Proposed Notice of Funds Available (NOFA) for Social Innovation Fund Awards; Request for Feedback, 68789-68798 [E9-30807]

Download as PDF Federal Register / Vol. 74, No. 248 / Tuesday, December 29, 2009 / Notices CORPORATION FOR NATIONAL AND COMMUNITY SERVICE Proposed Notice of Funds Available (NOFA) for Social Innovation Fund Awards; Request for Feedback pwalker on DSK8KYBLC1PROD with NOTICES AGENCY: Corporation for National and Community Service (the Corporation). ACTION: Request for Feedback on the Corporation’s Fiscal Year (FY) 2010 Notice of Funds Available (NOFA) for Social Innovation Fund Awards. SUMMARY: This draft Notice of Funds Available (NOFA) announces the availability of funding for the newly created Social Innovation Fund (SIF), authorized by the Edward M. Kennedy Serve America Act of 2009. The Social Innovation Fund is a vehicle to invest in promising, innovative nonprofit organizations to help them strengthen their evidence-base and develop the infrastructure to address our national challenges in communities of need. In FY 2010, SIF awards will be made to a select number of grantmaking intermediaries (or eligible partnerships) focused on improving measurable outcomes in the following priority areas: • Increased economic opportunity; • Preparing America’s youth for success in school, active citizenship, productive work, and healthy and safe lives. • Promoting healthy lifestyles and reducing the risk factors that can lead to illness. The SIF will stimulate and support a national network of intermediary grantmaking institutions to identify and invest in promising organizations to help them build their evidence-base and support their growth. Social Innovation Fund grantees will match the Federal funds received (dollar-for-dollar, in cash) in order to make subgrants to nonprofit community organizations so that they, in turn, can: (1) Produce measurable and transformational outcomes within specific issue areas or geographic regions; (2) Add to the store of evidence of effective approaches to achieving impact; and (3) Replicate and/ or expand their proven initiatives to reach more Americans. Successful applicants in this competition will demonstrate: • An ability to conduct a robust process for identifying and selecting innovative organizations with considerable potential to produce significant results and broaden their impact; and • A strong track record of using rigorous evidence to select, invest in, and monitor the growth and progression of their grantees. VerDate Nov<24>2008 19:02 Dec 28, 2009 Jkt 220001 For FY 2010, SIF applicants must demonstrate the ability to meet 50 percent of their cash match requirement at the time of the application. This Notice provides full details on how applicants must address these and other factors in submitting their applications. The Corporation is soliciting public input on the proposed structure of the Social Innovation Fund, as outlined in this draft Notice of Federal Funding Opportunity (NOFA). As appropriate, the feedback received will be taken into account in the final NOFA. (The Corporation will not provide individual responses to feedback received.) DATES: Feedback Due Date: January 15, 2010. ADDRESSES: You may submit feedback, identified by Section xx of this draft Notice, by any of the following methods: (1) By mail sent to: Corporation for National and Community Service, Attention: Stephanie Soper, Room 10708A; 1201 New York Avenue, NW., Washington, DC, 20525. (2) By hand delivery or by courier to: The Corporation’s mailroom at Room 8100 at the mail address given in paragraph (1) above, between 9 a.m. and 4 p.m. Monday through Friday, except Federal holidays. (3) By fax to: (202) 606–3466, Attention: Stephanie Soper, SIF Docket Manager. (4) Electronically through the Corporation’s e-mail address system: SIFinput@cns.gov. FOR FURTHER INFORMATION CONTACT: Questions regarding specific SIF program requirements should be directed to Stephanie Soper by e-mail at SIFinput@cns.gov. Persons with hearing or speech impairments may access these numbers via TTY by calling the Federal Information Relay Service at (800) 877– 8339. Overview Information A. Federal Agency Name: Corporation for National and Community Service. B. Funding Opportunity Title: Social Innovation Fund. C. Announcement Type: Initial announcement. D. Funding Opportunity Number: OMB Approval Numbers applicable to this NOFA are llll and llll. 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. PO 00000 Frm 00014 Fmt 4703 Sfmt 4703 68789 G. Additional Important Overview Information: 1. We are specifically seeking feedback on the Social Innovation Fund, and not the Corporation’s overall grant making processes/policies. • The Corporation is specifically inviting feedback on whether or not its treatment of low-income, rural, and ‘‘significantly philanthropically underserved’’ communities (as described in Section IV of the Notice) is appropriate, and, if not, what other appropriate treatments might be. Specifically, the Corporation is interested in viewpoints on how specific geographic areas can be identified as ‘‘low-income communities,’’ including an appropriate threshold to include in the approach the Corporation has initially adopted in this Notice. • As described in Section IV of the Notice, the Corporation expects that the use of rigorous evidence will be part of the culture of any intermediary that will receive SIF funding; and that, consequently, the intermediary will assess the impact of its own activities. The Corporation is specifically inviting feedback on how the intermediaries should assess the impact of their work and how the Corporation should hold intermediaries accountable for their performance. • As described in Section VI of the Notice, the Corporation expects intermediaries to hold subgrantees accountable for their progress against agreed-upon indicators of success. Therefore, the Corporation will ask SIF intermediaries to report subgrantee performance information to the Corporation. The Corporation is interested in determining the right structure of accountability for both Intermediaries and subgrantees, and invites public feedback on the appropriate accountability framework. 2. Application materials. The NOFA and application materials will be available for download via the Corporation’s Web site at http:// www.nationalservice.gov/pdf/ 09_1218_sif_nofadraft.pdf. Full Text of Announcement I. Funding Opportunity Description What is the purpose of the Social Innovation Fund? The Edward M. Kennedy Serve America Act of 2009 established the Social Innovation Fund within the Corporation for National and Community Service (the Corporation). The Social Innovation Fund, also referred to as the SIF throughout this draft NOFA, is intended to support a E:\FR\FM\29DEN1.SGM 29DEN1 pwalker on DSK8KYBLC1PROD with NOTICES 68790 Federal Register / Vol. 74, No. 248 / Tuesday, December 29, 2009 / Notices national network of funds, led by community experts, that identify and invest in promising organizations that demonstrate impact in low-income communities. The Corporation defines ‘‘social innovation’’ as the development of a potentially transformative practice or approach to meeting critical social needs. By investing in social innovation as a driver of results and accountability, the Federal government will play a central role in accelerating the spread of promising solutions to address our most pressing national and local challenges. In FY 2010, SIF awards will be focused on improving measurable outcomes in the following priority areas: • Economic Opportunity—Increasing the economic opportunities for economically disadvantaged individuals; • Youth Development and School Support—Preparing America’s youth for success in school, active citizenship, productive work, and healthy and safe lives; and • Healthy Futures—Promoting healthy lifestyles, and reducing the risk factors that can lead to illness. The SIF funds will be awarded to existing intermediary organizations, which are either grantmaking institutions or grantmaking partnerships as defined in this Notice. These intermediary organizations will award subgrants to nonprofit community organizations working to address priority issues. To be awarded funding, intermediaries will need to demonstrate: • The ability to identify innovative solutions and successfully invest in growth and replication; • A track record of using rigorous evidence to select, invest in, and monitor the growth and progression of their grantees; • Expertise and demonstrated impact in the proposed issue area(s) of focus; and • Depth and breadth of relationships with stakeholders in the issue area or region of focus. The SIF will also attract and leverage private donors to match Federal dollars, bringing new resources to support promising organizations. The statute requires both the SIF intermediaries and their subgrantees to match their grants dollar-for-dollar, in cash, with nonFederal funding. In FY 2010, the SIF will focus on dramatically accelerating a select number of community innovations that are supported by rigorous evidence, have the capacity to expand or replicate, and have the potential to be transformational. VerDate Nov<24>2008 19:02 Dec 28, 2009 Jkt 220001 Emphasis on Evidence The Corporation is committed to using the limited resources available to the SIF to invest in the programs likeliest to produce transformative change. Wherever possible, this means acting on evidence from well-designed and well-implemented experimental or quasi-experimental studies that demonstrate the program has a sizeable impact. However, the Corporation recognizes that in many fields and in many parts of the country, such evidence is not available. In those cases, the Corporation is committed to funding promising efforts in order to build the base of evidence about what works, improve programs, and inform future investments. The SIF will support the use of evidence in several ways. First, the SIF will prioritize intermediaries that use rigorous evidence (see Section V) to select and invest in their grantees. Second, the SIF will encourage the use of data and evaluation tools by both intermediaries and grantees to monitor the growth and progression of their grantees. Third, the SIF will evaluate the efforts of these intermediaries and their grantees to achieve measurable outcomes. Finally, the SIF seeks to connect the efforts of government and foundations to use evidence and evaluation in systematic ways. Taken together, these efforts aim to help both SIF grantees and the nonprofit and philanthropic communities as a whole. Subgranting as Part of the SIF Award Competition As discussed above, this Notice seeks applications for organizations to act as SIF intermediaries. By statute, SIF intermediaries must select subgrantees on a competitive basis. The primary functions of the recipients of these awards will be to conduct subgrant competitions and administer those subgrants as required by the National and Community Service Act of 1990 (‘‘the Act’’), this Notice, and the terms and conditions of the final awards. Subgrants are to be made in annual amounts of $100,000 or more per year. However, for the FY 2010 SIF competition, the Corporation anticipates SIF intermediaries awarding subgrants that reflect more substantial investment in programs that show the highest levels of effectiveness, as defined in Section V. The criteria applicable to the subgrant competitions are specified in Section V of this Notice. Applicants should note that their subgrantees will be required to provide dollar-for-dollar matching funds, in cash, for each year that they receive a SIF subgrant. Applicants may PO 00000 Frm 00015 Fmt 4703 Sfmt 4703 either: (1) Conduct a subgrant competition before applying to the Corporation (thereby applying with an identified set of local community organizations that would receive funding upon a SIF intermediary grant award); or (2) conduct a subgrant competition after receiving a SIF intermediary grant award. In either case, the Corporation will assess the completed or proposed subgrant competition against the criteria specified in Section V. For applicants in the first category, the Corporation may request additional information regarding any pre-selected subgrantees for compliance against the criteria as described in this Notice. For applicants in the second category, the Corporation may: (1) Require that the intermediary select its subgrantees within six months of the grant award; and (2) review the results of the subgrant process for compliance and appropriate outcomes. In evaluating two applications of otherwise equal merit, the Corporation may give preference to the applicant that identifies its subgrantees in its application. An applicant that identifies subgrantees is more likely to have an impact in communities sooner than an applicant that plans to select subgrantees post-award. Moreover, an application that identifies subgrantees provides the Corporation with more information about the strengths and weaknesses of a proposed program. Illustrations of Potentially Successful SIF Applicants The following examples are intended to provide illustrations of hypothetical SIF awardees. Scenario #1: A rural, nonprofit grantmaking organization with deep roots in the local community and a strong focus on community needs, including education, health and poverty. • You have a track record of engaging a broad array of stakeholders across sectors and convening them to develop integrated and coordinated responses to critical social problems. Your investment in local organizations is substantive and multi-year, and includes both financial capital and intellectual resources. Directly, and through contracted services, you provide support for management assistance and evaluation. You have identified a select number of local innovations with evidence of impact, and you are committed to growing and testing these models. Scenario #2: A high-engagement philanthropy organization working with a handful of innovative community E:\FR\FM\29DEN1.SGM 29DEN1 Federal Register / Vol. 74, No. 248 / Tuesday, December 29, 2009 / Notices organizations in two areas: workforce development and poverty alleviation. • You invest in select organizations around the country identified through your own due-diligence process. Your emphasis is on identifying promising innovations ripe for larger-scale investment, and your organization provides multi-year funding for support of growth capacity, management assistance and evaluation. A subset of your portfolio has gathered rigorous evidence of impact, and you want to work with them as a group to deepen their models and extract lessons that could potentially inform public policy in the identified key issue areas. Scenario #3: A local government office with a commitment to spurring, investing in, and supporting new solutions to local problems. • You provide multi-year investment and support to both pilot and evaluate local innovations led by your agencies in partnership with high-capacity nonprofit groups. You conduct evaluation of your grantees through outside organizations, while also relying on some in-house capacity. Two other municipalities have approached you about partnering, and you are considering partnering with them to spread the most promising solutions within your current portfolio. II. Award Information How much funding is available? The Corporation anticipates that up to $50 million will be available to award new cooperative agreements in the approximate amounts of $5 million to $10 million to approximately five to seven intermediary organizations. Within this range, the amount of the individual awards may vary. The Corporation expects to make larger grants to those intermediary organizations whose subgrantees have higher levels of evidence (as described in Section V) of strong impact and the capacity to expand or replicate quickly. pwalker on DSK8KYBLC1PROD with NOTICES What Is the Project Award Period? The SIF award periods are up to five years, with funding provided in annual increments. Grantees will be eligible for continuation funding in the second through fifth year contingent on the availability of appropriations, compliance with grant conditions, and satisfactory performance, including having secured cash matching funds. What Is the Award Amount? For the FY 2010 SIF award competition, the Corporation expects to make annual awards in the range of $5 million to $10 million, with an average VerDate Nov<24>2008 19:02 Dec 28, 2009 Jkt 220001 of approximately $7 million. As noted earlier, the Corporation expects to make larger grants to those intermediary organizations whose subgrantees have higher levels of evidence (as described in Section V) of strong impact and the capacity to expand or replicate. What Is the type of Funding Instrument used for these grants? The funding instrument for the SIF is a cooperative agreement. As a partner in this cooperative agreement, the Corporation expects to have substantial involvement with the intermediary organizations as they carry out approved activities. In particular, the Corporation anticipates having substantial involvement in: Reviewing the results of the subgrant process for compliance and appropriate outcomes; • The development of final, detailed plans for evaluation of major subgrantees that would include: Æ The specific questions the evaluation(s) intends to answer; Æ The type of research design (including rigorous impact evaluations of the largest subgrantees); Æ The timeline and estimated budget for the evaluation; Æ Description of who will conduct the evaluations and the process to be employed to maintain independence, objectivity, and high-quality reports; • The development of a final, detailed plan for expansion or replication of subgrantees; • The development of best practices deliverables in collaboration with Corporation staff; and • Other appropriate activities as specified in the final award. III. Eligibility Information This competition is open to all entities that meet the eligibility criteria as specified in this Notice. Receipt of prior Corporation or other Federal grant funding is not a prerequisite to applying under this Notice. To be eligible for a SIF intermediary award, you must: • Be an existing grantmaking institution or an eligible partnership; • Properly propose to be either a geographically- or issue area-based SIF that will focus on improving measurable outcomes; • Have a strong track record of using rigorous evidence to select, invest in, and monitor the growth and progression of your grantees. • Have a well-articulated plan to either: Æ Replicate and expand researchproven initiatives that have been shown to produce sizable, sustained benefits to participants or society, or PO 00000 Frm 00016 Fmt 4703 Sfmt 4703 68791 Æ Partner with a research organization to carryout rigorous evaluations to assess the effectiveness of such initiatives; • Have appropriate policies on conflicts of interest, self dealing and other improper practices; and • Demonstrate either cash-on-hand or commitments (or a combination thereof) toward meeting 50 percent of your first year matching funds, based on the amount of grant funds requested. For example, a request of $1 million needs to be accompanied by documentation of $500,000 dollars on-hand at the time of application. Some of these eligibility requirements are specifically addressed as eligibility factors in the selection criteria in Section V of this Notice. The Corporation will conduct initial reviews of applications to determine whether they meet those specific eligibility criteria. Any application that does not meet all of the eligibility criteria identified in Section V will not be further reviewed. Applications that meet all the eligibility criteria discussed in Section V will be reviewed in full. In its full evaluations, the Corporation will consider and weigh how the applications address all the stated criteria (both Eligibility Criteria and Application Review Criteria). The Corporation will make an award only after determining that an organization meets all the eligibility criteria. As necessary, the Corporation will further evaluate an applicant during clarifying discussions (and possible site visits) with applicants. The Corporation also anticipates conducting due diligence reviews to assess or confirm information or assurances provided by applicants. As part of these further discussions and reviews, the Corporation may conclude that applicants do not meet one or more of the eligibility requirements. In that case, the Corporation will not further consider the application. In order to maximize the impact of the of the SIF and ensure a diverse array of innovative grantees across the Federal government, preference will be given to intermediary applicants that agree to direct SIF funds toward innovations that are not likely to be receiving large amounts from other Federal innovation funds (e.g., ‘‘Investing in Innovation’’ at the Department of Education). Final SIF award decisions also may be weighed based on the outcome of other large Federal grant competitions. E:\FR\FM\29DEN1.SGM 29DEN1 68792 Federal Register / Vol. 74, No. 248 / Tuesday, December 29, 2009 / Notices IV. Application and Submission Information A. Online Submission of Applications via eGrants The Corporation requires that all applicants make every effort to submit their applications electronically through the Corporation’s web-based application system, eGrants. The Corporation will provide detailed instructions on how to apply for this funding through eGrants. If your organization is considering applying for funding through this Notice, please submit a notice of intent to apply by e-mail to __@cns.gov by TBD. The e-mail should include your organization’s name and the name(s) of any partner organization(s), if applicable. This is not a required deadline, but submitting your request by that time helps us plan for the review of the applications. In the event of prolonged unavailability of the eGrants system on the date of submission, the Corporation reserves the right to extend the eGrants submission deadline. Any notice of an extended submission deadline will be posted in eGrants and on www.nationalservice.gov. If extenuating circumstances make the use of eGrants impossible, applicants may send a hard copy of the application to the following address, via overnight carrier (non-U.S. Postal Service because of security-related delays in receiving mail from the U.S. Postal Service). All deadlines and requirements in this Notice apply to hard copy applications. Corporation for National and Community Service, ATT: Office of Grants Policy and Operations/SIF Application, 1201 New York Avenue, NW., Washington, DC 20525. Applications submitted by fax will not be accepted. pwalker on DSK8KYBLC1PROD with NOTICES B. Content and Form of Application Submission Your application in eGrants will consist of the following components. Please make sure to complete each one. I. Applicant Info II. Application Info III. Executive Summary IV. Narratives V. Documents VI. Budget VII. Review, Authorize, and Submit VIII. Survey on Ensuring Equal Opportunity for Applicants (Optional) Applicants should note that the narrative portion of their application (which will include Part I: Program Design, Part II: Organizational Capability, and Part III: Cost- VerDate Nov<24>2008 19:02 Dec 28, 2009 Jkt 220001 Effectiveness and Budget Adequacy) may not exceed X characters, or 20 pages. The character count includes spaces and punctuation. See Appendix X for eGrants instructions. (TBD) C. Technical Assistance The Corporation will host technical assistance calls and/or workshops to answer questions from potential applicants about this funding opportunity, including submitting the application through eGrants. Applicants are strongly encouraged to participate in these sessions. Details TBD. D. Submission Dates and Times The Corporation anticipates posting a final NOFA following this feedback period in early February 2010 with a deadline for applications at TBD. Applications must arrive at the Corporation by the deadline in order to be considered. E. Intergovernmental Review Applicants under this program are not subject to Executive Order 12372 ‘‘Intergovernmental Review of Federal Programs.’’ F. Funding Restrictions Matching Funds Applicants must provide matching funds in an amount equal to and not less than $1 for every $1 of funds provided under the grant. Matching funds may come from State, local, or private sources, which may include State or local agencies, businesses, private philanthropic organizations, or individuals. Federal funds may not be counted towards the match requirement. Additionally: • Matching funds must be provided in cash. • The matching funds must be expended on the approved program. • If the applicant is a partnership that includes a State Commission or a local government office, the state or local government involved must provide not less than 30 percent and not more than 50 percent of the matching funds. • The Corporation is particularly interested in applicants that demonstrate that Federal funds are generating additional or new private sector funds. • The Corporation is also particularly interested in applicants that present both a strong capacity to raise additional dollars to be provided to subgrantees, and a serious commitment to share the fundraising burden for their subgrantees. PO 00000 Frm 00017 Fmt 4703 Sfmt 4703 Administrative and Direct Cost Limitations For the FY 2010 SIF award competition, the Corporation has adopted the following limitations on applicant program costs: • No more than 5 percent of the Federal funds awarded by the Corporation may be used to pay for administrative costs. • No more than 15 percent of the Federal funds awarded by the Corporation may be used to pay direct program costs (other than subgrants awarded) of the SIF Intermediary in carrying out its approved program. The limitation on administrative costs will be implemented in the same manner as the limitation on administrative costs for the Corporation’s AmeriCorps programs. These requirements are found in the Corporation’s regulations at 45 CFR 2510.20 and 2521.95. The limitation on direct program expenditures will be applied as a cap on the Federal funds that may be used to reimburse a SIF award recipient for its approved direct program costs, other than subgrants made to local community organizations. This limitation will be applied to direct program costs as defined in the applicable cost principles for the award recipient— • 2 CFR Part 220—Cost Principles for Educational Institutions (OMB Circular A–21) • 2 CFR Part 225—Cost Principles for State, Local and Tribal Governments (OMB Circular A–87) • 2 CFR Part 230—Cost Principles for Non-Profit Organizations (OMB Circular A–122). The Corporation’s review of applicants’ budgets will include an assessment of compliance with these limitations. F. Other Submission Requirements Low-income, Rural and Significantly Philanthropically Underserved Communities As specified in section 198K of the Act, SIF intermediary grantees must make subgrants and otherwise support programs that serve low-income communities. For purposes of this Notice, ‘‘low-income community’’ means either: • A population of individuals or households being served by a subgrantee on the basis of having a household income that is 150 percent or less of the applicable Federal poverty guideline, or • A defined geographic area where, within the past twelve months, ____ E:\FR\FM\29DEN1.SGM 29DEN1 Federal Register / Vol. 74, No. 248 / Tuesday, December 29, 2009 / Notices percent or more of the area’s population had household incomes at or below 150 percent of the applicable Federal poverty guideline (based on the most recent American Community Survey data issued by the U.S. Census Bureau). In making its final award determinations under this Notice, section 198K(h)(2) of the Act requires the Corporation to include among award recipients eligible applicants that propose to provide subgrants to community organizations that will serve significantly philanthropically underserved communities. For purposes of this FY 2010 Notice, the Corporation will consider applicants proposing to serve significantly philanthropically underserved communities if they carryout activities in low-income communities (as defined above), which are also in a rural geographic area. For purposes of this Notice, a rural geographic area is one with a 2003 Rural-Urban Continuum Code of 6 or higher (as issued by the U.S. Department of Agriculture, Economic Research Service). The full list of RuralUrban Continuum Codes is listed here: http://www.ers.usda.gov/briefing/ rurality/ruralurbcon/. In the FY 2010 SIF award competition, the Corporation does not anticipate reducing the match requirement for applicants that will be serving significantly philanthropically underserved communities. Use of Evidence The SIF is one of several new Federal grant programs that place a significant emphasis on using evidence of program impact as a critical factor in funding decisions, with the goal of directing limited federal resources toward more effective programs and to increase our knowledge about what works. Intermediaries will need to demonstrate in their applications how they use evidence of program impact to select, invest in, and monitor the growth and progression of their subgrantees. Across programs, issue areas, and regions, the available evidence of program effectiveness will necessarily vary, sometimes significantly. However, the best evidence will come from independent, well-designed studies using experimental and quasiexperimental 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 Category 45% ........................ ........................ ........................ 35% ........................ 20% ........................ Part II. Organizational Capacity .................................................. Part III. Cost-Effectiveness and Budget Adequacy .................... pwalker on DSK8KYBLC1PROD with NOTICES of evidence (as defined in Section V) of the subgrantees and use SIF resources to help build the evidence-base of these programs. In addition, the Corporation expects that the use of rigorous evidence will be part of the culture of the intermediary and that, consequently, the intermediary will assess the impact of its own activities. Participation in Learning Community Grantees will be required to participate in, organize, or facilitate, as appropriate, learning communities for the Social Innovation Fund. A learning community, or ‘‘community of practice,’’ is a group of grantees that agrees to interact regularly to solve a persistent problem or improve practice in an area that is important to them. Establishment of learning communities under the SIF will enable grantees to meet, discuss, and collaborate with each other regarding grantee projects. V. Application Review Information Corporation staff and outside reviewers with expertise in innovation, evaluation and replication will rate each eligible application using the following criteria. Percentage Part I. Program Design ............................................................... The specific selection criteria for the various parts and subcategories are listed below. The selection criteria are categorized as either eligibility criteria or application review criteria. Reviewers will first assess your application against the eligibility criteria. If this review shows that an application does not meet any one of the eligibility criteria specified below, the application will not be further reviewed. All eligible applications will be fully reviewed and assessed based on both the eligibility and application review criteria. To best respond to the criteria, we suggest that you address each question, suggestion, or bullet if it pertains to your application. However, these recommendations on addressing the criteria are not exhaustive. Applicants should be careful to specifically address the eligibility and application review VerDate Nov<24>2008 19:02 Dec 28, 2009 Jkt 220001 68793 Sub-Categories Goals and Objectives. Use of Evidence. Community Resources. Description of Activities. Ability to Provide Program Oversight. Ability to Provide Fiscal Oversight. Budget and Program Design. Match Sources. criteria to the maximum extent practical. In reviewing applications submitted in response to this Notice, the Corporation may consider, with respect to any particular proposal, the factors and information identified in 45 CFR 2522.470. In selecting applicants to receive awards under this Notice, the Corporation will endeavor to include: • Applicants who propose to serve areas that are significantly philanthropically underserved, and • A diverse set of applicants, in terms of issue area and geography. Part I. Program Design (45%) community organizations. As established in the Act, there are two basic operational models of SIF intermediaries. The first is a SIF that will operate in a single geographic location, and address one or more issues within that location. This model is referred to as a ‘‘geographically-based SIF.’’ The second model is a SIF that will address a single issue area in multiple geographic locations. This model is referred to as an ‘‘issue-area based SIF.’’ The Corporation will assess whether the application properly proposes goals and objectives as either a geographically-based or an issue areabased SIF. A. Goals and Objectives Geographically-Based SIF Eligibility Criteria To apply as a geographically-based SIF, the applicant must propose to focus on serving low-income communities within a specific local geographic area, The Corporation asks applicants to use a thematic approach in describing their proposed investments in PO 00000 Frm 00018 Fmt 4703 Sfmt 4703 E:\FR\FM\29DEN1.SGM 29DEN1 68794 Federal Register / Vol. 74, No. 248 / Tuesday, December 29, 2009 / Notices and propose to focus on improving measurable outcomes related to one or more of the following issue areas: • Economic Opportunity—Increasing the economic opportunities for economically disadvantaged individuals; • Youth Development and School Support—Preparing America’s youth for success in school, active citizenship, productive work, and healthy and safe lives–; and • Healthy Futures —Promoting healthy lifestyles and reducing the risk factors that can lead to illness. The application must provide statistics on the needs related to the issue areas within the specific local geographic area, and information on the specific measurable outcomes related to those issue areas that the applicant will seek to improve. Issue Area-Based SIF To apply as an issue area-based SIF, the application must propose to focus on addressing one of the following specific issue areas within multiple lowincome communities: • Economic Opportunity—Increasing the economic opportunities for economically disadvantaged individuals; • Youth Development and School Support—Preparing America’s youth for success in school, active citizenship, productive work, and healthy and safe lives.; and • Healthy Futures —Promoting healthy lifestyles and reducing the risk factors that can lead to illness. The application must provide statistics on the needs related to the issue area within the local geographic areas likely to be served, including statistics demonstrating that those geographic areas have a high need in the specific issue area. The application must also include information on the specific measurable outcomes related to the specific issue area that the applicant will seek to address. pwalker on DSK8KYBLC1PROD with NOTICES Addressing the Eligibility Criteria • Geographically-Based SIF Æ Describe the target community or region that you propose to serve. Æ Describe the specific issue areas on which you propose to focus and the statistical information that supports the need to address those issue areas. Æ Describe your organization’s qualifications to support the proposed goals and objectives. • Issue Area-Based SIF Æ Describe specifically the issue area on which you propose to focus. Æ Describe the specific statistical information showing that the areas VerDate Nov<24>2008 19:02 Dec 28, 2009 Jkt 220001 likely to be served have a high need in this specific issue area. Æ Describe your organization’s qualifications to support the proposed goals and objectives. • Achieving Measurable Outcomes Æ For each issue area, describe the measurable outcomes you propose to achieve. Æ Describe the data that could be used to assess how your program caused progress toward those outcomes. Æ Indicate whether or not you could get relevant data or would aim to contract with others to do so. Æ If you are applying with a portfolio of selected subgrantees, describe their track records of achieving specific outcomes related to the measurable outcomes you have proposed to improve, and how, collectively, your proposed portfolio of SIF subgrantees will achieve measurable results for the target communities. B. Use of Rigorous Evidence Eligibility Criteria Applicants must include in their application information describing their track record of: Using rigorous evidence to select and invest in their subgrantees. • Utilizing data and evaluation tools to monitor the growth and progression of their grantees. • Achieving measurable outcomes. Addressing the Eligibility Criteria The Corporation expects grantees, to the extent practicable, to fund subgrantees with rigorous evidence of their impact. The Corporation will prioritize intermediaries whose subgrantees have strong evidence of strong impact (as described below). The Corporation recognizes, however, that in many parts of the country, and in many fields, such evidence will not yet be available. In these areas, the Corporation will prioritize intermediaries that are prepared to build portfolios that, over time, are most likely to demonstrate strong evidence of strong impact. Such intermediaries could have portfolios of programs supported by moderate evidence (as described below), or that they are planning to run a competition that will prioritize such entities. In areas where such evidence also is not available, the Corporation has provided examples of preliminary evidence that might be considered for funding in order to build the base of evidence about what works, make program improvements, and inform future investments. In order to achieve the goal of increasing our knowledge of what PO 00000 Frm 00019 Fmt 4703 Sfmt 4703 works, the Corporation expects that all intermediary applicants will have a clear and detailed plan for evaluating the impact of their investments and that one of the goals of these evaluation plans will be to increase the number of programs over time that have moderate or strong evidence of program effectiveness. The Corporation will use the following definitions of impact and evidence (these definitions are consistent with those used in the Investing in Innovation fund at the Department of Education): • Strong impact means an impact with a substantial likelihood of yielding a major change in life outcomes for individuals or improvements in community standards of living. This definition will vary with context. To give examples, a mentoring program that cut youth crime by 2 percent over a given period would not have a strong impact, but a program that cut such crime by 20 percent could. A program that increases earnings by $50 per week for one month, and then fades out, would not have a strong impact. A program that increased earnings by this amount for a period of years would. • Strong evidence means evidence from previous studies whose designs can support causal conclusions (i.e., studies with high internal validity), and studies that in total include enough of the range of participants and settings to support scaling up to the State, regional, or national level (i.e., studies with high external validity). The following are examples of strong evidence: (1) More than one well-designed and wellimplemented experimental study (as defined in this Notice) or well-designed and well-implemented quasiexperimental study (as defined in this Notice) that supports the effectiveness of the practice, strategy, or program; or (2) one large, well-designed and wellimplemented 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 wellimplemented experimental or quasiexperimental 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 E:\FR\FM\29DEN1.SGM 29DEN1 Federal Register / Vol. 74, No. 248 / Tuesday, December 29, 2009 / Notices least one well-designed and wellimplemented experimental or quasiexperimental study that does not demonstrate equivalence between the intervention and comparison groups at program entry but that has no other major flaws related to internal validity; or (3) correlational research with strong statistical controls for selection bias and for discerning the influence of internal factors. • Preliminary evidence means evidence that is based on a reasonable hypothesis supported by research findings. Thus, research that has yielded promising results for either the program, or a similar program, will constitute preliminary evidence, and will meet the Corporation’s criteria. Examples of research that meet the standards include: (1) Outcome studies that track program participants through a service ‘pipeline’ and measure participants’ responses at the end of the program; and (2) pre- and post-test research that determines whether participants have improved on an outcome of interest. In future years, the Corporation may expand its standard for preliminary evidence to include reasonable hypotheses that are based on theories of change. pwalker on DSK8KYBLC1PROD with NOTICES Assessment of Subgrantee Evidence Applicants should gauge whether each proposed subgrantee has preliminary, moderate, or strong evidence of program effectiveness. This determination should be fully substantiated, as appropriate, with: • A summary of recently completed evaluation(s) of the subgrantees’ programs. For subgrantees presenting preliminary evidence, the evaluation(s) may be from a similar program, but must include a justification for why the evaluation(s) are appropriate for the subgrantees’ program and demonstrate an understanding of the research literature in this area(s). • Weblinks to recent reports (both published and unpublished) from these studies. Links should be to full reports and appendices; i.e., not executive summaries or journal articles. Preferably, the reports will include design documentation. Applicant’s Track Record of Using Rigorous Evidence To Select, Invest in, and Monitor the Grantees Describe situations in which your organization has applied evidence produced by rigorous evaluations in decision-making with respect to specific programs at either the preliminary, moderate, or strong levels. • Describe the process your organization uses to incorporate VerDate Nov<24>2008 19:02 Dec 28, 2009 Jkt 220001 evidence into the selection, investment, and monitoring of your grantees. • Describe a specific example of how your organization has used rigorous evidence to drive program improvement and/or increase the base of evidence of what works. • Describe the study or studies that generated the evidence (e.g., methodology), and the evidence that was derived from the evaluation(s). Provide weblinks to recent report(s) (both published and unpublished) from these studies. Links should be to full reports and appendices; i.e., not executive summaries or journal articles. Preferably, the reports will include design documentation. C. Community Resources The applicant’s community resources will be assessed as described in Part III. B. Match Sources. D. Description of Activities 1. Subgranting Application Review Criteria Applicants must describe the process by which they have competitively selected (or will competitively select) their community organization subgrantees. Specifically, applicants must describe how their competitive subgrantee selection process ensured (or will ensure) that their subgrantees: • Is a nonprofit community organization with proven/promising evidence and a demonstrated track record of achieving specific outcomes related to the measurable outcomes for the SIF intermediary; • Has articulated measurable outcomes for the use of the subgrant funds that are connected to the measurable outcomes for the intermediary; • Has a well-defined plan for replicating, expanding, or supporting the initiatives funded, and will use the grant funds to carry out that plan; • Has strong leadership and financial and management systems; • Will meet the requirements for subgrantees providing dollar-for-dollar matching funds and can sustain the initiatives after the subgrant period concludes; and • Is committed to the use of data collection and evaluation for improvement of the initiatives. Either as part of its review of the application, or in clarification reviews prior to award, the Corporation may request additional information regarding pre-selected subgrantees for compliance and appropriate outcomes. For those applicants who propose to carryout a subgrant process after they PO 00000 Frm 00020 Fmt 4703 Sfmt 4703 68795 are selected for award, the Corporation will review the results of the subgrant process for compliance and appropriate outcomes. Addressing the Review Criteria • Describe how your proposed subgrantees meet the stated requirements. • Describe your approach to identifying and selecting innovations with impact potential, and provide examples of the effectiveness and transparency of that approach. • Describe your use of a rigorous selection process based on evidence of impact. • Describe your relationships with and engagement of experts and leaders in relevant domains to ensure quality identification and selection of subgrantees. 2. Technical Assistance and Support Application Review Criteria Applicants must include in their application information describing how they will provide technical assistance and support (other than financial support) that will increase the ability of subgrantees to achieve their measurable outcomes, including expansion or replication of the identified solution. Expansion or replication may happen in various ways (including, for example, creating new sites or affiliating with another program to replicate an intervention) and in multiple contexts, including serving more people in a current geography or, growing to new geographies. Addressing the Review Criteria • Describe your commitment to longterm relationships with subgrantees; and your goal to take them ‘‘from A to B.’’ • How will you help your subgrantees invest in program effectiveness (appropriate to their respective organizational lifestages)? • How will you provide resources and support to build subgrantee capacity in key areas? • Describe your willingness to support your subgrantees in achieving match requirements. • Describe your track record of using data to measure your grantees’ performance and holding grantees accountable for progress. Part II. Organizational Capacity (35%) A. Ability To Provide Program Oversight Application Review Criteria In evaluating your organization’s ability to provide program oversight, the Corporation will consider: E:\FR\FM\29DEN1.SGM 29DEN1 68796 Federal Register / Vol. 74, No. 248 / Tuesday, December 29, 2009 / Notices • The extent to which your organization has a sound structure including: Æ The ability to provide sound programmatic oversight, including: b Experience with and capacity for evaluation, and b Experience with and capacity for supporting expansion or replication; Æ Well-defined roles for your board of directors, administrators, and staff; Æ A well-designed plan or systems for organizational (as opposed to subgrantee) self-assessment and continuous improvement; and Æ The ability to provide and/or secure effective technical assistance. • Whether your organization has a sound record of accomplishment, including the extent to which you: Æ Have a track record of supporting organizations that demonstrate evidence of impact; Æ Demonstrate leadership within the organization and strong relationships within the communities served; and Æ Have a track-record of raising substantial resources, and, if, you are an existing Federal grantee, you have secured the matching resources as required in your prior grant awards. • The extent to which your community support recurs, increases in scope or amount, and is more diverse, as evidenced by: Æ Collaborations that include a diverse spectrum of community stakeholders; Æ A broad base of financial support, including local financial and in-kind contributions; and Æ Supporters who represent a wide range of community stakeholders. Addressing the Review Criteria pwalker on DSK8KYBLC1PROD with NOTICES Sound Organizational Structure • Ability to Provide Sound Programmatic Oversight: Æ Provide a brief history of your organization. What year was your organization established? Describe your organization’s experience in the proposed areas of activity and your experience operating and overseeing programs comparable to the ones proposed. Include specific examples of your prior accomplishments and outcomes. Describe your capacity to manage a Federal grant and to provide on site monitoring of the financial and other systems required to administer a Federal grant. Æ Describe the types of evaluations the applicant has conducted or sponsored, including the quality and selection of evaluators, the study methodologies (including data collection and analysis), and the VerDate Nov<24>2008 19:02 Dec 28, 2009 Jkt 220001 reporting and release of the findings. Please provide weblinks to recent reports (both published and unpublished) from these evaluations. Links should be to full reports and appendices; i.e., not executive summaries or journal articles. Preferably the reports will include design documentation. Æ What are the procedures that you have in place to ensure that the evaluations meet the optimum standards of technical quality and independence? Æ How have you used and shared the results of evaluations (both positive and negative findings) for program improvement? Æ Describe the range of replications that you have overseen or sponsored. Æ Describe the kinds of resources (e.g., data systems; staff) you have for expansion or replication. Æ Explain how you are able to support and oversee multiple programs at different locations. Æ What are your current or previous programmatic relationships with the programs? Æ Describe your plans for monitoring site compliance programmatic requirements. • Board of Directors, Administrators, and Staff: Æ Describe your organization’s management and staff structure and how the board of directors, administrators, and staff members will be used to support your program. Æ Identify the key program positions responsible for your organization. Describe the relevant background and experience of all staff members working on the project and their respective roles, or your plans to recruit, select, train, and support additional staff, and their roles. • Plan for Self-Assessment or Improvement: Æ How does your organization conduct ongoing internal assessment and improvement of its overall—not program-specific—systems, structure, staffing, and other capacities to ensure that it remains sound and well managed? Existing grantmaking institutions are organizations in existence at the time of the application that have the following as part of their core operating functions: • Conducting open or otherwise competitive programs to award grants to a diverse portfolio of local community organizations, • Negotiating specific grant requirements with local community organizations, and • Overseeing and monitoring the performance of its grantees. B. Ability To Provide Fiscal Oversight In evaluating the cost-effectiveness and budget adequacy of your proposed program, the Corporation will consider: • Whether your program is costeffective based on: Æ The extent to which your program demonstrates diverse, non-Federal resources for program implementation and sustainability; Æ The extent to which you are proposing to provide more than the minimum required share of the costs of your program; and Eligibility Criteria Entities eligible to apply for SIF grants include: • Existing grant-making institutions, or • Partnerships between an existing grant-making institution and another grant-making institution, a State Commission, or the chief executive officer of a unit of general local government. PO 00000 Frm 00021 Fmt 4703 Sfmt 4703 Addressing the Eligibility Criteria Describe your qualifications (as either a qualifying grantmaking institution or partnership including at least one grantmaking institution), as well as any strategic associations with other organizations. Application Review Criteria In evaluating your organization’s ability to provide fiscal oversight, the Corporation will take into account its review of your organization’s organizational capacity. The Corporation will further consider: • The extent to which your organization has key personnel with the knowledge, skills, abilities and experience to provide fiscal oversight of subgrantees; and • Whether your organization, or proposed strategic partnership, has specific experience in providing fiscal oversight of subgrantees of Federal funds. Addressing the Review Criteria Describe the experience and infrastructure your organization has in managing grants. • What is your current organizational budget? • What percentage of the budget would this grant represent? • How will you ensure compliance with Federal requirements? Part III. Cost Effectiveness and Budget Adequacy (20%) A. Budget and Program Design Application Review Criteria E:\FR\FM\29DEN1.SGM 29DEN1 Federal Register / Vol. 74, No. 248 / Tuesday, December 29, 2009 / Notices Æ 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. secure, and how you will secure them. In the budget, you must list the sources of your match funds. • Describe the extent to which you propose to provide matching funds in excess of the minimum requirement. Addressing the Application Review Criteria • Demonstrate how your program has or will obtain diverse non-Federal resources for program implementation and sustainability. • Discuss the adequacy of your budget to support your program design including how it is sufficient to support your program activities and is linked to your desired outputs and outcomes. A. Award Notices B. Match Sources Eligibility Criteria At the time of submission of the application, applicants must demonstrate either cash-on-hand or commitments (or a combination thereof) toward meeting 50 percent of their first year matching funds, based on the amount of Federal grant funds applied for. pwalker on DSK8KYBLC1PROD with NOTICES Addressing the Eligibility Criteria Applicants may demonstrate cash-onhand by a statement from the Chief Financial Officer or other officer that the organization has established a reserve of otherwise uncommitted funds for the purposes of performing a SIF grant. Applicants may demonstrate commitments by a dated and signed letter from each donor/foundation, indicating the amount of funds committed for the specific use of supporting the Social Innovation Fund grant. Such a letter must contain a firm commitment to provide the applicant the stated funding upon award of a SIF grant by the Corporation. The Corporation’s instructions on submitting applications through eGrants will provide further guidance on how to submit this documentation. Application Review Criteria In addition to the match eligibility criteria, the Corporation will evaluate the extent to which you have a combination of cash-on-hand or commitments to meet the full match requirements, and whether your organization will be able to provide financial resources for your SIF program beyond the minimum required match. Addressing the Application Review Criteria • Include a discussion of the additional commitments you plan to VerDate Nov<24>2008 19:02 Dec 28, 2009 Jkt 220001 VI. Award Administration Information The Corporation will award cooperative agreements following the grant selection announcement. We anticipate announcing the results of this competition in Summer 2010. The government is not obligated to make any award as a result of this Notice. B. Administrative and National Policy Requirements The Notice of Grant Award (NGA) will be subject to and incorporate the requirements of section 198k of the National and Community Service Act of 1990, as well as other applicable sections of the Act. The NGA will also incorporate the approved application and budget as part of the binding commitments under any award. Awardees will be subject to the following (as applicable): 2 CFR Part 175—Award term for trafficking in persons 2 CFR Parts 180 and 2200— Nonprocurement Debarment and Suspension 2 CFR Part 215 and 45 CFR Part 2543— Uniform Administrative Requirements for Grants and Agreements with Institutions of Higher Education, Hospitals, and Other Non-Profit Organizations (OMB Circular A–110) 2 CFR Part 220—Cost Principles for Educational Institutions (OMB Circular A–21) 2 CFR Part 225—Cost Principles for State, Local and Tribal Governments (OMB Circular A–87) 2 CFR Part 230—Cost Principles for Non-Profit Organizations (OMB Circular A–122) 45 CFR Part 2541—Uniform Administrative Requirements for Grants and Cooperative Agreements to State and Local Governments 45 CFR Part 2545—Governmentwide Requirements for Drug-Free Workplace (Financial Assistance) 45 CFR Part 2555—Nondiscrimination on The Basis of Sex in Education Programs or Activities Receiving Federal Financial Assistance The Single Audit Act (31 U.S.C. Chapter 75) and OMB Circular A–133, Audits of States, Local Governments, and Non-Profit Organizations (Available at: http://www.whitehouse.gov/omb/ assets/omb/circulars/a133/a133.pdf.) PO 00000 Frm 00022 Fmt 4703 Sfmt 4703 68797 The award recipient must comply with the following requirements: Use of Materials To ensure that materials generated with Corporation funding are available to the public and readily accessible to grantees and sub-grantees, the Corporation reserves a royalty-free, nonexclusive, and irrevocable right to obtain, use, modify, reproduce, publish, or disseminate publications and materials produced under the award, including data, and to authorize others to do so. Limitation on Consultant Fees Funds may not be used to pay or to provide reimbursements for payment of the salary of a consultant at more than the daily equivalent rate of $540.00. C. Reporting Requirements What are the reporting requirements for these grants? The award recipient for this competition must identify the critical outcomes of the work, indicators of success in this work, and how progress can be judged or measured. The recipient will be required to report semi-annually on agreed upon performance measures. Specific guidance on the collection of data against these standardized measures will be provided upon award. The Corporation may also require an independent assessment of grantee performance. In addition, the Corporation expects intermediaries to hold subgrantees accountable for their progress against agreed-upon indicators of success. The intermediaries will be asked to report subgrantee performance information to the Corporation. Performance Progress Reports (PPR) A semi-annual narrative progress report is submitted using the Corporation’s web-based grants management system, eGrants, no later than 30 days after the close of each reporting period. The report will include: • Budget report for the completed budget period. • Narrative analysis of the budget report, explaining differences between budgeted and actual activities and costs by funding source. • Progress towards performance goals and any supporting data and methodology. • Analysis of sub-application progress and performance measures. • Discussion of any problems observed or experienced and recommended solutions. E:\FR\FM\29DEN1.SGM 29DEN1 68798 Federal Register / Vol. 74, No. 248 / Tuesday, December 29, 2009 / Notices Federal Financial Reports Federal Financial Reports (FFRs) must be submitted semi-annually. The reports are cumulative and must be submitted on the Corporation’s Web-based grants management system, eGrants, no later than 30 days after the close of each reporting period. Final Reports In addition to submission of required semi-annual reports, the award recipient completing an agreement period will be required to submit a final report that is cumulative over the entire award period and consistent with the close-out requirements of the Corporation’s Office of Grants Management. The final report is due 90 days after the end of the agreement. In lieu of the last semi-annual FFR, a final FFR must also be submitted. The final FFR is due 90 days after the end of the agreement. Other Data-collection Requirements The Corporation will require SIF grantees to develop final, detailed plans for evaluation of subgrantees that address key questions, such as the following: • What are the specific questions the evaluation(s) intends to answer? • For grantees proposing an impact study, what type of research design (e.g., randomized control trial, quasiexperimental) do you hope to conduct? Why is this evaluation design appropriate for the subgrantees’ stage of development, and what useful information do you hope to gain? • What is the timeline and estimated budget for the evaluation? • Please describe who will conduct the evaluations, and the process you will employ to maintain independence, objectivity, and high quality reports. The award recipient must: • Identify and document effective practices. • Meet as necessary with the cognizant program officer, or other staff or consultants. pwalker on DSK8KYBLC1PROD with NOTICES VII. Agency Contacts This Notice is available at http:// www.nationalservice.gov/pdf/ 09_1218_sif_nofadraft.pdf. The TTY number is 202–606–3472. For further information or for a printed copy of this Notice, call (202) 606–6745. Or send an e-mail to SIFinput@cns.gov. VIII. Other Information A. For additional information on the Edward M. Kennedy Serve America Act, go to: http://www.nationalservice.gov/ pdf/09_0331_recovery_summary.pdf. VerDate Nov<24>2008 19:02 Dec 28, 2009 Jkt 220001 B. Public Burden Statement: The Paperwork Reduction Act of 1995 requires the Corporation to inform all potential persons who are to respond to this collection of information that such persons are not required to respond unless it displays a currently valid OMB control number. (See 5 CFR 1320.5(b)(2)(i)). This collection is approved under OMB Control #: 3045– 0129 (CNCS Universal Application, Expiration Date: 11/30/2011). Dated: December 22, 2009. Kristin McSwain, Chief of Program Operations. [FR Doc. E9–30807 Filed 12–28–09; 8:45 am] BILLING CODE 6050–28–P DEPARTMENT OF DEFENSE Office of the Secretary [Docket ID: DOD–2009–HA–0185] Proposed Collection; Comment Request AGENCY: Office of the Assistant Secretary of Defense for Health Affairs, DoD. ACTION: Notice. SUMMARY: In compliance with section 3506(c)(2)(A) of the Paperwork Reduction Act of 1995, the Office of the Assistant Secretary of Defense for Health Affairs announces the proposed extension of a public information collection and seeks public comment on the provisions thereof. Comments are invited on: Whether the proposed collection of information is necessary for the proper performance of the functions of the agency, including whether the information shall have practical utility; the accuracy of the agency’s estimate of the burden of the proposed information collection; ways to enhance the quality, utility, and clarity of the information to be collected; and ways to minimize the burden of the information collection on respondents, including through the use of automated collection techniques or other forms of information technology. DATES: Consideration will be given to all comments received by March 1, 2010. ADDRESSES: You may submit comments, identified by docket number and title, by any of the following methods: • Federal eRulemaking Portal: http:// www.regulations.gov. Follow the instructions for submitting comments. • Mail: Federal Docket Management System Office, 1160 Defense Pentagon, Washington, DC 20301–1160. Instructions: All submissions received must include the agency name, docket PO 00000 Frm 00023 Fmt 4703 Sfmt 4703 number and title for this Federal Register document. The general policy for comments and other submissions from members of the public is to make these submissions available for public viewing on the Internet at http:// www.regulations.gov as they are received without change, including any personal identifiers or contact information. FOR FURTHER INFORMATION CONTACT: To request more information on this proposed information collection or to obtain a copy of the proposal and associated collection instruments, please write to: TRICARE Management Activity, TRICARE Overseas Program Branch, ATTN: Ms. Kimberly Stakes, 5111 Leesburg Pike, Suite 810, Falls Church, VA 22041–3206, or call 703– 681–0039. Title; Associated Form; and OMB Number: Women, Infants, and Children Overseas Program (WIC Overseas) Eligibility Application; OMB Control Number 0720–0030. Needs and Uses: The proposed information collection requirement is necessary for individuals to apply for certification and periodic recertification to receive WIC Overseas benefits. Affected Public: Individuals or Households. Annual Burden Hours: 187.5. Number of Respondents: 375. Responses per Respondent: 1. Average Burden per Response: 15 minutes. Frequency: Initially and Every Six Months. SUPPLEMENTARY INFORMATION: Summary of Information Collection The purpose of the program is to provide supplemental foods and nutrition education to serve as an adjunct to good health care during critical times of growth and development, in order to prevent the occurrence of health problems, including drug and other substance abuse, and to improve the health status of program participants. The benefit is similar to the benefit provided under the domestic WIC program. Respondents are individuals who are members of the armed forces on duty at stations outside the United States (and its territories and possessions) and to eligible civilians serving with, employed by, or accompanying the armed forces at these locations who desire to receive supplemental food and nutrition education services. To be eligible for the DoD special supplemental food program, a person must be a member of the armed forces on duty at stations outside the U.S. (and E:\FR\FM\29DEN1.SGM 29DEN1

Agencies

[Federal Register Volume 74, Number 248 (Tuesday, December 29, 2009)]
[Notices]
[Pages 68789-68798]
From the Federal Register Online via the Government Printing Office [www.gpo.gov]
[FR Doc No: E9-30807]



[[Page 68789]]

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CORPORATION FOR NATIONAL AND COMMUNITY SERVICE


Proposed Notice of Funds Available (NOFA) for Social Innovation 
Fund Awards; Request for Feedback

AGENCY: Corporation for National and Community Service (the 
Corporation).

ACTION: Request for Feedback on the Corporation's Fiscal Year (FY) 2010 
Notice of Funds Available (NOFA) for Social Innovation Fund Awards.

-----------------------------------------------------------------------

SUMMARY: This draft Notice of Funds Available (NOFA) announces the 
availability of funding for the newly created Social Innovation Fund 
(SIF), authorized by the Edward M. Kennedy Serve America Act of 2009. 
The Social Innovation Fund is a vehicle to invest in promising, 
innovative nonprofit organizations to help them strengthen their 
evidence-base and develop the infrastructure to address our national 
challenges in communities of need.
    In FY 2010, SIF awards will be made to a select number of 
grantmaking intermediaries (or eligible partnerships) focused on 
improving measurable outcomes in the following priority areas:
     Increased economic opportunity;
     Preparing America's youth for success in school, active 
citizenship, productive work, and healthy and safe lives.
     Promoting healthy lifestyles and reducing the risk factors 
that can lead to illness.
    The SIF will stimulate and support a national network of 
intermediary grantmaking institutions to identify and invest in 
promising organizations to help them build their evidence-base and 
support their growth. Social Innovation Fund grantees will match the 
Federal funds received (dollar-for-dollar, in cash) in order to make 
subgrants to nonprofit community organizations so that they, in turn, 
can: (1) Produce measurable and transformational outcomes within 
specific issue areas or geographic regions; (2) Add to the store of 
evidence of effective approaches to achieving impact; and (3) Replicate 
and/or expand their proven initiatives to reach more Americans.
    Successful applicants in this competition will demonstrate:
     An ability to conduct a robust process for identifying and 
selecting innovative organizations with considerable potential to 
produce significant results and broaden their impact; and
     A strong track record of using rigorous evidence to 
select, invest in, and monitor the growth and progression of their 
grantees.
    For FY 2010, SIF applicants must demonstrate the ability to meet 50 
percent of their cash match requirement at the time of the application. 
This Notice provides full details on how applicants must address these 
and other factors in submitting their applications.
    The Corporation is soliciting public input on the proposed 
structure of the Social Innovation Fund, as outlined in this draft 
Notice of Federal Funding Opportunity (NOFA). As appropriate, the 
feedback received will be taken into account in the final NOFA. (The 
Corporation will not provide individual responses to feedback 
received.)

DATES: Feedback Due Date: January 15, 2010.

ADDRESSES: You may submit feedback, identified by Section xx of this 
draft Notice, by any of the following methods:
    (1) By mail sent to: Corporation for National and Community 
Service, Attention: Stephanie Soper, Room 10708A; 1201 New York Avenue, 
NW., Washington, DC, 20525.
    (2) By hand delivery or by courier to: The Corporation's mailroom 
at Room 8100 at the mail address given in paragraph (1) above, between 
9 a.m. and 4 p.m. Monday through Friday, except Federal holidays.
    (3) By fax to: (202) 606-3466, Attention: Stephanie Soper, SIF 
Docket Manager.
    (4) Electronically through the Corporation's e-mail address system: 
SIFinput@cns.gov.

FOR FURTHER INFORMATION CONTACT: Questions regarding specific SIF 
program requirements should be directed to Stephanie Soper by e-mail at 
SIFinput@cns.gov. Persons with hearing or speech impairments may access 
these numbers via TTY by calling the Federal Information Relay Service 
at (800) 877-8339.

Overview Information

    A. Federal Agency Name: Corporation for National and Community 
Service.
    B. Funding Opportunity Title: Social Innovation Fund.
    C. Announcement Type: Initial announcement.
    D. Funding Opportunity Number: OMB Approval Numbers applicable to 
this NOFA are -------- and --------.
    E. Catalog of Federal Domestic Assistance (CFDA) Number(s): 94:019.
    F. Dates:
    1. Application Receipt Requirements and Date: CNCS is not currently 
accepting applications for this assistance.
    2. Estimated Award Date. The estimated award date will be included 
in the final NOFA published by CNCS.
    G. Additional Important Overview Information:
    1. We are specifically seeking feedback on the Social Innovation 
Fund, and not the Corporation's overall grant making processes/
policies.
     The Corporation is specifically inviting feedback on 
whether or not its treatment of low-income, rural, and ``significantly 
philanthropically underserved'' communities (as described in Section IV 
of the Notice) is appropriate, and, if not, what other appropriate 
treatments might be. Specifically, the Corporation is interested in 
viewpoints on how specific geographic areas can be identified as ``low-
income communities,'' including an appropriate threshold to include in 
the approach the Corporation has initially adopted in this Notice.
     As described in Section IV of the Notice, the Corporation 
expects that the use of rigorous evidence will be part of the culture 
of any intermediary that will receive SIF funding; and that, 
consequently, the intermediary will assess the impact of its own 
activities. The Corporation is specifically inviting feedback on how 
the intermediaries should assess the impact of their work and how the 
Corporation should hold intermediaries accountable for their 
performance.
     As described in Section VI of the Notice, the Corporation 
expects intermediaries to hold subgrantees accountable for their 
progress against agreed-upon indicators of success. Therefore, the 
Corporation will ask SIF intermediaries to report subgrantee 
performance information to the Corporation. The Corporation is 
interested in determining the right structure of accountability for 
both Intermediaries and subgrantees, and invites public feedback on the 
appropriate accountability framework.
    2. Application materials. The NOFA and application materials will 
be available for download via the Corporation's Web site at http://www.nationalservice.gov/pdf/09_1218_sif_nofadraft.pdf.

Full Text of Announcement

I. Funding Opportunity Description

What is the purpose of the Social Innovation Fund?

    The Edward M. Kennedy Serve America Act of 2009 established the 
Social Innovation Fund within the Corporation for National and 
Community Service (the Corporation). The Social Innovation Fund, also 
referred to as the SIF throughout this draft NOFA, is intended to 
support a

[[Page 68790]]

national network of funds, led by community experts, that identify and 
invest in promising organizations that demonstrate impact in low-income 
communities. The Corporation defines ``social innovation'' as the 
development of a potentially transformative practice or approach to 
meeting critical social needs. By investing in social innovation as a 
driver of results and accountability, the Federal government will play 
a central role in accelerating the spread of promising solutions to 
address our most pressing national and local challenges. In FY 2010, 
SIF awards will be focused on improving measurable outcomes in the 
following priority areas:
     Economic Opportunity--Increasing the economic 
opportunities for economically disadvantaged individuals;
     Youth Development and School Support--Preparing America's 
youth for success in school, active citizenship, productive work, and 
healthy and safe lives; and
     Healthy Futures--Promoting healthy lifestyles, and 
reducing the risk factors that can lead to illness.
    The SIF funds will be awarded to existing intermediary 
organizations, which are either grantmaking institutions or grantmaking 
partnerships as defined in this Notice. These intermediary 
organizations will award subgrants to nonprofit community organizations 
working to address priority issues. To be awarded funding, 
intermediaries will need to demonstrate:
     The ability to identify innovative solutions and 
successfully invest in growth and replication;
     A track record of using rigorous evidence to select, 
invest in, and monitor the growth and progression of their grantees;
     Expertise and demonstrated impact in the proposed issue 
area(s) of focus; and
     Depth and breadth of relationships with stakeholders in 
the issue area or region of focus.
    The SIF will also attract and leverage private donors to match 
Federal dollars, bringing new resources to support promising 
organizations. The statute requires both the SIF intermediaries and 
their subgrantees to match their grants dollar-for-dollar, in cash, 
with non-Federal funding. In FY 2010, the SIF will focus on 
dramatically accelerating a select number of community innovations that 
are supported by rigorous evidence, have the capacity to expand or 
replicate, and have the potential to be transformational.

Emphasis on Evidence

    The Corporation is committed to using the limited resources 
available to the SIF to invest in the programs likeliest to produce 
transformative change. Wherever possible, this means acting on evidence 
from well-designed and well-implemented experimental or quasi-
experimental studies that demonstrate the program has a sizeable 
impact. However, the Corporation recognizes that in many fields and in 
many parts of the country, such evidence is not available. In those 
cases, the Corporation is committed to funding promising efforts in 
order to build the base of evidence about what works, improve programs, 
and inform future investments.
    The SIF will support the use of evidence in several ways. First, 
the SIF will prioritize intermediaries that use rigorous evidence (see 
Section V) to select and invest in their grantees. Second, the SIF will 
encourage the use of data and evaluation tools by both intermediaries 
and grantees to monitor the growth and progression of their grantees. 
Third, the SIF will evaluate the efforts of these intermediaries and 
their grantees to achieve measurable outcomes. Finally, the SIF seeks 
to connect the efforts of government and foundations to use evidence 
and evaluation in systematic ways. Taken together, these efforts aim to 
help both SIF grantees and the nonprofit and philanthropic communities 
as a whole.

Subgranting as Part of the SIF Award Competition

    As discussed above, this Notice seeks applications for 
organizations to act as SIF intermediaries. By statute, SIF 
intermediaries must select subgrantees on a competitive basis. The 
primary functions of the recipients of these awards will be to conduct 
subgrant competitions and administer those subgrants as required by the 
National and Community Service Act of 1990 (``the Act''), this Notice, 
and the terms and conditions of the final awards. Subgrants are to be 
made in annual amounts of $100,000 or more per year. However, for the 
FY 2010 SIF competition, the Corporation anticipates SIF intermediaries 
awarding subgrants that reflect more substantial investment in programs 
that show the highest levels of effectiveness, as defined in Section V.
    The criteria applicable to the subgrant competitions are specified 
in Section V of this Notice. Applicants should note that their 
subgrantees will be required to provide dollar-for-dollar matching 
funds, in cash, for each year that they receive a SIF subgrant. 
Applicants may either: (1) Conduct a subgrant competition before 
applying to the Corporation (thereby applying with an identified set of 
local community organizations that would receive funding upon a SIF 
intermediary grant award); or (2) conduct a subgrant competition after 
receiving a SIF intermediary grant award. In either case, the 
Corporation will assess the completed or proposed subgrant competition 
against the criteria specified in Section V.
    For applicants in the first category, the Corporation may request 
additional information regarding any pre-selected subgrantees for 
compliance against the criteria as described in this Notice. For 
applicants in the second category, the Corporation may: (1) Require 
that the intermediary select its subgrantees within six months of the 
grant award; and (2) review the results of the subgrant process for 
compliance and appropriate outcomes.
    In evaluating two applications of otherwise equal merit, the 
Corporation may give preference to the applicant that identifies its 
subgrantees in its application. An applicant that identifies 
subgrantees is more likely to have an impact in communities sooner than 
an applicant that plans to select subgrantees post-award. Moreover, an 
application that identifies subgrantees provides the Corporation with 
more information about the strengths and weaknesses of a proposed 
program.

Illustrations of Potentially Successful SIF Applicants

    The following examples are intended to provide illustrations of 
hypothetical SIF awardees.
    Scenario #1: A rural, nonprofit grantmaking organization with deep 
roots in the local community and a strong focus on community needs, 
including education, health and poverty.
     You have a track record of engaging a broad array of 
stakeholders across sectors and convening them to develop integrated 
and coordinated responses to critical social problems. Your investment 
in local organizations is substantive and multi-year, and includes both 
financial capital and intellectual resources. Directly, and through 
contracted services, you provide support for management assistance and 
evaluation. You have identified a select number of local innovations 
with evidence of impact, and you are committed to growing and testing 
these models.
    Scenario #2: A high-engagement philanthropy organization working 
with a handful of innovative community

[[Page 68791]]

organizations in two areas: workforce development and poverty 
alleviation.
     You invest in select organizations around the country 
identified through your own due-diligence process. Your emphasis is on 
identifying promising innovations ripe for larger-scale investment, and 
your organization provides multi-year funding for support of growth 
capacity, management assistance and evaluation. A subset of your 
portfolio has gathered rigorous evidence of impact, and you want to 
work with them as a group to deepen their models and extract lessons 
that could potentially inform public policy in the identified key issue 
areas.
    Scenario #3: A local government office with a commitment to 
spurring, investing in, and supporting new solutions to local problems.
     You provide multi-year investment and support to both 
pilot and evaluate local innovations led by your agencies in 
partnership with high-capacity nonprofit groups. You conduct evaluation 
of your grantees through outside organizations, while also relying on 
some in-house capacity. Two other municipalities have approached you 
about partnering, and you are considering partnering with them to 
spread the most promising solutions within your current portfolio.

II. Award Information

How much funding is available?

    The Corporation anticipates that up to $50 million will be 
available to award new cooperative agreements in the approximate 
amounts of $5 million to $10 million to approximately five to seven 
intermediary organizations.
    Within this range, the amount of the individual awards may vary. 
The Corporation expects to make larger grants to those intermediary 
organizations whose subgrantees have higher levels of evidence (as 
described in Section V) of strong impact and the capacity to expand or 
replicate quickly.

What Is the Project Award Period?

    The SIF award periods are up to five years, with funding provided 
in annual increments. Grantees will be eligible for continuation 
funding in the second through fifth year contingent on the availability 
of appropriations, compliance with grant conditions, and satisfactory 
performance, including having secured cash matching funds.

What Is the Award Amount?

    For the FY 2010 SIF award competition, the Corporation expects to 
make annual awards in the range of $5 million to $10 million, with an 
average of approximately $7 million. As noted earlier, the Corporation 
expects to make larger grants to those intermediary organizations whose 
subgrantees have higher levels of evidence (as described in Section V) 
of strong impact and the capacity to expand or replicate.

What Is the type of Funding Instrument used for these grants?

    The funding instrument for the SIF is a cooperative agreement. As a 
partner in this cooperative agreement, the Corporation expects to have 
substantial involvement with the intermediary organizations as they 
carry out approved activities. In particular, the Corporation 
anticipates having substantial involvement in: Reviewing the results of 
the subgrant process for compliance and appropriate outcomes;
     The development of final, detailed plans for evaluation of 
major subgrantees that would include:
    [cir] The specific questions the evaluation(s) intends to answer;
    [cir] The type of research design (including rigorous impact 
evaluations of the largest subgrantees);
    [cir] The timeline and estimated budget for the evaluation;
    [cir] Description of who will conduct the evaluations and the 
process to be employed to maintain independence, objectivity, and high-
quality reports;
     The development of a final, detailed plan for expansion or 
replication of subgrantees;
     The development of best practices deliverables in 
collaboration with Corporation staff; and
     Other appropriate activities as specified in the final 
award.

III. Eligibility Information

    This competition is open to all entities that meet the eligibility 
criteria as specified in this Notice. Receipt of prior Corporation or 
other Federal grant funding is not a prerequisite to applying under 
this Notice.
    To be eligible for a SIF intermediary award, you must:
     Be an existing grantmaking institution or an eligible 
partnership;
     Properly propose to be either a geographically- or issue 
area-based SIF that will focus on improving measurable outcomes;
     Have a strong track record of using rigorous evidence to 
select, invest in, and monitor the growth and progression of your 
grantees.
     Have a well-articulated plan to either:
    [cir] Replicate and expand research-proven initiatives that have 
been shown to produce sizable, sustained benefits to participants or 
society, or
    [cir] Partner with a research organization to carryout rigorous 
evaluations to assess the effectiveness of such initiatives;
     Have appropriate policies on conflicts of interest, self 
dealing and other improper practices; and
     Demonstrate either cash-on-hand or commitments (or a 
combination thereof) toward meeting 50 percent of your first year 
matching funds, based on the amount of grant funds requested. For 
example, a request of $1 million needs to be accompanied by 
documentation of $500,000 dollars on-hand at the time of application.
    Some of these eligibility requirements are specifically addressed 
as eligibility factors in the selection criteria in Section V of this 
Notice. The Corporation will conduct initial reviews of applications to 
determine whether they meet those specific eligibility criteria. Any 
application that does not meet all of the eligibility criteria 
identified in Section V will not be further reviewed.
    Applications that meet all the eligibility criteria discussed in 
Section V will be reviewed in full. In its full evaluations, the 
Corporation will consider and weigh how the applications address all 
the stated criteria (both Eligibility Criteria and Application Review 
Criteria).
    The Corporation will make an award only after determining that an 
organization meets all the eligibility criteria. As necessary, the 
Corporation will further evaluate an applicant during clarifying 
discussions (and possible site visits) with applicants. The Corporation 
also anticipates conducting due diligence reviews to assess or confirm 
information or assurances provided by applicants. As part of these 
further discussions and reviews, the Corporation may conclude that 
applicants do not meet one or more of the eligibility requirements. In 
that case, the Corporation will not further consider the application.
    In order to maximize the impact of the of the SIF and ensure a 
diverse array of innovative grantees across the Federal government, 
preference will be given to intermediary applicants that agree to 
direct SIF funds toward innovations that are not likely to be receiving 
large amounts from other Federal innovation funds (e.g., ``Investing in 
Innovation'' at the Department of Education). Final SIF award decisions 
also may be weighed based on the outcome of other large Federal grant 
competitions.

[[Page 68792]]

IV. Application and Submission Information

A. Online Submission of Applications via eGrants

    The Corporation requires that all applicants make every effort to 
submit their applications electronically through the Corporation's web-
based application system, eGrants. The Corporation will provide 
detailed instructions on how to apply for this funding through eGrants.
    If your organization is considering applying for funding through 
this Notice, please submit a notice of intent to apply by e-mail to __@cns.gov by TBD. The e-mail should include your organization's name 
and the name(s) of any partner organization(s), if applicable. This is 
not a required deadline, but submitting your request by that time helps 
us plan for the review of the applications.
    In the event of prolonged unavailability of the eGrants system on 
the date of submission, the Corporation reserves the right to extend 
the eGrants submission deadline. Any notice of an extended submission 
deadline will be posted in eGrants and on www.nationalservice.gov.
    If extenuating circumstances make the use of eGrants impossible, 
applicants may send a hard copy of the application to the following 
address, via overnight carrier (non-U.S. Postal Service because of 
security-related delays in receiving mail from the U.S. Postal 
Service). All deadlines and requirements in this Notice apply to hard 
copy applications.

Corporation for National and Community Service, ATT: Office of Grants 
Policy and Operations/SIF Application, 1201 New York Avenue, NW., 
Washington, DC 20525.

    Applications submitted by fax will not be accepted.

B. Content and Form of Application Submission

    Your application in eGrants will consist of the following 
components. Please make sure to complete each one.

I. Applicant Info
II. Application Info
III. Executive Summary
IV. Narratives
V. Documents
VI. Budget
VII. Review, Authorize, and Submit
VIII. Survey on Ensuring Equal Opportunity for Applicants (Optional)

    Applicants should note that the narrative portion of their 
application (which will include Part I: Program Design, Part II: 
Organizational Capability, and Part III: Cost-Effectiveness and Budget 
Adequacy) may not exceed X characters, or 20 pages. The character count 
includes spaces and punctuation.
    See Appendix X for eGrants instructions. (TBD)

C. Technical Assistance

    The Corporation will host technical assistance calls and/or 
workshops to answer questions from potential applicants about this 
funding opportunity, including submitting the application through 
eGrants. Applicants are strongly encouraged to participate in these 
sessions. Details TBD.

D. Submission Dates and Times

    The Corporation anticipates posting a final NOFA following this 
feedback period in early February 2010 with a deadline for applications 
at TBD. Applications must arrive at the Corporation by the deadline in 
order to be considered.

E. Intergovernmental Review

    Applicants under this program are not subject to Executive Order 
12372 ``Intergovernmental Review of Federal Programs.''

F. Funding Restrictions

Matching Funds
    Applicants must provide matching funds in an amount equal to and 
not less than $1 for every $1 of funds provided under the grant. 
Matching funds may come from State, local, or private sources, which 
may include State or local agencies, businesses, private philanthropic 
organizations, or individuals. Federal funds may not be counted towards 
the match requirement.
    Additionally:
     Matching funds must be provided in cash.
     The matching funds must be expended on the approved 
program.
     If the applicant is a partnership that includes a State 
Commission or a local government office, the state or local government 
involved must provide not less than 30 percent and not more than 50 
percent of the matching funds.
     The Corporation is particularly interested in applicants 
that demonstrate that Federal funds are generating additional or new 
private sector funds.
     The Corporation is also particularly interested in 
applicants that present both a strong capacity to raise additional 
dollars to be provided to subgrantees, and a serious commitment to 
share the fundraising burden for their subgrantees.
Administrative and Direct Cost Limitations
    For the FY 2010 SIF award competition, the Corporation has adopted 
the following limitations on applicant program costs:
     No more than 5 percent of the Federal funds awarded by the 
Corporation may be used to pay for administrative costs.
     No more than 15 percent of the Federal funds awarded by 
the Corporation may be used to pay direct program costs (other than 
subgrants awarded) of the SIF Intermediary in carrying out its approved 
program.
    The limitation on administrative costs will be implemented in the 
same manner as the limitation on administrative costs for the 
Corporation's AmeriCorps programs. These requirements are found in the 
Corporation's regulations at 45 CFR 2510.20 and 2521.95.
    The limitation on direct program expenditures will be applied as a 
cap on the Federal funds that may be used to reimburse a SIF award 
recipient for its approved direct program costs, other than subgrants 
made to local community organizations. This limitation will be applied 
to direct program costs as defined in the applicable cost principles 
for the award recipient--
     2 CFR Part 220--Cost Principles for Educational 
Institutions (OMB Circular A-21)
     2 CFR Part 225--Cost Principles for State, Local and 
Tribal Governments (OMB Circular A-87)
     2 CFR Part 230--Cost Principles for Non-Profit 
Organizations (OMB Circular A-122).
    The Corporation's review of applicants' budgets will include an 
assessment of compliance with these limitations.

F. Other Submission Requirements

Low-income, Rural and Significantly Philanthropically Underserved 
Communities
    As specified in section 198K of the Act, SIF intermediary grantees 
must make subgrants and otherwise support programs that serve low-
income communities. For purposes of this Notice, ``low-income 
community'' means either:
     A population of individuals or households being served by 
a subgrantee on the basis of having a household income that is 150 
percent or less of the applicable Federal poverty guideline, or
     A defined geographic area where, within the past twelve 
months, --------

[[Page 68793]]

percent or more of the area's population had household incomes at or 
below 150 percent of the applicable Federal poverty guideline (based on 
the most recent American Community Survey data issued by the U.S. 
Census Bureau).
    In making its final award determinations under this Notice, section 
198K(h)(2) of the Act requires the Corporation to include among award 
recipients eligible applicants that propose to provide subgrants to 
community organizations that will serve significantly philanthropically 
underserved communities. For purposes of this FY 2010 Notice, the 
Corporation will consider applicants proposing to serve significantly 
philanthropically underserved communities if they carryout activities 
in low-income communities (as defined above), which are also in a rural 
geographic area.
    For purposes of this Notice, a rural geographic area is one with a 
2003 Rural-Urban Continuum Code of 6 or higher (as issued by the U.S. 
Department of Agriculture, Economic Research Service). The full list of 
Rural-Urban Continuum Codes is listed here: http://www.ers.usda.gov/briefing/rurality/ruralurbcon/.
    In the FY 2010 SIF award competition, the Corporation does not 
anticipate reducing the match requirement for applicants that will be 
serving significantly philanthropically underserved communities.
Use of Evidence
    The SIF is one of several new Federal grant programs that place a 
significant emphasis on using evidence of program impact as a critical 
factor in funding decisions, with the goal of directing limited federal 
resources toward more effective programs and to increase our knowledge 
about what works.
    Intermediaries will need to demonstrate in their applications how 
they use evidence of program impact to select, invest in, and monitor 
the growth and progression of their subgrantees. Across programs, issue 
areas, and regions, the available evidence of program effectiveness 
will necessarily vary, sometimes significantly. However, the best 
evidence will come from independent, well-designed studies using 
experimental and quasi-experimental designs, ideally from more than one 
site or with more than one population, that demonstrate the program has 
had a strong impact. Where these types of evidence are not available, 
the intermediaries will be expected to identify the existing levels of 
evidence (as defined in Section V) of the subgrantees and use SIF 
resources to help build the evidence-base of these programs.
    In addition, the Corporation expects that the use of rigorous 
evidence will be part of the culture of the intermediary and that, 
consequently, the intermediary will assess the impact of its own 
activities.
Participation in Learning Community
    Grantees will be required to participate in, organize, or 
facilitate, as appropriate, learning communities for the Social 
Innovation Fund. A learning community, or ``community of practice,'' is 
a group of grantees that agrees to interact regularly to solve a 
persistent problem or improve practice in an area that is important to 
them. Establishment of learning communities under the SIF will enable 
grantees to meet, discuss, and collaborate with each other regarding 
grantee projects.

V. Application Review Information

    Corporation staff and outside reviewers with expertise in 
innovation, evaluation and replication will rate each eligible 
application using the following criteria.

------------------------------------------------------------------------
            Category               Percentage         Sub-Categories
------------------------------------------------------------------------
Part I. Program Design.........             45%  Goals and Objectives.
                                 ..............  Use of Evidence.
                                 ..............  Community Resources.
                                 ..............  Description of
                                                  Activities.
Part II. Organizational                     35%  Ability to Provide
 Capacity.                                        Program Oversight.
                                 ..............  Ability to Provide
                                                  Fiscal Oversight.
Part III. Cost-Effectiveness                20%  Budget and Program
 and Budget Adequacy.                             Design.
                                 ..............  Match Sources.
------------------------------------------------------------------------

    The specific selection criteria for the various parts and 
subcategories are listed below. The selection criteria are categorized 
as either eligibility criteria or application review criteria. 
Reviewers will first assess your application against the eligibility 
criteria. If this review shows that an application does not meet any 
one of the eligibility criteria specified below, the application will 
not be further reviewed. All eligible applications will be fully 
reviewed and assessed based on both the eligibility and application 
review criteria.
    To best respond to the criteria, we suggest that you address each 
question, suggestion, or bullet if it pertains to your application. 
However, these recommendations on addressing the criteria are not 
exhaustive. Applicants should be careful to specifically address the 
eligibility and application review criteria to the maximum extent 
practical.
    In reviewing applications submitted in response to this Notice, the 
Corporation may consider, with respect to any particular proposal, the 
factors and information identified in 45 CFR 2522.470.
    In selecting applicants to receive awards under this Notice, the 
Corporation will endeavor to include:
     Applicants who propose to serve areas that are 
significantly philanthropically underserved, and
     A diverse set of applicants, in terms of issue area and 
geography.
    Part I. Program Design (45%)

A. Goals and Objectives

Eligibility Criteria
    The Corporation asks applicants to use a thematic approach in 
describing their proposed investments in community organizations. As 
established in the Act, there are two basic operational models of SIF 
intermediaries. The first is a SIF that will operate in a single 
geographic location, and address one or more issues within that 
location. This model is referred to as a ``geographically-based SIF.'' 
The second model is a SIF that will address a single issue area in 
multiple geographic locations. This model is referred to as an ``issue-
area based SIF.'' The Corporation will assess whether the application 
properly proposes goals and objectives as either a geographically-based 
or an issue area-based SIF.
Geographically-Based SIF
    To apply as a geographically-based SIF, the applicant must propose 
to focus on serving low-income communities within a specific local 
geographic area,

[[Page 68794]]

and propose to focus on improving measurable outcomes related to one or 
more of the following issue areas:
     Economic Opportunity--Increasing the economic 
opportunities for economically disadvantaged individuals;
     Youth Development and School Support--Preparing America's 
youth for success in school, active citizenship, productive work, and 
healthy and safe lives-; and
     Healthy Futures --Promoting healthy lifestyles and 
reducing the risk factors that can lead to illness.
    The application must provide statistics on the needs related to the 
issue areas within the specific local geographic area, and information 
on the specific measurable outcomes related to those issue areas that 
the applicant will seek to improve.
Issue Area-Based SIF
    To apply as an issue area-based SIF, the application must propose 
to focus on addressing one of the following specific issue areas within 
multiple low-income communities:
     Economic Opportunity--Increasing the economic 
opportunities for economically disadvantaged individuals;
     Youth Development and School Support--Preparing America's 
youth for success in school, active citizenship, productive work, and 
healthy and safe lives.; and
     Healthy Futures --Promoting healthy lifestyles and 
reducing the risk factors that can lead to illness.
    The application must provide statistics on the needs related to the 
issue area within the local geographic areas likely to be served, 
including statistics demonstrating that those geographic areas have a 
high need in the specific issue area. The application must also include 
information on the specific measurable outcomes related to the specific 
issue area that the applicant will seek to address.
Addressing the Eligibility Criteria
     Geographically-Based SIF
    [cir] Describe the target community or region that you propose to 
serve.
    [cir] Describe the specific issue areas on which you propose to 
focus and the statistical information that supports the need to address 
those issue areas.
    [cir] Describe your organization's qualifications to support the 
proposed goals and objectives.
     Issue Area-Based SIF
    [cir] Describe specifically the issue area on which you propose to 
focus.
    [cir] Describe the specific statistical information showing that 
the areas likely to be served have a high need in this specific issue 
area.
    [cir] Describe your organization's qualifications to support the 
proposed goals and objectives.
     Achieving Measurable Outcomes
    [cir] For each issue area, describe the measurable outcomes you 
propose to achieve.
    [cir] Describe the data that could be used to assess how your 
program caused progress toward those outcomes.
    [cir] Indicate whether or not you could get relevant data or would 
aim to contract with others to do so.
    [cir] If you are applying with a portfolio of selected subgrantees, 
describe their track records of achieving specific outcomes related to 
the measurable outcomes you have proposed to improve, and how, 
collectively, your proposed portfolio of SIF subgrantees will achieve 
measurable results for the target communities.

B. Use of Rigorous Evidence

Eligibility Criteria
    Applicants must include in their application information describing 
their track record of:
    Using rigorous evidence to select and invest in their subgrantees.
     Utilizing data and evaluation tools to monitor the growth 
and progression of their grantees.
     Achieving measurable outcomes.
Addressing the Eligibility Criteria
    The Corporation expects grantees, to the extent practicable, to 
fund subgrantees with rigorous evidence of their impact. The 
Corporation will prioritize intermediaries whose subgrantees have 
strong evidence of strong impact (as described below). The Corporation 
recognizes, however, that in many parts of the country, and in many 
fields, such evidence will not yet be available. In these areas, the 
Corporation will prioritize intermediaries that are prepared to build 
portfolios that, over time, are most likely to demonstrate strong 
evidence of strong impact. Such intermediaries could have portfolios of 
programs supported by moderate evidence (as described below), or that 
they are planning to run a competition that will prioritize such 
entities. In areas where such evidence also is not available, the 
Corporation has provided examples of preliminary evidence that might be 
considered for funding in order to build the base of evidence about 
what works, make program improvements, and inform future investments.
    In order to achieve the goal of increasing our knowledge of what 
works, the Corporation expects that all intermediary applicants will 
have a clear and detailed plan for evaluating the impact of their 
investments and that one of the goals of these evaluation plans will be 
to increase the number of programs over time that have moderate or 
strong evidence of program effectiveness.
    The Corporation will use the following definitions of impact and 
evidence (these definitions are consistent with those used in the 
Investing in Innovation fund at the Department of Education):
     Strong impact means an impact with a substantial 
likelihood of yielding a major change in life outcomes for individuals 
or improvements in community standards of living. This definition will 
vary with context. To give examples, a mentoring program that cut youth 
crime by 2 percent over a given period would not have a strong impact, 
but a program that cut such crime by 20 percent could. A program that 
increases earnings by $50 per week for one month, and then fades out, 
would not have a strong impact. A program that increased earnings by 
this amount for a period of years would.
     Strong evidence means evidence from previous studies whose 
designs can support causal conclusions (i.e., studies with high 
internal validity), and studies that in total include enough of the 
range of participants and settings to support scaling up to the State, 
regional, or national level (i.e., studies with high external 
validity). The following are examples of strong evidence: (1) More than 
one well-designed and well-implemented experimental study (as defined 
in this Notice) or well-designed and well-implemented quasi-
experimental study (as defined in this Notice) that supports the 
effectiveness of the practice, strategy, or program; or (2) one large, 
well-designed and well-implemented randomized controlled, multisite 
trial that supports the effectiveness of the practice, strategy, or 
program.
     Moderate evidence means evidence from previous studies 
whose designs can support causal conclusions (i.e., studies with high 
internal validity) but have limited generalizability (i.e., moderate 
external validity), or studies with high external validity but moderate 
internal validity. The following would constitute moderate evidence: 
(1) At least one well-designed and well-implemented experimental or 
quasi-experimental study supporting the effectiveness of the practice 
strategy, or program, with small sample sizes or other conditions of 
implementation or analysis that limit generalizability; (2) at

[[Page 68795]]

least one well-designed and well-implemented experimental or quasi-
experimental study that does not demonstrate equivalence between the 
intervention and comparison groups at program entry but that has no 
other major flaws related to internal validity; or (3) correlational 
research with strong statistical controls for selection bias and for 
discerning the influence of internal factors.
     Preliminary evidence means evidence that is based on a 
reasonable hypothesis supported by research findings. Thus, research 
that has yielded promising results for either the program, or a similar 
program, will constitute preliminary evidence, and will meet the 
Corporation's criteria. Examples of research that meet the standards 
include: (1) Outcome studies that track program participants through a 
service `pipeline' and measure participants' responses at the end of 
the program; and (2) pre- and post-test research that determines 
whether participants have improved on an outcome of interest. In future 
years, the Corporation may expand its standard for preliminary evidence 
to include reasonable hypotheses that are based on theories of change.
Assessment of Subgrantee Evidence
    Applicants should gauge whether each proposed subgrantee has 
preliminary, moderate, or strong evidence of program effectiveness. 
This determination should be fully substantiated, as appropriate, with:
     A summary of recently completed evaluation(s) of the 
subgrantees' programs. For subgrantees presenting preliminary evidence, 
the evaluation(s) may be from a similar program, but must include a 
justification for why the evaluation(s) are appropriate for the 
subgrantees' program and demonstrate an understanding of the research 
literature in this area(s).
     Weblinks to recent reports (both published and 
unpublished) from these studies. Links should be to full reports and 
appendices; i.e., not executive summaries or journal articles. 
Preferably, the reports will include design documentation.
Applicant's Track Record of Using Rigorous Evidence To Select, Invest 
in, and Monitor the Grantees
    Describe situations in which your organization has applied evidence 
produced by rigorous evaluations in decision-making with respect to 
specific programs at either the preliminary, moderate, or strong 
levels.
     Describe the process your organization uses to incorporate 
evidence into the selection, investment, and monitoring of your 
grantees.
     Describe a specific example of how your organization has 
used rigorous evidence to drive program improvement and/or increase the 
base of evidence of what works.
     Describe the study or studies that generated the evidence 
(e.g., methodology), and the evidence that was derived from the 
evaluation(s). Provide weblinks to recent report(s) (both published and 
unpublished) from these studies. Links should be to full reports and 
appendices; i.e., not executive summaries or journal articles. 
Preferably, the reports will include design documentation.

C. Community Resources

    The applicant's community resources will be assessed as described 
in Part III. B. Match Sources.

D. Description of Activities

1. Subgranting
Application Review Criteria
    Applicants must describe the process by which they have 
competitively selected (or will competitively select) their community 
organization subgrantees. Specifically, applicants must describe how 
their competitive subgrantee selection process ensured (or will ensure) 
that their subgrantees:
     Is a nonprofit community organization with proven/
promising evidence and a demonstrated track record of achieving 
specific outcomes related to the measurable outcomes for the SIF 
intermediary;
     Has articulated measurable outcomes for the use of the 
subgrant funds that are connected to the measurable outcomes for the 
intermediary;
     Has a well-defined plan for replicating, expanding, or 
supporting the initiatives funded, and will use the grant funds to 
carry out that plan;
     Has strong leadership and financial and management 
systems;
     Will meet the requirements for subgrantees providing 
dollar-for-dollar matching funds and can sustain the initiatives after 
the subgrant period concludes; and
     Is committed to the use of data collection and evaluation 
for improvement of the initiatives.
    Either as part of its review of the application, or in 
clarification reviews prior to award, the Corporation may request 
additional information regarding pre-selected subgrantees for 
compliance and appropriate outcomes.
    For those applicants who propose to carryout a subgrant process 
after they are selected for award, the Corporation will review the 
results of the subgrant process for compliance and appropriate 
outcomes.
Addressing the Review Criteria
     Describe how your proposed subgrantees meet the stated 
requirements.
     Describe your approach to identifying and selecting 
innovations with impact potential, and provide examples of the 
effectiveness and transparency of that approach.
     Describe your use of a rigorous selection process based on 
evidence of impact.
     Describe your relationships with and engagement of experts 
and leaders in relevant domains to ensure quality identification and 
selection of subgrantees.
2. Technical Assistance and Support
Application Review Criteria
    Applicants must include in their application information describing 
how they will provide technical assistance and support (other than 
financial support) that will increase the ability of subgrantees to 
achieve their measurable outcomes, including expansion or replication 
of the identified solution. Expansion or replication may happen in 
various ways (including, for example, creating new sites or affiliating 
with another program to replicate an intervention) and in multiple 
contexts, including serving more people in a current geography or, 
growing to new geographies.
Addressing the Review Criteria
     Describe your commitment to long-term relationships with 
subgrantees; and your goal to take them ``from A to B.''
     How will you help your subgrantees invest in program 
effectiveness (appropriate to their respective organizational 
lifestages)?
     How will you provide resources and support to build 
subgrantee capacity in key areas?
     Describe your willingness to support your subgrantees in 
achieving match requirements.
     Describe your track record of using data to measure your 
grantees' performance and holding grantees accountable for progress.
Part II. Organizational Capacity (35%)

A. Ability To Provide Program Oversight

Application Review Criteria
    In evaluating your organization's ability to provide program 
oversight, the Corporation will consider:

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     The extent to which your organization has a sound 
structure including:
    [cir] The ability to provide sound programmatic oversight, 
including:
    [squ] Experience with and capacity for evaluation, and
    [squ] Experience with and capacity for supporting expansion or 
replication;
    [cir] Well-defined roles for your board of directors, 
administrators, and staff;
    [cir] A well-designed plan or systems for organizational (as 
opposed to subgrantee) self-assessment and continuous improvement; and
    [cir] The ability to provide and/or secure effective technical 
assistance.
     Whether your organization has a sound record of 
accomplishment, including the extent to which you:
    [cir] Have a track record of supporting organizations that 
demonstrate evidence of impact;
    [cir] Demonstrate leadership within the organization and strong 
relationships within the communities served; and
    [cir] Have a track-record of raising substantial resources, and, 
if, you are an existing Federal grantee, you have secured the matching 
resources as required in your prior grant awards.
     The extent to which your community support recurs, 
increases in scope or amount, and is more diverse, as evidenced by:
    [cir] Collaborations that include a diverse spectrum of community 
stakeholders;
    [cir] A broad base of financial support, including local financial 
and in-kind contributions; and
    [cir] Supporters who represent a wide range of community 
stakeholders.
Addressing the Review Criteria
Sound Organizational Structure
     Ability to Provide Sound Programmatic Oversight:
    [cir] Provide a brief history of your organization. What year was 
your organization established? Describe your organization's experience 
in the proposed areas of activity and your experience operating and 
overseeing programs comparable to the ones proposed. Include specific 
examples of your prior accomplishments and outcomes. Describe your 
capacity to manage a Federal grant and to provide on site monitoring of 
the financial and other systems required to administer a Federal grant.
    [cir] Describe the types of evaluations the applicant has conducted 
or sponsored, including the quality and selection of evaluators, the 
study methodologies (including data collection and analysis), and the 
reporting and release of the findings. Please provide weblinks to 
recent reports (both published and unpublished) from these evaluations. 
Links should be to full reports and appendices; i.e., not executive 
summaries or journal articles. Preferably the reports will include 
design documentation.
    [cir] What are the procedures that you have in place to ensure that 
the evaluations meet the optimum standards of technical quality and 
independence?
    [cir] How have you used and shared the results of evaluations (both 
positive and negative findings) for program improvement?
    [cir] Describe the range of replications that you have overseen or 
sponsored.
    [cir] Describe the kinds of resources (e.g., data systems; staff) 
you have for expansion or replication.
    [cir] Explain how you are able to support and oversee multiple 
programs at different locations.
    [cir] What are your current or previous programmatic relationships 
with the programs?
    [cir] Describe your plans for monitoring site compliance 
programmatic requirements.
     Board of Directors, Administrators, and Staff:
    [cir] Describe your organization's management and staff structure 
and how the board of directors, administrators, and staff members will 
be used to support your program.
    [cir] Identify the key program positions responsible for your 
organization. Describe the relevant background and experience of all 
staff members working on the project and their respective roles, or 
your plans to recruit, select, train, and support additional staff, and 
their roles.
     Plan for Self-Assessment or Improvement:
    [cir] How does your organization conduct ongoing internal 
assessment and improvement of its overall--not program-specific--
systems, structure, staffing, and other capacities to ensure that it 
remains sound and well managed?

B. Ability To Provide Fiscal Oversight

Eligibility Criteria
    Entities eligible to apply for SIF grants include:
     Existing grant-making institutions, or
     Partnerships between an existing grant-making institution 
and another grant-making institution, a State Commission, or the chief 
executive officer of a unit of general local government.
    Existing grantmaking institutions are organizations in existence at 
the time of the application that have the following as part of their 
core operating functions:
     Conducting open or otherwise competitive programs to award 
grants to a diverse portfolio of local community organizations,
     Negotiating specific grant requirements with local 
community organizations, and
     Overseeing and monitoring the performance of its grantees.
Addressing the Eligibility Criteria
    Describe your qualifications (as either a qualifying grantmaking 
institution or partnership including at least one grantmaking 
institution), as well as any strategic associations with other 
organizations.
Application Review Criteria
    In evaluating your organization's ability to provide fiscal 
oversight, the Corporation will take into account its review of your 
organization's organizational capacity. The Corporation will further 
consider:
     The extent to which your organization has key personnel 
with the knowledge, skills, abilities and experience to provide fiscal 
oversight of subgrantees; and
     Whether your organization, or proposed strategic 
partnership, has specific experience in providing fiscal oversight of 
subgrantees of Federal funds.
Addressing the Review Criteria
    Describe the experience and infrastructure your organization has in 
managing grants.
     What is your current organizational budget?
     What percentage of the budget would this grant represent?
     How will you ensure compliance with Federal requirements?
Part III. Cost Effectiveness and Budget Adequacy (20%)

A. Budget and Program Design

Application Review Criteria
    In evaluating the cost-effectiveness and budget adequacy of your 
proposed program, the Corporation will consider:
     Whether your program is cost-effective based on:
    [cir] The extent to which your program demonstrates diverse, non-
Federal resources for program implementation and sustainability;
    [cir] The extent to which you are proposing to provide more than 
the minimum required share of the costs of your program; and

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    [cir] Whether the reasonable and necessary costs of your program or 
project are higher because you are proposing to serve areas that are 
significantly philanthropically underserved.
     Whether your budget is adequate to support your program 
design.
Addressing the Application Review Criteria
     Demonstrate how your program has or will obtain diverse 
non-Federal resources for program implementation and sustainability.
     Discuss the adequacy of your budget to support your 
program design including how it is sufficient to support your program 
activities and is linked to your desired outputs and outcomes.

B. Match Sources

Eligibility Criteria
    At the time of submission of the application, applicants must 
demonstrate either cash-on-hand or commitments (or a combination 
thereof) toward meeting 50 percent of their first year matching funds, 
based on the amount of Federal grant funds applied for.
Addressing the Eligibility Criteria
    Applicants may demonstrate cash-on-hand by a statement from the 
Chief Financial Officer or other officer that the organization has 
established a reserve of otherwise uncommitted funds for the purposes 
of performing a SIF grant. Applicants may demonstrate commitments by a 
dated and signed letter from each donor/foundation, indicating the 
amount of funds committed for the specific use of supporting the Social 
Innovation Fund grant. Such a letter must contain a firm commitment to 
provide the applicant the stated funding upon award of a SIF grant by 
the Corporation. The Corporation's instructions on submitting 
applications through eGrants will provide further guidance on how to 
submit this documentation.
Application Review Criteria
    In addition to the match eligibility criteria, the Corporation will 
evaluate the extent to which you have a combination of cash-on-hand or 
commitments to meet the full match requirements, and whether your 
organization will be able to provide financial resources for your SIF 
program beyond the minimum required match.
Addressing the Application Review Criteria
     Include a discussion of the additional commitments you 
plan to secure, and how you will secure them. In the budget, you must 
list the sources of your match funds.
     Describe the extent to which you propose to provide 
matching funds in excess of the minimum requirement.

VI. Award Administration Information

A. Award Notices

    The Corporation will award cooperative agreements following the 
grant selection announcement. We anticipate announcing the results of 
this competition in Summer 2010. The government is not obligated to 
make any award as a result of this Notice.

B. Administrative and National Policy Requirements

    The Notice of Grant Award (NGA) will be subject to and incorporate 
the requirements of section 198k of the National and Community Service 
Act of 1990, as well as other applicable sections of the Act. The NGA 
will also incorporate the approved application and budget as part of 
the binding commitments under any award.
    Awardees will be subject to the following (as applicable):

2 CFR Part 175--Award term for trafficking in persons
2 CFR Parts 180 and 2200--Nonprocurement Debarment and Suspension
2 CFR Part 215 and 45 CFR Part 2543--Uniform Administrative 
Requirements for Grants and Agreements with Institutions of Higher 
Education, Hospitals, and Other Non-Profit Organizations (OMB Circular 
A-110)
2 CFR Part 220--Cost Principles for Educational Institutions (OMB 
Circular A-21)
2 CFR Part 225--Cost Principles for State, Local and Tribal Governments 
(OMB Circular A-87)
2 CFR Part 230--Cost Principles for Non-Profit Organizations (OMB 
Circular A-122)
45 CFR Part 2541--Uniform Administrative Requirements for Grants and 
Cooperative Agreements to State and Local Governments
45 CFR Part 2545--Governmentwide Requirements for Drug-Free Workplace 
(Financial Assistance)
45 CFR Part 2555--Nondiscrimination on The Basis of Sex in Education 
Programs or Activities Receiving Federal Financial Assistance
The Single Audit Act (31 U.S.C. Chapter 75) and OMB Circular A-133, 
Audits of States, Local Governments, and Non-Profit Organizations 
(Available at: http://www.whitehouse.gov/omb/assets/omb/circulars/a133/a133.pdf.)
    The award recipient must comply with the following requirements:
Use of Materials
    To ensure that materials generated with Corporation funding are 
available to the public and readily accessible to grantees and sub-
grantees, the Corporation reserves a royalty-free, nonexclusive, and 
irrevocable right to obtain, use, modify, reproduce, publish, or 
disseminate publications and materials produced under the award, 
including data, and to authorize others to do so.
Limitation on Consultant Fees
    Funds may not be used to pay or to provide reimbursements for 
payment of the salary of a consultant at more than the daily equivalent 
rate of $540.00.

C. Reporting Requirements

What are the reporting requirements for these grants?
    The award recipient for this competition must identify the critical 
outcomes of the work, indicators of success in this work, and how 
progress can be judged or measured. The recipient will be required to 
report semi-annually on agreed upon performance measures. Specific 
guidance on the collection of data against these standardized measures 
will be provided upon award. The Corporation may also require an 
independent assessment of grantee performance. In addition, the 
Corporation expects intermediaries to hold subgrantees accountable for 
their progress against agreed-upon indicators of success. The 
intermediaries will be asked to report subgrantee performance 
information to the Corporation.
Performance Progress Reports (PPR)
    A semi-annual narrative progress report is submitted using the 
Corporation's web-based grants management system, eGrants, no later 
than 30 days after the close of each reporting period. The report will 
include:
     Budget report for the completed budget period.
     Narrative analysis of the budget report, explaining 
differences between budgeted and actual activities and costs by funding 
source.
     Progress towards performance goals and any supporting data 
and methodology.
     Analysis of sub-application progress and performance 
measures.
     Discussion of any problems observed or experienced and 
recommended solutions.

[[Page 68798]]

Federal Financial Reports
    Federal Financial Reports (FFRs) must be submitted semi-annually. 
The reports are cumulative and must be submitted on the Corporation's 
Web-based grants management system, eGrants, no later than 30 days 
after the close of each reporting period.
Final Reports
    In addition to submission of required semi-annual reports, the 
award recipient completing an agreement period will be required to 
submit a final report that is cumulative over the entire award period 
and consistent with the close-out requirements of the Corporation's 
Office of Grants Management. The final report is due 90 days after the 
end of the agreement.
    In lieu of the last semi-annual FFR, a final FFR must also be 
submitted. The final FFR is due 90 days after the end of the agreement.
Other Data-collection Requirements
    The Corporation will require SIF grantees to develop final, 
detailed plans for evaluation of subgrantees that address key 
questions, such as the following:
     What are the specific questions the evaluation(s) intends 
to answer?
     For grantees proposing an impact study, what type of 
research design (e.g., randomized control trial, quasi-experimental) do 
you hope to conduct? Why is this evaluation design appropriate for the 
subgrantees' stage of development, and what useful information do you 
hope to gain?
     What is the timeline and estimated budget for the 
evaluation?
     Please describe who will conduct the evaluations, and the 
process you will employ to maintain independence, objectivity, and high 
quality reports.
    The award recipient must:
     Identify and document effective practices.
     Meet as necessary with the cognizant program officer, or 
other staff or consultants.

VII. Agency Contacts

    This Notice is available at ht