Fund. The Social
Innovation Fund is administered by the Corporation for National and
Community Service (CNCS), whose mission is to improve lives, strengthen
communities, and foster civic participation through service and
volunteering. As the nation's largest grantmaker for service and
volunteering, CNCS plays a critical role in building the capacity of
America's nonprofit sector and expanding the reach and impact of
volunteers in addressing pressing community challenges. Last fiscal
year, CNCS engaged an estimated 5.5 million Americans in service, the
largest total in its history. CNCS's core programs are AmeriCorps,
Learn and Serve America and Senior Corps.
Created by the Edward M. Kennedy Serve America Act of 2009, the
Social Innovation Fund is itself an innovative program that awards
grants to and works with existing grantmaking institutions, referred to
in this Notice as ``intermediaries,'' to direct resources to innovative
community-based nonprofit
[[Page 81981]]
organizations to identify, validate, and grow promising approaches to
challenges facing local communities in three priority issue areas:
Youth Development;
Economic Opportunity; and
Healthy Futures
The true innovation behind the Social Innovation Fund stems from
the combination of three major elements: (1) Its focus on developing,
strengthening, and then replicating and expanding community solutions
that deliver results, (2) its operating model, which represents a new
way of doing business for the Federal government, and (3) its support
of supplementary initiatives intended to leverage the grant program and
benefit the broader social innovation field.
With respect to validating and growing promising approaches, the
Social Innovation Fund embraces a belief that many compelling solutions
to the persistent problems of low-income communities have already been
developed and successfully implemented, albeit on a limited scale, by
social entrepreneurs and nonprofit organizations working in those very
communities, who have a deep understanding of the problems and bring
passion and fresh, practical thinking to the challenge of solving them.
Accordingly, the Social Innovation Fund aims to identify those
community-based organizations with the greatest potential for
generating increased impact, help them strengthen their evidence base,
and proactively support the growth of their work in order to
significantly improve the lives of more people in more low-income
communities.
With respect to its operating model, the Social Innovation Fund's
approach to investing in promising community solutions is characterized
by several elements that are explicitly designed to increase the
effectiveness and sustainability of the program's work while maximizing
the impact generated per unit of public money invested. These elements
include: (1) Reliance on intermediaries with strong skills and track
records of success to do the critical work of selecting, validating,
and growing high-impact nonprofit organizations; (2) requirements that
each Federal dollar granted by the Social Innovation Fund be matched
1:1 by the grantees and again by subgrantees with money from private
and other non-Federal sources, (3) strict accountability for the
achievement of impact and outcomes rather than for activities and
outputs; and (4) requirements for systematic evaluation of program
performance and results at all three critical levels: the service-
providing nonprofit organizations, the intermediaries and the Social
Innovation Fund itself.
Last year, the Social Innovation Fund competitively selected 11
intermediaries with exemplary track records of success at identifying,
supporting and growing promising approaches to critical community
challenges. To learn more about last year's grantees and to read their
full applications to CNCS, please visit: http://www.nationalservice.gov/about/programs/innovation.asp.
CNCS embraces the Obama Administration's emphasis on open
government and is moving toward greater openness and transparency in
grantmaking. Last year, the Social Innovation fund took an
unprecedented step in this direction by making available the names of
expert reviewers, the names of applicants who were considered for
funding, and the full applications and review comments for the selected
grantees.
For the 2011 Social Innovation Fund competition, CNCS has described
the application review process stage by stage (see section V of this
Notice). The following information will be provided to the public
(except for any information which is clearly protected by law) within
90 days of announcing the selected grantees:
Names of expert reviewers.
List of all applicants considered for funding.
Executive summaries of all applications considered for
funding.
The applications of selected grantees.
External reviewer comments for the selected grantees.
I. Funding Opportunity Description
A. What is the purpose of the Social Innovation Fund?
The purpose of the Social Innovation Fund is to improve the lives
of people in low-income communities throughout the United States by
increasing the impact and scale of innovative community-based
approaches that deliver results in three critical areas, youth
development, economic opportunity and healthy futures. To this end, the
Social Innovation Fund is a vehicle to: (1) Promote public and private
investment in community-based nonprofit organizations with promising
approaches to critical challenges to validate their impact and
replicate and expand to serve more communities (2) through the use of
appropriate evidence, identify additional effective approaches to
addressing critical community challenges and broadly share this
knowledge; and (3) develop the grantmaking infrastructure necessary to
support the work of social innovation in communities across the
country.
As relates to the Social Innovation Fund, ``social innovation'' is
understood to be the development and eventual scaling of promising and
potentially transformative community-based approaches that solve
critical problems. An approach is ``transformative'' if it not only
produces strong impact (as defined in this Notice), but also (1) has
the potential to affect how the same challenge is addressed in other
communities, (2) addresses more than one critical community challenge
concurrently, or (3) produces significant cost savings through gains in
efficiency.
Although the practice of social innovation requires the invention
and testing of new ideas, the Social Innovation Fund is not intended to
fulfill this role, for two reasons: First, the nonprofit marketplace
offers sources of funding for that stage of development; and, second,
the Social Innovation Fund believes that public funds are most
appropriately and responsibly used for programs with a higher
probability of success. Consequently, the Social Innovation Fund
focuses primarily on ``promising'' approaches. These approaches may be
relatively new or have limited current market penetration, but they
will have a body of operational experience and at least preliminary
evidence of effectiveness, as defined in this Notice.
B. How does the Social Innovation Fund program work?
In FY 2011, CNCS will award a limited number of Social Innovation
Fund grants to outstanding grantmaking institutions, referred to in
this Notice as ``intermediaries.'' These intermediaries will match
every Federal dollar of the grant award in cash. They will then
identify and invest at least 80% of their Federal funds (plus
identified cash matching funds) in portfolios of promising community-
based nonprofit organizations (subgrantees) working in low-income
communities in one or more of the following issue areas:
Youth Development--Preparing America's youth for success
in school, active citizenship, productive work, and healthy and safe
lives.
Economic Opportunity--Increasing economic opportunities
for economically disadvantaged individuals.
Healthy Futures--Promoting healthy lifestyles and reducing
the risk factors that can lead to illness.
Subgrantees will also match every dollar of their awards in cash
and will
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utilize CNCS funding to produce measurable outcomes within a specific
issue area and geographic area, evaluate their effectiveness and
replicate and expand to serve more individuals. Throughout this
process, subgrantees will be supported and monitored by the
intermediaries, who will remain accountable to CNCS for the achievement
of the intended results set forth in their proposals.
Successful intermediary applicants in this funding competition will
have:
A track record of using rigorous evidence to select,
invest in, validate, support, and monitor the replication and expansion
of their subgrantees;
The capacity to conduct a competitive process for
selecting innovative nonprofit community organizations with effective
and potentially transformative approaches;
Expertise in one or more of the issue areas; and
Deep and broad relationships with stakeholders in one or
more priority issue areas and/or specific geographic regions.
This Notice provides full details on how applicants must address
these and other factors in submitting their applications.
C. What is the match requirement for this competition?
Social Innovation Fund grantees will match the Federal funds
received, dollar-for-dollar, in cash. For FY 2011, Social Innovation
Fund applicants must demonstrate the ability to meet 50 percent of
their cash match requirement at the time of the application.
Subgrantees will be required to provide the same match (dollar-for-
dollar, in cash) for every dollar received.
D. How does CNCS define ``low-income communities''?
As specified in section 198K of the National and Community Service
Act of 1990 (``the Act''), Social Innovation Fund 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 200
percent or less of the applicable Federal poverty guideline, or
Either a population of individuals or households, or a
specific local geographic area, with specific measurable indicators
that correlate to low-income status, such as, but not exclusive to,
long-term unemployment, risk of homelessness, low school achievement,
persistent hunger, or serious mental illness. An application that
proposes to rely on measurable indicators should fully describe the
basis for relying upon those indicators (including citations to
appropriate studies). The application must also describe and cite the
source of data supporting the conclusion that the targeted community
meets the indicators.
E. How does the CNCS define which communities are ``significantly
philanthropically underserved''?
In making its final award determinations under this Notice, section
198K(h)(2) of the Act requires CNCS to include, among award recipients,
eligible applicants that propose to provide subgrants to nonprofit
community organizations that will serve ``significantly
philanthropically underserved'' communities. For purposes of this FY
2011 Notice, CNCS will consider applicants serving 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 4 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/.
F. What is the subgranting process and what are requirements?
As discussed above, this Notice seeks applications for
organizations to act as intermediaries. By statute, intermediaries must
select subgrantees on a competitive basis. The primary functions of
Social Innovation Fund awardees will be to conduct competitive subgrant
competitions and administer those subgrants as required by the Act,
this Notice, and the terms and conditions of the final awards.
Competitive subgrant competitions must be completed within six
months of the grant award. CNCS may review the results of subgrant
processes for compliance and appropriate outcomes.
Subgrants are to be made in annual amounts of $100,000 or more, per
year, for a period between three and five years. For the FY 2011 Social
Innovation Fund competition, CNCS anticipates Social Innovation Fund
intermediaries awarding larger subgrants to programs that show the
higher levels of impact and effectiveness, as defined below. 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
Social Innovation Fund subgrant.
In order to maximize the impact of the Social Innovation Fund and
ensure a diverse array of innovative grantees across the Federal
government, intermediary applicants should direct Social Innovation
Fund funds toward innovations that will not receive grants for the same
activities from other Federal innovation funds (e.g., ``Investing in
Innovation'' at the Federal Department of Education). Final Social
Innovation Fund award decisions may take into consideration the
outcomes of other Federal competitions.
G. What constitutes a ``competitive subgrant competition''?
As described in this Notice, Social Innovation Fund intermediaries
must select their subgrantees through an open and competitive process.
Applicants should clearly describe their plan for subgranting in their
application narrative and will want to include the characteristics
described below.
To ensure that the competition is open, Intermediaries should
provide sufficient public notice of the availability of Social
Innovation Fund subgrants to eligible nonprofit community
organizations. Intermediaries will also want to ensure that the
following information is available to all potential applicants:
What organizations are eligible for funding;
How to obtain and submit an application;
The criteria (including appropriate subcriteria) that will
be considered in reviewing applications; and
Any relative percentages, weights, or other means used to
distinguish among the criteria.
In their application, intermediaries should also describe how their
review process will ensure applications are reviewed in a manner
consistent with the established criteria and how they will ensure the
process is free from any actual conflicts of interest or the reasonable
perception of any such conflict.
H. What emphasis does the Social Innovation Fund place on evidence of
effectiveness?
CNCS is committed to using the resources available to encourage
public and private investment in a portfolio of approaches with the
potential to produce transformative results.
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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, CNCS recognizes
that in many fields, and in many parts of the country, such evidence is
not available. In those cases, CNCS is committed to funding promising
efforts that will build on the existing base of evidence and grow our
evidence about what works, improve programs, and inform future
investments. All selected subgrantees will be required to have at least
``preliminary'' evidence of their impact and effectiveness.
The Social Innovation Fund will support the use of evidence in
several ways. First, the Social Innovation Fund will prioritize
intermediaries that have a track record of using evidence (see Section
V) to select and invest in their subgrantees. Second, the Social
Innovation Fund will require the use of data and evaluation tools by
both intermediaries and subgrantees to validate their effectiveness and
support the replication and expansion of their programs. Third, the
Social Innovation Fund will evaluate the efforts of intermediaries and
their subgrantees to achieve measurable outcomes. Fourth, the Social
Innovation Fund will require that intermediaries put in place plans for
all subgrantees to achieve at least moderate levels of evidence.
I. What definitions of impact and evidence will the Social Innovation
Fund use?
As mentioned above, successful applicants should demonstrate a
history of using evidence of effectiveness to select and invest in
their subgrantees and should propose a clear and detailed plan for
validating the effectiveness of promising programs and evaluating the
impact of their investments in replicating and expanding programs. One
of the goals of these evaluation plans should be to increase the number
of programs over time that have moderate or strong evidence of program
effectiveness.
CNCS will use the following definitions of impact and evidence
(these definitions are consistent with those used in the Investing in
Innovation fund at the Federal 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 two 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 or well-
designed and well-implemented quasi-experimental study 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 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 CNCS'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,
CNCS may expand its standard for preliminary evidence to include
reasonable hypotheses that are based on theories of change.
II. Award Information
A. How much funding is available?
Subject to the availability of appropriations for FY 2011, CNCS
anticipates awarding up to $XX million to approximately five to ten new
Social Innovation Fund intermediary organizations. Based on recent
experience and expressions of interest, CNCS anticipates that this
Social Innovation Fund grant competition will be highly competitive.
B. What is the award amount?
For the FY 2011 Social Innovation Fund award competition, CNCS
expects to make annual awards in the range of $1 million to $7 million.
CNCS expects to make larger grants to those intermediary organizations
with a track record of supporting subgrantees with strong evidence and
impact (as described in Section V of this Notice) and the capacity to
support replication or expansion.
C. What is the award period?
The award period is up to five years, with funding provided in
annual increments, subject to availability of annual appropriations.
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 sufficient matching funds.
III. Eligibility Information
A. What are the eligibility criteria?
This competition is open to all entities that meet the following
compliance and eligibility criteria. Receipt of previous funding from
CNCS or other Federal agencies is not a prerequisite to applying under
this Notice.
In order to be compliant and eligible for review, an applicant
must:
1. Meet specific compliance requirements including:
Include a budget that reflects a Federal share of between
$1 million and $7 million;
Include a budget that reflects a plan to distribute at
least 80 percent of awarded Federal funds to subgrantees;
Submit application in a timely manner as provided in this
Notice;
Submit an application that is complete, in that it
contains all required
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elements and follows the instructions provided in this Notice.
2. Demonstrate either cash-on-hand or commitments (or a combination
thereof) toward meeting 50 percent of the required first year matching
funds, based on the amount of grant funds requested.
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. For example, a
request of $1 million needs to be accompanied by documentation of
having $500,000 in cash on-hand or commitments at the time of
application. Instructions for how to provide documentation of match are
provided in section IV.
In order to be eligible for award, an applicant must:
1. Be an existing grantmaking institution or an eligible
partnership;
Existing grantmaking institutions are organizations in existence at
the time of the application, which invest in nonprofit community
organizations or programs as an essential (rather than collateral)
means of fulfilling their mission and vision.
In keeping with this view, grantmaking institutions will generally
have the following as part of their core operating functions:
Conducting open or otherwise competitive programs to award
grants to or make investments in a diverse portfolio of nonprofit
community organizations;
Negotiating specific grant requirements with nonprofit
community organizations; and
Overseeing and monitoring the performance of grantees.
An eligible partnership is a formal relationship between an
existing grantmaking institution (as defined above) and either an
additional grantmaking institution, a State Commission on National and
Community Service (State Commission), or a chief executive officer of a
unit of general local government where the partner organizations will
share responsibilities under the award. In a cooperative agreement with
a partnership, CNCS would expect to be dealing with each partner
organization with some degree of independence concerning their
collective responsibilities. For example, a partnership could include
one organization that handles all aspects of a Social Innovation Fund
program related to evaluation, while another organization handles all
aspects related to finances and grant administration.
Other collaborations (which may be similar to consultant or
contractor arrangements), where an organization obtains access to
needed competencies, but remains fully responsible for performance of
the cooperative agreement, will not be treated as partnerships for
purposes of determining eligibility. Please see the description of
successful 2010 Social Innovation Fund grantees for examples of
existing grantmaking institutions and eligible partnerships.
2. Declare its status as either a geographically-based or issue-
based Social Innovation Fund that will focus on improving measurable
outcomes;
CNCS asks applicants to use a thematic approach in describing their
proposed investments in community organizations. As established in
section 198K of the Act, there are two basic operational models of
Social Innovation Fund intermediaries. The first is a Social Innovation
Fund that will operate in a single geographic location, and address one
or more priority issues within that location. This model is referred to
as a ``geographically-based Social Innovation Fund.'' The second model
is a Social Innovation Fund that will address a single priority issue
area in multiple geographic locations. This model is referred to as an
``issue-based Social Innovation Fund.'' CNCS will assess whether the
application properly proposes goals and objectives as either a
geographically-based or an issue-based Social Innovation Fund.
Geographically-Based Social Innovation Fund
To apply as a geographically-based Social Innovation Fund, the
applicant must propose to focus on serving low-income communities
within a specific local geographic area, and propose to focus on
improving measurable outcomes related to one or more of the following
priority issue areas:
Youth Development.
Economic Opportunity.
Healthy Futures.
Issue-Based Social Innovation Fund
To apply as an issue-based Social Innovation Fund, the applicant
must propose to focus on addressing one of the following priority issue
areas within multiple low-income communities:
Youth Development.
Economic Opportunity.
Healthy Futures.
3. Have a track record of using evidence to select, invest in,
validate, and support the replication and expansion of grantees.
Applicants must include information in their application that
describes their track record of using evidence, data, and evaluation
tools to:
Select and invest in subgrantees;
Validate the effectiveness of subgrantees;
Support, monitor, and evaluate the replication and
expansion of subgrantees; and
Achieve measurable outcomes.
4. Have a clearly-articulated plan to:
Select, replicate and expand subgrantees that have been
shown to have at least preliminary evidence of effectiveness; and
Collaborate with a research organization to undertake
rigorous evaluations to move subgrantees to at least moderate levels of
evidence.
5. Have appropriate policies on conflicts of interest, self-
dealing, and other improper practices.
Applicants must explain within the Program Design section of their
application how they have, or will, put measures in place that will
prevent conflict of interest, opportunities for self-dealing, and other
improper practices from occurring, specifically during the competitive
subgrant selection process.
B. How will eligibility criteria be applied?
CNCS will conduct a compliance review of applications to determine
whether they meet the compliance criteria listed above. Applications'
executive summaries will then be screened through an initial
eligibility review which will confirm whether the applicant meets
eligibility criteria 1 and 2 listed above. The compliance and initial
eligibility reviews will not involve reading the entire application.
Any application that does not meet each of these four initial criteria
will be considered nonresponsive to this Notice and will not be further
reviewed.
The remaining applications will be reviewed as described in this
Notice. The review will include an evaluation of the final three
eligibility criteria above as part of the overall review process. In
addition, and as necessary, CNCS will further evaluate an applicant
during clarifying discussions (and possible site visits) with
applicants. CNCS also anticipates conducting due diligence reviews to
assess or confirm information or assurances provided by applicants. As
part of these application reviews, further discussions and any due
diligence reviews, CNCS may conclude that an application does not meet
one or more of the eligibility criteria listed above, in which case the
application will be considered
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nonresponsive and will not be further considered.
C. Can existing social innovation fund grantees apply under this
Notice?
Existing Social Innovation Fund grantees may apply under this
Notice, but their application must seek funding for a program that is
distinct from the program currently being funded. An application to
expand a current Social Innovation Fund supported program into
different geographical areas will not be considered an application for
a distinct program.
IV. Application and Submission Information
This section is divided into two parts. The first part explains
when and how applications should be submitted. The second part provides
explicit guidance for the application narratives that must be submitted
as a part of an application.
Part 1. Application Submission Information
A. When are applications due?
Applications are due no later than 5 p.m. ET on XXXX. Applications
must arrive at CNCS by the deadline in order to be considered.
B. Where can I request application information?
This Notice may be found on CNCS's Web site: http://www.nationalservice.gov/about/programs/innovation.asp.
C. What is a DUNS number and is it required?
The Dun and Bradstreet Data Universal Numbering System (DUNS)
number is an identifier that helps the Federal government improve
statistical reports on Federal grants and cooperative agreements.
Applications must include a DUNS number on the Application for Federal
Assistance (Standard Form 424). The DUNS number does not replace your
Employer Identification Number. DUNS numbers may be obtained at no cost
by calling the DUNS number request line at (866) 705-5711, or by
applying online at http://www.dnb.com.
The Web site indicates a 24-hour e-mail turnaround time on requests
for DUNS numbers. However, we suggest registering at least 30 days in
advance of the application due date. Expedited DUNS numbers may be
obtained by telephone at a cost of $99 by calling the DUNS number
request line. Applications without DUNS numbers or with invalid DUNS
numbers will be rejected. A DUNS number is required to apply for this
funding opportunity.
D. How do I submit an application?
CNCS requires that all applicants submit their applications
electronically via CNCS's Web-based application system, eGrants.
Applications must arrive at CNCS by XXXX at 5 p.m. ET in order to
be considered. CNCS reserves the right to extend the submission
deadline. Any notice of such extended deadline will be posted in
eGrants.
We recommend that applicants create an eGrants account and begin
the application at least three weeks before the deadline and begin
pasting your application into eGrants no later than ten days before the
deadline. Applicants should draft the application as a word processing
document, then copy and paste the document into eGrants no later than
10 days before the deadline.
Contact the eGrants Help Desk at 888-677-7849 or e-mail
[email protected] if a problem arises while creating an account,
preparing, or submitting an application. Be prepared to provide your
application ID and organization's name. eGrants Help Desk hours are 8
p.m. ET Monday through Friday.
If technical issues are preventing you from submitting your
application in eGrants by the deadline, please contact the eGrants Help
Desk prior the deadline to explain the technical issue and receive a
ticket number. If the issue cannot be resolved by the deadline, the
applicant must continue working with the eGrants Help Desk to submit
via eGrants.
E. Will late applications be considered?
CNCS may consider an application after the deadline, but only if
the applicant submits a letter explaining the extenuating circumstance
which caused the delay. The letter must be sent to
[email protected] within the 24-hour period following the
deadline. Late applications are evaluated on a case-by-case basis.
If extenuating circumstances make the use of eGrants impossible,
applicants may send a hard copy of the application to the address below
in Section VI, Agency Contacts, via overnight carrier. Please use a
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. Hard copy applications
must include a cover letter detailing the circumstances that make it
impossible to submit via e-Grants.
Do not submit supplementary materials such as videos, brochures,
letters of support, or any other item not requested in this Notice.
CNCS will not review or return them.
F. How is an application created in eGrants?
If you need help establishing a new organization account in
eGrants, or a new user account for an existing organization account,
please refer to the eGrants Help Desk Web site: http://www.nationalservice.gov/egrants/help.asp.
After you create your eGrants account, begin by selecting ``New''
under the Creating an Application heading on your Home Page. Select
``Other'' as the Program Area and click ``Go.'' You will then be asked
to select a NOFA. Choose: Social Innovation Fund 2011. Once you create
an application, you will be allowed to edit as needed until you are
ready to submit.
Do not use the New button again as this will start a brand new
application. Once you have initiated an application, it will be listed
in the View My Grants/Applications section of the homepage under the
status: Grantee Edit of Application or Report. If you exit and then
return to eGrants and wish to continue entering or editing your
application, please open your saved version by selecting View My
Grants/Applications in the status Grantee Edit of Application or
Report.
G. What must be included in an application?
This Notice contains all application instructions and is available
at http://www.nationalservice.gov/about/programs/innovation.asp.
The application must provide a well-designed plan with a clear and
compelling justification for awarding the requested funds. Guidance for
completing the narrative sections is provided below. In evaluating your
application, reviewers will assess the narrative on the basis of your
program design, organizational capacity, and budget adequacy/cost
effectiveness.
Application Instructions are formatted to correspond to fields in
eGrants and clarified through this Notice.
The completed application will consist of the following components,
described in detail below:
1. Standard Form 424 (SF-424) Facesheet
2. Narratives (OMB Control 3045-0129, Expiration Date 11/
30/2011)
Executive Summary.
Program Design.
Organizational Capacity.
Cost-Effectiveness and Budget Adequacy.
3. Standard Form 424A Budget
4. Authorization, Assurances, and Certifications
[[Page 81986]]
5. Survey on Ensuring Equal Opportunity (Optional; OMB
Control 1894-0010, Expiration Date 5/31/2012)
1. Standard Form 424 Facesheet
The Standard Form-424 Facesheet is required for applications
submitted for Federal assistance. The SF-424 contents are duplicated in
eGrants, although the format is different.
Please note that the SF-424 is automatically generated by
completing the data elements in the eGrants system. When completing the
application in eGrants, many of the fields will be populated with
information entered during the organization's registration process.
Applicant Info
Please note that the Authorized Representative name is blank. You
cannot select a name for this field. Instead, the Authorized
Representative will need to have his/her own account to click on the
Assurances and Certifications at the end of the application.
(Attachment A)
Under Project Information select, ``Enter New'' and choose a title
for the proposed project. It is possible to enter another address for
the project, which may or not be the same as that of the Legal
Applicant.
Select a Project Initiative: Choose the operational model which
best describes your Social Innovation Fund application from the
following options:
SIF--Geographic Healthy Futures.
SIF--Geographic Opportunity.
SIF--Geographic Youth.
SIF--Geographic Multiple Issues.
SIF--Issue Area Healthy Futures.
SIF--Issue Area Opportunity.
SIF--Issue Area Youth.
To select an individual as the Project Director, choose a name from
the pull-down menu or add a new contact.
Application Info
Areas affected by the project: List only the largest political or
municipal entities affected (e.g., counties and cities).
Enter the dates for the proposed project start and end dates. Your
project period is up to five years and must begin no later than
September 30, 2011.
Intergovernmental Review of Federal Programs: This program is NOT
subject to Executive Order 12372.
Delinquent on any Federal debt: Check the appropriate box. This
question applies to the applicant organization, not the person who
signs as the authorized representative. Categories of debt include
delinquent audit allowances, loans, and taxes. If Yes, type your
explanation in the text box provided.
State Application Identifier: Enter N/A.
Note: Falsification or concealment of a material fact or
submission of false, fictitious or fraudulent statements or
representations to any department or agency of the United States.
Government may result in a fine or imprisonment for not more than
five (5) years, or both. (18 U.S.C. 1001).
2. Narrative Section
The application narrative comprises four separate sections. Content
guidelines for each of these narrative sections, including character
limits and content requirements, are provided later in this section of
the Notice. The four sections include:
1. Executive Summary
2. Program Design
A. Goals and Objectives
B. Description of Activities
C. Use of Evidence
D. Community Resources
3. Organizational Capacity
A. Ability to Provide Program Oversight
B. Ability to Provide Fiscal Oversight
4. Cost-Effectiveness and Budget Adequacy
A. Budget and Program Design
B. Match Sources
3. Standard Form 424A Budget
Budget--Year One
The budget should describe how grant funds will be used to
effectively support activities described in the proposal narrative. Do
not include unexplained amounts, amounts for miscellaneous or
contingency costs, or unallowable expenses such as entertainment costs.
Round all figures to the nearest dollar. Refer to the Federal cost
principles at: http://www.whitehouse.gov/omb/circulars/index.html for
information on allowable costs in Federal grants.
We recommend you prepare your project budget off-line before
entering it into eGrants. EGrants will create the budget and the budget
narrative automatically from the detailed budget information you enter.
Budget Section 1 Categories:
Project Personnel Expenses.
Personnel Fringe Benefits.
Travel--Please include adequate funding for travel for at least two
staff member to 2 CNCS convenings and 1 financial training. For the
sake of planning purposes, assume that meetings will take place in
Washington, DC.
Equipment (individual items over $5,000).
Supplies.
Contractual and Consultant Services.
Other (all subgrant costs are included in the line titled,
``Subgrants'').
Budget Section 2 Categories:
Source of Matching Funds.
Federally Approved Indirect Costs.
You will be prevented from validating your budget in eGrants if you
do not meet the dollar-for-dollar, cash match. You will receive an
error message that states, ``Grantee share must be greater than or
equal to CNCS share.''
4. Authorization, Assurances, and Certifications
eGrants requires that you review and verify your entire application
before submitting, by completing the following sections in eGrants:
Review.
Authorize.
Assurances.
Certifications.
Verify.
Submit.
Read the Authorization, Assurances, and Certifications carefully
(Attachment A). The person who authorizes the application must be the
applicant's Authorized Representative or his/her designee and must have
an active eGrants account to sign these documents electronically. An
Authorized Representative is the person in your organization authorized
to accept and commit funds on behalf of the organization. A copy of the
governing body's authorization for this official representative to sign
must be on file in the applicant's office.
Be sure to check your entire application to make sure that there
are no errors before submitting it. eGrants will also generate a list
of errors if there are sections that need to be corrected prior to
submission when you verify the application. If someone else is acting
in the role of the applicant's authorized representative, that person
must log into his/her eGrants account to proceed with Authorize and
Submit. After signing off on the Authorization, Assurances, and
Certifications, his/her name will override any previous signatory that
may appear and show on the application as the Authorized
Representative.
Note: Anyone within your organization who will be entering
information in the application at any point during application
preparation and submission in the eGrants system must have their own
eGrants account. Individuals may establish an eGrants account by
accessing this link: https://egrants.cns.gov/espan/main/login.jsp
and selecting ``Don't have an eGrants account? Create an account.''
5. Survey on Ensuring Equal Opportunity (Optional)
Applicants are asked to complete the Survey on Ensuring Equal
Opportunity
[[Page 81987]]
for Applicants. The survey can be found at: http://www.americorps.gov/pdf/CNCS_2007_EO_survey.doc. Submission of the survey is not
required.
G. Is this funding opportunity subject to intergovernmental review?
Applicants under this program are not subject to Executive Order
12372 ``Intergovernmental Review of Federal Programs.''
H. What are the funding restrictions?
Budget Requirements
Applicants must submit a proposed first year budget that includes
both Federal and match funding as part of their application. If an
application is selected for award, CNCS will determine the final amount
of the award of Federal funds, and will negotiate a final budget. Upon
award, compliance with the approved budget will be a material term and
condition of the cooperative agreement with the Social Innovation Fund
intermediary.
Proposed and final budgets may only include allowable 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).
Applicants who have not previously applied for Federal grant funds
should understand that ``allowable costs'' under Federal awards do not
necessarily include all costs that the organization will incur in order
to perform their awards. For example, the costs of raising funds in
order to meet the nonfederal share of the budget (``matching funds'')
are not allowable costs under OMB cost principles. The cost principles
implement long standing government-wide policy decisions on the use of
Federal grant funds and applicants should ensure that they are fully
aware of requirements in the applicable OMB circular while preparing
their budgets.
The proposed and final budgets may only include actual expenditures
by the applicant organization. The value of any in-kind goods or
services provided to the applicant cannot be included in the proposed
or final budgets. The budgets will allocate allowable costs to either
the Federal or non-Federal share of the total budget. At least 80
percent of the Federal share must be awarded to subgrantees; the
balance may go toward the intermediary's program support costs,
including evaluation, knowledge management, and Social Innovation Fund
implementation.
The non-Federal share of the budget must equal or exceed the
Federal share of the budget (this implements the dollar-for-dollar cash
match requirement). There is no requirement that the non-Federal share
of the budget ``mirror'' or be allocated on the same basis as the
Federal share of the budget. However, CNCS is particularly interested
in applicants that raise additional dollars to be provided to the
subgrantees, and in applicants that propose to award the majority of
their matching funds to subgrantees through their competitive subgrant
selection process.
As described in the OMB cost principles, applicant budgets (other
than the amounts budgeted for subgrants) will include a combination of
direct or indirect costs. Applicants with approved indirect cost rates
for Federal grants must use those rates for any indirect costs they
include in their budgets. CNCS will work with applicants selected for
award who do not have approved Federal indirect cost rates to help them
develop and obtain approval for their rates.
Matching Funds
The non-Federal share of the budget represents the dollar-for-
dollar matching funds requirement under this Notice. Any organization
that receives an award under this Notice is responsible for securing
the necessary matching funds. 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, including Federal block grants being distributed by
State or local governments, may not be used towards the match
requirement, except under very specific circumstances.
Additionally:
If the applicant is an eligible 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.
CNCS is particularly interested in applicants that
demonstrate that Federal funds are generating additional or new private
sector funds.
CNCS 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.
I. Where should match verification documents be submitted?
Social Innovation Fund applicants must demonstrate the ability to
meet 50 percent of their cash match requirement at the time of the
application. Signed letters verifying match, as well as all other
required documentation, can be sent via e-mail to [email protected] or via overnight carrier (non-U.S. Postal
Service because of security-related delays in receiving mail from the
U.S. Postal Service) to the following address: Corporation for National
and Community Service, ATT: Office of Grants Policy and Operations/
Social Innovation Fund Application, 1201 New York Avenue, NW.,
Washington, DC 20525.
When submitting match verification by e-mail, applicants should
reference their application ID and organization name in the subject
line of their e-mail. Match verification, as well as all other
documentation must be received by the deadline on XXXX, 5 p.m. Eastern
Time. Submission of evidence of match by the application deadline is a
compliance criterion.
In the FY 2011 Social Innovation Fund award competition, CNCS will
not reduce the match requirement for applicants that will be serving
significantly philanthropically underserved communities.
Part 2. Application Narrative Guidelines
The following guidelines should be used to draft the narrative
section of the application. These instructions form the basis for the
review criteria and, along with the eligibility criteria, will be used
by reviewers to evaluate your application.
A. What are the character limits for the narrative section?
For the entire narrative section, the maximum character limit is
75,000 or approximately 55 double-spaced pages using a 12-point font.
We recommend the following character limit disbursements for each
component:
Executive Summary: Up to 4,500 characters or approximately
3 double-spaced pages, 12-point font.
Program Design: Up to 31,500 characters or approximately
22.5 double-spaced pages, 12-point font.
Organizational Capacity: Up to 24,500 characters or
approximately 17.5 double-spaced pages, 12-point font.
Cost-Effectiveness and Budget Adequacy: Up to 14,000
characters or approximately 10 double-spaced pages, 12-point font.
Please note that character limits include spaces. When drafting
narrative
[[Page 81988]]
responses, we recommend using word processing software that will check
spelling and count characters. Use only uppercase letters for all
section headings and other information you would like to highlight in
your narrative. Bold face, bullets, underlines, or other types of
formatting, charts, diagrams, and tables will not copy into eGrants.
B. What should be included in the Executive Summary?
The Executive Summary should be completed using the following
guide. Executive summaries for all applications considered for funding
will be made public and posted to CNCS's Web site. Executive summaries
will be used in the initial eligibility review to assess applicants'
status as: (1) An existing grantmaking institution or an eligible
partnership; and (2) to confirm its identification as either a
geographically-based or issue-based Social Innovation Fund.
Title:
For the title of your Executive Summary, applicants should use the
name of the sole or lead intermediary (if an eligible partnership)
Contents:
Applicants should provide a summary of the proposed program
including the following:
Basic Information:
--Demonstrate that the applicant is an existing grantmaking institution
or eligible partnership;
--Identify as either a geographically-based Social Innovation Fund or
issue-based Social Innovation Fund;
--Identify priority issue area(s) of focus;
--Identify key measurable outcomes your program will improve;
--Identify specific local geographic areas where subgrantees are likely
to be located (if applying as an issue-based Social Innovation Fund);
--Identify key implementation partners (if you are applying as an
eligible partnership, clearly identify the other members of your
partnership);
--Identify the grant amount you are requesting and your proposed grant
period; and
--Identify the key sources of match you have secured.
Project Overview:
--Provide an overview of your proposed program and the need(s) your
program will meet;
--Describe the specific issue area(s) you will address and the
measurable outcomes you propose to improve;
--Provide an overview of your proposed competitive subgrant selection
process and what you hope to achieve, including how you plan to use
evidence of effectiveness to identify and select subgrantees;
--Describe your track record of using rigorous evidence to select
grantees; validate potentially effective programs and practices, and
support and evaluate the replication and expansion of grantees;
--Describe what support and assistance you will provide selected
subgrantees in terms of operations, performance measurement, and
evaluation; and
--Identify major sources of match you have secured.
C. What should be included in the Program Design section?
1. Goals and Objectives
In this section, applicants should identify and describe the key
objectives of their Social Innovation Fund, as well as the theory of
change and overall approach to selecting and supporting subgrantees
they are proposing in order to achieve their objectives.
First, applicants must identify themselves as either a
geographically-based Social Innovation Fund or an issue-based Social
Innovation Fund, as defined in this Notice. For either type, your
narrative should include additional information as noted below.
Geographically-Based Social Innovation Fund
The application must do the following:
Describe the target community, State or region that you
propose to serve;
Describe the specific priority issue area(s) on which you
propose to focus--i.e. Youth Development, Economic Opportunity, and/or
Healthy Futures--and the statistical information that supports this
focus;
Provide statistics on the needs related to the issue
area(s) within the specific local geographic area;
Describe the specific measurable outcomes you propose to
improve; and
Describe the availability of relevant data and your
approach to assess whether your investments caused improvement in the
proposed measurable outcomes.
Issue-Based Social Innovation Fund:
The application must do the following:
Describe the specific issue area on which you propose to
focus--i.e. Youth Development, Economic Opportunity, and/or Healthy
Futures;
Describe the target geographies--i.e. communities, States
or regions--which you are likely to serve and your rationale for
selecting these particular geographies;
Provide statistics on the needs related to the issue area
within the geographic areas likely to be served, including statistics
demonstrating that those geographic areas have a high need in the issue
area;
Describe the measurable outcomes related to the issue area
you propose to improve; and
Describe the availability of relevant data and your
approach to assess whether your investments caused improvement in the
proposed measurable outcomes.
Second, applicants must describe the theory of change relevant to
their proposed program and the investment strategy they intend to
employ. Applicants should convey an intentional approach to solving
community problems through their subgrant investments and clearly
explain (1) the types of organizations they will invest in and why, and
(2) the value-added activities, including technical assistance or other
services, they will provide their subgrantees in order to align them
with the theory of change and achieve the desired outcomes.
2. Description of Activities
Subgranting
In this section of the narrative, applicants must describe the
process by which they will identify and competitively select their
nonprofit community organization subgrantees in their targeted
geographies. Specifically, applicants must describe how their
competitive subgrant selection process will ensure a portfolio of high-
quality subgrantees, with particular attention to their level of
evidence (preliminary required) and relationships with and proposed
engagement of experts, leaders, and community stakeholders in relevant
domains. Applicants should explain how their subgrant selection process
meets the definition of a competitive subgrant competition as defined
in this Notice. The plan should also include:
The estimated number or range of subgrant awards that will
be made;
The estimated range of subgrant award amounts;
A description of:
[cir] On what basis the amount of each subgrant award will be
determined. Please note: the Social Innovation Fund expects that the
level of evidence demonstrated by subgrantees will be a key criterion,
with larger sums being allocated to organizations with higher levels of
evidence;
[cir] How key subgrant eligibility criteria required by this Notice
will be
[[Page 81989]]
determined (particularly the level of subgrantee evidence);
[cir] The proposed review and selection process; and
[cir] Who will review grant applications and how the process will
ensure appropriate conflict of interest policies are in place.
Please note, the proposed subgrant plan and timeline must
demonstrate that it can be completed within six months of grant award.
The proposed subgrant competitions should produce high-quality
subgrantees that are innovative nonprofit community organizations
serving low-income communities. These organizations should possess:
A strong theory of change;
Strong leadership and financial and management systems,
including data management;
A strong financial position, including funding diversity,
the ability to meet the requirements for providing dollar-for-dollar
matching funds, and the ability to sustain the initiative after the
subgrant period concludes;
Strong community relationships;
A commitment to and track record of using data and
evaluation for performance and program improvement;
At least preliminary evidence of effectiveness, including
a demonstrated track record of achieving specific measurable outcomes
related to the measurable outcomes for the intermediary;
Strong potential for and interest in replication or
expansion;
A well-defined plan for achieving specific measurable
outcomes connected to the measurable outcomes for the intermediary,
evaluation of program effectiveness, performance improvement, and
replication or expansion; and
A commitment to use grant funds to replicate, expand, or
support their programs.
Please note that, in contrast to the FY 2010 Social Innovation Fund
competition, pre-selected subgrantees will no longer be accepted. All
subgrantees must be selected through the open competitive processes
referenced in this Notice.
Technical Assistance and Support
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 performance measurement,
evaluation, validation, and replication or expansion. Replication or
expansion 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, for example, serving
more people in a current geography or growing to new geographies). In
this section of the narrative, you should:
Describe your commitment to long-term relationships with
subgrantees, including the process by which you establish shared short-
and long-term goals and communicate and negotiate modifications;
Describe your plan for subgrantee monitoring;
Explain what resources and support you will provide to
build subgrantee capacity in key areas, such as leadership development,
financial management, data management, strategic planning, and
communications;
Describe how you will facilitate learning and improvement
across your portfolio of subgrantees;
Describe your proposed approach to supporting your
subgrantees in achieving their match requirements and on-going
sustainability; and
Describe your proposed approach to accountability for
subgrantees and yourself. Provide examples of and justification for
potential subgrantee-level and intermediary-level metrics.
3. Use of Evidence
The Social Innovation Fund 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 public resources toward more effective programs and
increasing our knowledge about what works to get results in
communities.
Intermediaries will need to demonstrate in their applications how
they use evidence of program impact to select, invest in, validate and
support the replication and expansion 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 of subgrantees and to use Social Innovation Fund
resources to help validate the effectiveness of these programs through
ongoing performance measurement and evaluation. In addition, CNCS
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.
In this section of the narrative, you should:
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, validation, and support of
replication, and expansion of your grantees;
Offer specific examples of how your organization has used
rigorous evidence to drive program improvement and increase the base of
evidence of what works;
Describe the study or studies that generated the evidence
and the evidence that was derived from the evaluation(s), and provide
Web links to recent published or unpublished full report(s)
(preferably, the reports will include design and methodology
documentation--links to executive summaries or journal articles are not
sufficient);
Describe your plan for using evidence, data, and
evaluation tools to:
[cir] Select and invest in subgrantees.
[cir] Validate the effectiveness of grantees.
[cir] Support and monitor the replication and expansion of
subgrantees.
[cir] Achieve measurable outcomes.
Describe which level of evidence (defined in section II of
this Notice) you will use for subgrantee selection and/or which level
of evidence and impact you will assist your subgrantees in achieving
(please note: all subgrantees must have plans in place to achieve at
least moderate levels of evidence);
Describe how you will help your subgrantees invest in
improving performance improvement and achieving at least moderate
levels of evidence through appropriate data collection and evaluation;
Describe how you will help grantees design performance
measurement and evaluation systems appropriate to the maturity of the
program (i.e., different approaches for validation versus replication
or scaling up); and
Describe your track record of sharing and integrating
lessons from evaluation (both positive and negative findings) across
grantees.
[[Page 81990]]
4. Community Resources
This section is not applicable to the Social Innovation Fund
competition. Applicants should leave this blank.
D. What should be included in the Organizational Capacity section?
1. Ability To Provide Program Oversight
Applicants must establish that they have the skills and capacities
required to effectively manage programs of the nature they are
proposing, including a strong track record of selecting, investing in
and supporting the replication and expansion of grantees.
Describe your organization's experience in the proposed
priority issue area(s) of activity and your experience operating and
overseeing programs comparable to the ones proposed, including specific
examples of your prior accomplishments and outcomes in these area(s);
Provide specific examples of the effectiveness of your
investment approach, including the range of replications or expansions
that you have overseen or sponsored;
Describe the kinds of resources (e.g., data systems;
staff) you have available to assist with subgrantee replication or
expansion;
Describe your capacity to implement the evaluation plan
you have proposed;
Describe your ability to support and oversee multiple
programs at different locations;
Describe your organization's management and staff
structure and how the Board of directors, administrators, and staff
members will be used;
Identify the key program positions within your
organization relevant to your proposed grant program. Describe the
relevant background and experience of key staff members and their
respective roles, or your plans to recruit, select, train, and support
additional staff, and their proposed roles;
Describe your experience monitoring subgrantees for site
compliance against programmatic requirements; and
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 by a subgrantee.
2. Ability To Provide Financial Oversight
Applicants should describe the extent to which your organization,
or proposed partnership, has key personnel with the knowledge, skills,
abilities, and experience to provide fiscal oversight of subgrantees.
Additionally, applicants should describe any specific experience in
providing fiscal oversight of subgrantees of Federal funds.
In this section of the narrative you should:
Describe the experience and infrastructure your
organization has in managing grants from other entities;
Identify your current organizational budget;
Identify what percentage of the budget would this grant
represent and address the implications for your organization; and
Describe how you will ensure compliance with Federal
requirements.
E. What should be included in the Cost-Effectiveness and Budget
Adequacy section?
1. Budget and Program Design
In this narrative section, applicants should:
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 how it is linked to your desired outputs and outcomes.
Specifically, describe and quantify in detail the costs associated with
your proposed competitive subgrant selection process, program
evaluation plans, and technical assistance to subgrantees, including
costs that may be paid for with resources other than Federal or
matching funds; and
If program costs will be higher because you are proposing
to serve areas that are significantly philanthropically underserved,
please explain.
2. Match Sources
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 their first year matching funds.
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 Social Innovation Fund 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 Social Innovation Fund grant by CNCS. Please see the
section in this Notice titled ``Additional Documents--Match
Verification'' for further guidance on how to submit this
documentation.
In this narrative section, applicants should:
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; and
Describe the extent to which you propose to provide
matching funds in excess of the minimum requirement.
V. Application Review Information
A. What are the Selection Criteria for these grants?
In evaluating applications for funding, reviewers will assess
program design, organizational capacity, and cost-effectiveness and
budget adequacy. The weights assigned to each category and sub-category
are listed in Table 1 below. Reviewers will assess application
narratives against these Selection Criteria and weight them
accordingly.
Table 1--Application Review Criteria
----------------------------------------------------------------------------------------------------------------
Category Percentage Sub-categories
----------------------------------------------------------------------------------------------------------------
Part I. Program Design............ 25 Goals and Objectives.
Description of Activities.
25 Use of Evidence.
Part II. Organizational Capacity.. 30 Ability to Provide Program Oversight.
Ability to Provide Fiscal Oversight.
Part III. Cost-Effectiveness and 20 Budget and Program Design.
Budget Adequacy.
Match Sources.
----------------------------------------------------------------------------------------------------------------
[[Page 81991]]
All applications will first be reviewed against the compliance and
initial eligibility criteria outlined in Section III. If this review
shows that an application does not meet any one of the four criteria
specified, the application will not be further reviewed. All eligible
applications will be fully reviewed and assessed based on both the
additional eligibility and application review criteria.
In reviewing applications submitted in response to this Notice,
CNCS may consider, with respect to any particular proposal, the factors
and information identified in 45 CFR 2522.470.
Part I. Program Design (50%)
In assessing Program Design, expert reviewers will examine the
degree to which the applicant clearly describes and convincingly
addresses the narrative guidelines provided in section V. Their
analysis will include the following:
A. Goals and Objectives
To what extent did the applicant:
Clearly identify the target community or geographies which
they will serve and the target issue(s) their programming will focus
on?
Provide persuasive evidence (i.e. statistical information)
as to the identified need within the geographic area(s) listed?
Make a persuasive case for the need related to the issue
area(s) identified (i.e. providing statistical information)?
Clearly identify specific measurable outcomes that will be
achieved through their proposed program?
Make a compelling case for their ability to successfully
support the focus, goals, and approach they propose?
B. Description of Activities
1. Subgranting
To what extent did the applicant:
Provide a clear and comprehensive plan for carrying out a
competitive subgrant selection process?
Clearly explain how they will identify potential grantees
that meet at least the preliminary evidence of effectiveness standard?
Describe a subgrant plan that has a reasonable chance of
success at identifying potential subgrantees that meet the requirements
described in section IV of this Notice?
2. Technical Assistance and Support
To what extent did the applicant:
Provide a compelling plan for providing technical
assistance and support for their selected subgrantee portfolio?
Describe a clear plan for supporting subgrantee capacity
development including the acquisition of matching funds and rigorous
program evaluation?
Provide a sound plan for monitoring subgrantees?
C. Use of Evidence
To what extent does the applicant:
Demonstrate a strong track record of using evidence in
past investments?
Describe how they use evidence to drive program
improvement (including citations of past studies)?
Present persuasive evidence of experience using evidence
in their past grantmaking activities?
Provide a persuasive plan for using evidence, data, and
evaluation tools to identify and select their subgrantees having at
least preliminary levels of evidence?
Identify the level of evidence they will use for
subgrantee selection and/or which level of evidence or impact
subgrantees will achieve (note: subgrantees must have plans in place to
achieve at least moderate levels of evidence)?
Provide a clear plan for assisting subgrantees to reach
this level of evidence or impact through successful data collection and
evaluation systems?
Describe how they will help grantees design performance
measurement and evaluation systems appropriate to the maturity of the
program (i.e., different approaches for validation versus replication
or scaling up)?
D. Community Resources
Not applicable.
Part II. Organizational Capacity (30%)
In assessing the organizational capacity section, expert reviewers
will assess to what extent does the applicant:
Describe a sound organizational structure including
experienced staff?
Cite specific examples of the effectiveness of their past
investment approach?
Have experience or the capacity to successfully implement
their proposed program (i.e. subgrant plan, technical assistance, and
monitoring)?
Have experience or capacity to successfully implement
their proposed evaluation plan?
Have experience or the capacity to successfully implement
a Federal grant?
Part III. Cost-Effectiveness and Budget Adequacy (20%)
A. Budget and Program Design
In evaluating the cost effectiveness and budget adequacy section,
expert reviewers will assess:
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
[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.
B. Match Sources
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.
B. What additional considerations will CNCS take into account during
the review process?
In selecting applicants to receive awards under this Notice, CNCS
will endeavor to include:
Applicants who propose to serve areas that are
significantly philanthropically underserved (defined in this Notice as
rural, low-income communities), and
A diverse set of applicants, in terms of geography and
priority issue area.
C. What are the stages in the review and selection process?
1. Compliance Review
Corporation staff will review all applications to determine
compliance with match, deadline, and completeness requirements
identified in Section III.A.1 of this Notice. Applications that are
submitted by the deadline, that are complete, and have demonstrated
that they meet the match requirement will advance to the Initial
Eligibility Review.
2. Initial Eligibility Review
Corporation staff will review all compliant applications to
determine that they are submitted by eligible organizations, and that
they have adequately identified what type of Social Innovation Fund
program is being proposed (i.e. issue-based or geographic-based). This
review will not include reading the entire application. Applicants that
meet these two eligibility criteria (as described in
[[Page 81992]]
Section III.A.2 of this Notice) will move on to Expert Review.
3. Expert Review
Expert reviewers will assess applications based on the Program
Design criteria. Each application will be reviewed by at least three
expert reviewers. Reviewers will be recruited and selected on the basis
of demonstrated expertise in social innovation, scaling and/or
replicating successful programs, and program evaluation. All expert
reviewers will be screened for conflicts of interest or possible
impairments to objectivity.
4. Post Expert Review Quality Control (Quality Control)
Quality Control is designed to ensure that every eligible
application receives full and fair consideration in the review process.
After the expert reviewers complete their assessment, staff will review
the results to determine whether any application should receive a
Quality Control assessment. This additional level of review may be used
for applications for which there are significant anomalies in the
results from the expert review. Applications identified for additional
assessment will be reviewed by an external Quality Control reviewer.
The Quality Control reviewer provides an assessment of the
application's key strengths and weaknesses, and compares his or her
findings to that of the original expert reviewers.
5. Selection of Applications for Internal Review
Upon completing Expert Review, Corporation staff will determine
which applications advance to Internal Review. Applications will
advance to Internal Review based on the results of the Expert Review as
well as the selection criteria specified in section 198K(h) of the Act,
including:
Including programs that propose to serve significantly
philanthropically underserved communities:
Selecting a geographically diverse set of grantees; and
Taking into account broad community perspectives and
support.
6. Internal Review
Corporation staff will assess Program Design, particularly focusing
on: Strength of relationships and collaborations, opportunity for
scale, potential to impact public discussion, and the rigor of
sophistication of evidence and evaluation; Organizational Capacity; and
Cost Effectiveness and Budget Adequacy. Following staff assessment,
some applicants may receive requests to provide clarifying information.
Clarification information is used by Corporation staff in making final
recommendations. A request for clarification does not guarantee a grant
award. Failure to respond to requests for information in a timely
fashion will result in the removal of applications from consideration.
Corporation staff will determine which applications to recommend
for selection based on the results of Expert Review, Internal Review,
and Clarification; and the priorities, balancing characteristics,
additional considerations, and strategic characteristics listed above.
7. Selection
The final portfolio will be selected based on staff recommendation,
and considering overall quality, priorities, balancing characteristics,
additional considerations, and strategic characteristics listed above.
E. What feedback will applicants receive?
Following grant awards, each applicant will receive the results of
expert and, if applicable, internal reviews pertaining to their
application.
VI. Award Administration Information
A. Award Notices
CNCS will award cooperative agreements following the grant
selection announcement. CNCS anticipates announcing the results of this
competition by August 2011. 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 CircularA-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).
C. Use of Materials
To ensure that materials generated with Corporation funding are
available to the public and readily accessible to grantees and sub-
grantees, CNCS 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.
D. Reporting Requirements
Award recipients 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 recipients 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. CNCS may also require an independent
assessment of grantee performance.
In addition, CNCS 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 CNCS.
E. Performance Progress Reports (PPR)
A semi-annual narrative progress report must be submitted using
CNCS's Web-based grants management system, eGrants, no later than 30
days after the close of each reporting period. The report will include:
[[Page 81993]]
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.
F. Federal Financial Reports
Federal Financial Reports (FFRs) must be submitted semi-annually.
The reports are cumulative and must be submitted on CNCS's Web-based
grants management system, eGrants, no later than 30 days after the
close of each reporting period.
G. 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 CNCS'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.
H. Other Data-Collection Requirements
CNCS will require Social Innovation Fund grantees to develop final,
detailed plans for selecting their subgrantees and for the evaluation
of subgrantees. Final, detailed plans will need to be approved by CNCS.
The subgrant selection plan will include the following:
The estimated number or range of subgrant awards that will
be made;
The estimated range of subgrant award amounts;
A description of:
[cir] How key subgrant eligibility criteria required by this Notice
will be determined (particularly the level of subgrantee evidence);
[cir] The proposed review and selection process; and
[cir] Who will review grant applications and how the process will
ensure appropriate conflict of interest policies are in place.
The evaluation plans will 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?
Describe who will conduct the evaluations and the process
you will employ to maintain independence and ensure high quality
reports.
Award recipients must also:
Identify and document effective practices to addressing
critical community challenges in order to share those lessons broadly.
Meet as necessary with the cognizant program officer, or
other staff or consultants.
VI. Agency Contacts
This Notice is available at http://www.nationalservice.gov/about/serveamerica/innovation.asp. 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].
VII. Other Information
A. CNCS will host technical assistance calls and/or workshops to
answer questions from potential applicants about this funding
opportunity, including submitting the application through eGrants,
CNCS's Web-based application system. Applicants are strongly encouraged
to participate in these sessions. The first call will be held on
February XXX at 1 p.m. Eastern Time. Call-in information for this
technical assistance call and additional technical assistance calls
will be available on CNCS's Web site at: http://www.nationalservice.gov/about/serveamerica/innovation.asp.
B. For additional information on the Edward M. Kennedy Serve
America Act, go to: http://www.nationalservice.gov/pdf/09_0331_recovery_summary.pdf.
C. Public Burden Statement: The Paperwork Reduction Act of 1995
requires CNCS 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, 2010.
Paul Carttar,
Director, Social Innovation Fund.
[FR Doc. 2010-32789 Filed 12-28-10; 8:45 am]
BILLING CODE 6050-28-P