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NOTICE OF FEDERAL FUNDING AVAILABILITY

Federal Agency Name: Corporation for National and Community Service

Funding Opportunity Title: FY 2016 Social Innovation Fund Pay for Success Administrative 

Data Pilot 

Announcement Type: Initial Announcement 

CFDA Number: 94.024

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Notifications of Intent to Apply are due by August 1, 2016 at 5:00 p.m. Eastern Time.

Applications are due August 23, 2016 at 5:00 p.m. Eastern Time. 

Successful applicants will be notified by September 20, 2016. 

Important Dates

Disclosure: Publication of this Notice of Federal Funding Availability (Notice) does not obligate 

the Corporation for National and Community Service to award any specific number of grants or 

to obligate any particular amount of funding. 

FULL TEXT OF THE NOTICE

A. PROGRAM DESCRIPTION 

1. The Social Innovation Fund Pay for Success Program

The mission of the Corporation for National and Community Service (CNCS) is to improve 

lives, strengthen communities, and foster civic engagement through service and volunteering. 

Through AmeriCorps, Senior Corps, and the Volunteer Generation Fund, CNCS has helped to 

engage millions of citizens in meeting community and national challenges through service and 

volunteer action. Through the Social Innovation Fund (SIF), CNCS has augmented its traditional 

activities with an enhanced focus on identifying and growing innovative, evidence-based 

approaches to our nation’s challenges. 

The purpose of the SIF is to grow the impact of innovative community-based solutions that have 

compelling evidence of improving the lives of people in low-income communities throughout the 

United States. The SIF directs resources toward increasing the evidence-base, capacity, and scale 

of the organizations it funds in order to improve the lives of people served by those 

organizations. The SIF also generates broader impact by leveraging the grant program in various 

ways to improve how philanthropies, federal government departments and agencies, state and 

local government, and community-based organizations deploy funds to address social challenges. 

Additionally, it enhances the ability of the nonprofit sector to support the growth of innovative, 

high-impact organizations. 

Pay for Success (PFS) is an innovative model that ties funding for an intervention to its impact in 

the community. PFS offers a way to catalyze philanthropic and private sector investments to 

deliver better outcomes, enabling government or other Payors (for example, school districts or 
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hospitals) to pay only for outcomes achieved – that is, to pay only for what works. PFS increases 

investments in effective social interventions by changing the way government allocates and 

invests its resources. Learn more about Pay for Success 

at: http://www.whitehouse.gov/omb/factsheet/paying-for-success and in Appendix I. 

2. Pay for Success Administrative Data Pilot 

a. Background 

The SIF PFS Administrative Data Pilot will help advance the President’s goal of improving the 

capacity to build and use evidence to support the growth of existing PFS projects. More 

specifically, the goal of this pilot is to support current PFS projects’ access to high-quality, less 

expensive data for evaluation purposes so they can improve the outcomes of interventions they 

are conducting in communities around the country. 

Localities, states, and the federal government have multiple sources of high-quality 

administrative data (e.g., Center for Medicare and Medicare Services (CMS) data, 

Unemployment Insurance wage data) that could reduce the cost and improve the quality of 

rigorous evaluations and performance reporting. In many cases, certain entities can legally 

access these data for program administration or research and evaluation purposes, but there are 

numerous technical and logistical barriers. 

Many of these barriers are characterized by large one-time investments of time and energy, such 

as:

• Learning about the requirements for accessing each source of data

• Negotiating the data access agreements

• Learning which data sources are most appropriate for different purposes 

• Formatting files in such a way that they can be matched against existing administrative

data sources and 

• Establishing the infrastructure to conduct matches while protecting the privacy and 

confidentiality and security of data 

Many nonprofits and researchers that are working on PFS projects do not have the capacity to 

invest in developing all of this expertise. Instead, they rely on other sources of data collection 

that are more costly in the long run and which may be of lower quality because they rely on selfreported data (e.g., surveys). 

Centralizing the administrative data access function could mitigate these problems by allowing 

one entity to first develop, if necessary, and then deploy expertise to help governments and 

organizations working on PFS projects to access and use various forms of administrative data. 

Eligible organizations who want to access the data to further the goals of their projects and 

improve their capacity could then take advantage of the central entity’s skill to access the 

administrative data applicable to their PFS project.

The Recipient(s) will leverage what is being learned about maximizing local, state, and federal

administrative data sets for research and evaluation purposes and will improve access to this 

expertise by creating a mechanism for Service Recipients to systematically take advantage of 
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emerging best practices. 

b. Approach

The 2016 SIF PFS Administrative Data Pilot Competition seeks to advance PFS by providing 

funding for activities related to administrative data in order to develop High-Quality PFS 

Projects, including those in the pipeline and those already launched. The SIF PFS 

Administrative Data Pilot Competition will fund up to three entities to facilitate broad access to 

various sources of administrative data related to PFS projects. The Recipient(s) will function as 

a conduit and technical assistance provider that all PFS projects could work through to access 

data. Specifically, CNCS will award funds to a Recipient(s) to support Service Recipients’

activities that further their PFS projects. Recipient activities could include, for example: 

• Identifying required data sources and fields

• Negotiating data access agreements

• Working with the local, state, and federal agencies that house the administrative data to 

develop standardized data access agreements for Service Recipients 

• Assisting Service Recipients in understanding how to access the data and providing

technical assistance to access the data, including developing streamlined protocols for the 

Service Recipients

• Ensuring that all data exchanges meet privacy protection, confidentiality, and data 

security requirements

• Formatting pre-match data files for the Service Recipients

Applicants may propose additional or alternative strategies that further the purposes of the SIF 

PFS Administrative Data Pilot. 

3. SIF Focus Areas 

The SIF PFS Administrative Data Pilot will only award funds to applicants targeting assistance 

to PFS projects that focus on one or more of the areas listed below. Applications that do not 

specifically identify one or more focus areas will not be considered for funding. The Fiscal Year 

(FY) 2016 SIF focus areas, which are applicable to this SIF PFS Administrative Data Pilot, are:

• Youth Development – Preparing America’s youth for success in school, active 

citizenship, productive work, and healthy and safe lives, including crime reduction 

initiatives focused on juvenile delinquency and victimization prevention and response 

• Economic Opportunity – Increasing economic opportunities for economically 

disadvantaged individuals 

• Healthy Futures – Promoting healthy lifestyles and reducing the risk factors that can lead 

to illness

Recipients must also identify the geographical areas that the Service Recipient is likely to serve 

in addressing the issue area. 
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4. Key Program Requirements

a. Cost Share/Matching

The Recipient(s) are required to match 100% of federal funds expended from non-federal 

sources. Service Recipients are not required to match federal funds. For more information, 

please refer to Section III. Eligibility Information, C.2 “Matching.” 

b. Selection of Service Recipients

Within six months of receiving the federal award, the Recipient(s) is required to select Service 

Recipients through an open, competitive process. This means that the Recipient(s) must run an 

open competition that is available to all eligible entities beyond their own existing grant portfolio 

or network. Cooperative agreements must be established for services valued in annual amounts 

of at least $75,000 but not more than $400,000 and should be of sufficient size and scope to 

enable the Service Recipient to build its capacity to structure and enable High-Quality PFS 

projects through the use of administrative data by the end of the award. 

Any services the Recipient(s) plans to provide must be described and valued for the Service 

Recipient and CNCS during the selection process. The value of the services must be determined 

by what the Recipient(s) normally charges for the services or, if fees are not charged, at the 

amount the service costs the organization, such as costs for staff time, required travel, office 

space, allocation of indirect expenses, etc. The services described during the selection process 

may not be the only services provided. Recipient(s) may provide additional services or adjust the 

types of services provided based on the needs of the Service Recipients within the limits of the 

annual amounts agreed to in the cooperative agreements, and the terms and conditions of the 

award. The Recipient(s) must notify CNCS prior to any changes to the scope of the services 

provided, and provide an updated description of services provided. 

Recipient(s) may propose their own processes for selecting Service Recipients, but their 

selection process must ensure that the process is open and competitive and that the following 

information is available to all potential applicants:

• How to obtain and submit an application

• The selection criteria that will be considered in reviewing applications, including the 

relative percentages, weights, or other means used to distinguish among the criteria 

• The Service Recipient requirements outlined in this Notice

• The desired characteristics and eligibility requirements of organizations the Recipient is 

seeking as Service Recipients

• The specified project period 

A minimum of 80% of awarded federal funds must be directly invested in Service Recipients

through Recipient services; however, Recipients may request to use some of the 80% to directly 

or indirectly benefit the Service Recipients -- for example, initiatives to build a learning 

community among the Service Recipient cohort. This would require CNCS approval at least one 

month in advance.
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In the case of services, the Recipient and CNCS will use the methods outlined in 2 C.F.R. 

§§200.306, 200.434 to determine the value of services being provided. The remainder of the 

funds, up to a maximum of 20%, can be spent on administrative and other costs related to the 

project, including staff and resources. 

Please note that a Service Recipient’s project period with the Recipient(s) cannot exceed the 

Recipient’s project period. Therefore, before the end of the project period, the Recipient(s) is

encouraged to work with the Service Recipients to ensure that ongoing data access agreements 

and protocols are addressed for the entire necessary period of the Service Recipients’ data needs, 

which may extend beyond the Recipients’ project period, as the PFS project may have a longer 

project period. 

c. Deliverables

All services provided by the Recipient(s) should result in deliverables, which the applicant must 

specify in its application. These deliverables must contribute to the development of HighQuality PFS Projects and could include: 

• A final report on the data sharing agreements negotiated

• A final report on protocols developed for Service Recipient

d. Knowledge Sharing

CNCS is committed to capturing knowledge at the SIF PFS Program level and sharing it widely 

with the field, and expects Recipients to contribute to and augment overall knowledge sharing 

activities. CNCS will incorporate insights / tools from the SIF PFS Administrative Data Pilot 

into the SIF’s various knowledge products, including webinars and tool-kits, documents created 

for both Recipient(s) projects and PFS projects such as sample data sharing agreements, 

standardized data access protocols, data access agreements, and communication with stakeholder 

groups about sharing lessons learned, best practices, and findings from specific projects. 

Recipient(s) are expected to collect, disseminate, and discuss best practices and lessons learned, 

as well as provide training and capacity building assistance to Service Recipients. Recipients are 

required to make publically available all documents and tools developed as part of this process, 

including data sharing agreements, taking into consideration the confidentiality needs of project 

participants as well as local, state, and federal laws. 

Recipients are also required to engage in regular conversations among the SIF community that 

are designed to be responsive to Recipients’ needs and add value to their projects. These 

conversations may include but are not limited to: 

• Quarterly SIF-wide calls / webinars 

• Annual in-person SIF-wide convenings in Washington, D.C., for which each Recipient(s) 

should budget for up to two staff people to attend 

e. Performance Measurement 

Recipient(s) will be required to use performance measures to assess progress. Recipient(s) 

should expect to work with CNCS to finalize the performance measures they will use. Examples 

of potential performance measures might include the number of data use agreements developed 
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and signed, the number of high quality datasets created, or number of data matches executed. 

For the purposes of this Notice, please disregard the Performance Measures section of the 

Application Instructions.

f. Program Authority

Section 198K of the National and Community Service Act of 1990, Pub. L. No. 101-610, as 

amended, (42 U.S.C. § 12653k) established CNCS’s Social Innovation Fund. The Consolidated 

and Further Continuing Appropriations Act, 2015, Pub. L. No. 113-235, Division G, Title IV, 

Corporation for National and Community Service, provided that up to 20% of funds made 

available for the Social Innovation Fund may be provided to PFS. 

CNCS’s legal authority to enter into a grant is found in Sections 198 and 198K of the National 

and Community Service Act of 1990 (NCSA), Pub.L.No. 101-610, as amended (42 U.S.C. §§ 

12653(a), 12653k, and in the Federal Grant and Cooperative Agreement Act (31 USC §§6301-

6308). 

B. FEDERAL AWARD INFORMATION 

1. Estimated Available Funds 

Up to $4.5 million is available for the SIF PFS Administrative Data Pilot from the Social 

Innovation Fund’s two-year FY 2015 Appropriations’ PFS authority. 

2. Estimated Award Amount

CNCS expects to fund one to three Recipients for awards of $350,000 to $1,500,000 per year 

over a three-year grant period. Recipient(s) should provide services to each Service Recipient 

that are valued at a minimum of $75,000 but not more than $400,000 per year using SIF PFS 

funding. 

3. Project Period

The grant award covers a three-year project period. The proposal, including the budget, should 

represent the full three-year period. 

CNCS reserves the right to adjust the amount of an award or elect not to continue funding. 

Recipient(s) are eligible for drawing down funding for years two and three contingent upon: 

• Satisfactory performance

• Achieving agreed upon deliverables 

• Demonstrated capacity to manage the grant

• Compliance with grant requirements, including terms and conditions, reporting, and 

securing the required match

4. Type of Award

The funding mechanism for the Social Innovation Fund is a grant. The Recipient(s) will be 

assigned a CNCS program officer who will review service delivery and project status. 
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C. ELIGIBILITY INFORMATION

1. Eligible Applicants

This competition is open to nonprofit organizations, public or nonprofit universities, state and 

local governments (and other political subdivisions), tribes, as well as faith-based organizations. 

Eligible nonprofit organizations include those defined in 2 CFR 200.70. 

Partnerships of the above organizations are eligible to apply. An eligible Partnership is a formal 

relationship between two existing eligible applicants, as defined above, where the partner 

organizations will share responsibilities under the award and should include a legal agreement, 

such as a Memorandum of Understanding, outlining the roles and responsibilities of each partner. 

In a grant with a Partnership, CNCS would expect to be dealing with each partner entity with 

some degree of independence concerning its collective responsibilities, and Recipients are 

subject to CNCS’s monitoring. For example, a Partnership could include one entity that handles 

all aspects of negotiating data sharing agreements, while another entity handles all security and 

privacy aspects related sharing and using administrative data. For a partnership, a single lead 

entity should submit an application to CNCS on behalf of the partnership. 

Organizations that have been convicted of a federal crime may not receive assistance described 

in this Notice. Pursuant to the Lobbying Disclosure Act of 1995, an organization described in 

Section 501(c)(4) of the Internal Revenue Code of 1986, 26 U.S.C. 501 (c)(4) that engages in 

lobbying activities is not eligible to apply. 

Receiving funding previously from CNCS or another federal agency is not a requisite to apply 

under this Notice. 

2. Eligible Service Recipients

Eligible Service Recipients are nonprofit organizations, public or nonprofit universities, state and 

local governments (and other political subdivisions), tribes, as well as faith-based organizations. 

Eligible nonprofit organizations include those defined in 2 CFR 200.70 that are currently 

engaged in PFS projects that address one of the SIF PFS focus areas. 

Partnerships of the above organizations are eligible to apply. An eligible Partnership is a formal 

relationship between two existing eligible applicants, as defined above, where the partner 

organizations will share responsibilities under the award and should include a legal agreement, 

such as a Memorandum of Understanding, outlining the roles and responsibilities of each partner. 

For a partnership, a single lead entity should submit an application to the Recipient(s) on behalf 

of the partnership. In a cooperative agreement with a Partnership, the Recipient(s) would expect 

to be dealing with each partner entity with some degree of independence concerning its 

collective responsibilities, and Service Recipients are subject to Recipient(s) monitoring. For 

example, a Partnership could include one entity that handles all aspects of negotiating data 

sharing agreements, while another entity handles all security and privacy aspects related sharing 

and using administrative data. For a partnership, a single lead entity should submit an 

application to the Recipient(s) on behalf of the partnership. 
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3. Matching

Recipient(s) are required to match 100% of federal funds expended from non-federal sources. Up 

to 50% of the match can be from third-party, in-kind contributions. The Recipient(s) are

responsible for raising matching funds and can rely on multiple sources. At the time of 

application, applicants must demonstrate the ability to meet 10% of their first year match 

requirement in non-federal cash by submitting match verification documents, as explained in the 

Other Submission Requirements section of this Notice. For example, if the applicant is applying 

for the maximum award amount of $1,500,000 per year, the request must demonstrate the ability 

to secure $150,000 in non-federal cash or cash commitments at the time of application.

Service Recipients are not required to provide match. However, the Recipient may use 

Service Recipient cash or in-kind contributions to meet the Recipients’ own match 

requirement. 

Third Party, In-Kind Contributions 

Third party, in-kind contributions means the value of non-cash contributions provided by nonfederal third parties. Third-party in-kind contributions may be in the form of equipment, 

supplies, and other expendable property, and the value of goods and services directly benefiting 

and specifically identifiable to the Recipients’ Project, or the monetary value of time contributed

by professional and technical personnel and other skilled labor. The contributions or services 

provided must be a strategic, integral, and a necessary part of a funded project for which the 

Recipient(s) or Service Recipient would otherwise have to pay. Some specific examples of 

possible sources for services to meet the in-kind match include: 

• Individual employee hours dedicated to the SIF-funded project 

• Pro-bono legal, accounting, project management, or other professional services 

• Equipment or software to analyze data

• PFS Intervention Evaluation design and implementation services 

Recipient(s) must follow the requirements of 2 CFR. 200.306 to determine the value of in-kind 

donations of goods and services, and must document all in-kind support, such as personal 

services, materials, equipment, and space. The valuation of the services provided must be 

reasonable, necessary and consistent with the organization’s established practice. 

Please note that federal rules apply to the federal funds awarded as well as to the match funds 

contributed by the Recipient(s). In general, the cost of raising funds in order to meet the 

matching funds requirement is not an allowable cost under the Cost Principles of the Uniform 

Administrative Requirements, Cost Principles, and Audit Requirements for Federal Awards 

(hereinafter “Uniform Guidance”) at 2 CFR Subpart E. 

D. APPLICATION AND SUBMISSION INFORMATION

1. Address to Request Application Package

Refer to the SIF NOFA webpage to obtain the necessary information to apply. This notice should 

be read together with the Social Innovation Fund Pay for Success Administrative Data Pilot 
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application instructions. You can also send an email to SIFapplication@cns.gov or call (202)

606-3223 for a printed copy of the application material. 

2. Content and Form of Application Submission

a. Application Content 

The completed application must have the following components: 

• Standard Form 424 (SF-424) Facesheet: This is automatically generated when you 

complete the data elements in the eGrants system. When you complete the application in 

eGrants, many of the fields will automatically be filled with information you entered 

during the registration process. 

• Narratives

o Executive Summary: This is a brief description of your proposed program. The 

Executive Summaries of all compliant applications are published on the CNCS 

website following grant awards. 

o Program Design 

o Organizational Capability

o Cost-Effectiveness and Budget Adequacy

• Standard Form 424A Budget 

• Authorization, Assurances, and Certifications

• Match Verification

b. Page Limits

Applications may not exceed 10 double-spaced pages for the Narrative, including the SF-424 

Facesheet and Executive Summary as the pages print out from eGrants. The page limit does not 

include the Budget section. 

Reviewers will not consider material past the page limit in the printed report, even if eGrants 

allows you to enter and submit text over the limit. We strongly encourage you to print out the 

application from the “Review and Submit” page prior to submitting it to check that the 

application does not exceed the page limit.

3. Dun and Bradstreet Universal Numbering System (DUNS) and System for Award 

Management (SAM) 

Applications must include a DUNS number and an Employer Identification Number. The DUNS 

number does not replace an Employer Identification Number. You can obtain a DUNS number at 

no cost by calling the DUNS number request line at (866) 705-5711 or by applying online 

at http://fedgov.dnb.com/webform. The website indicates a 48-hour email turnaround time on 

requests for DUNS numbers; however, CNCS recommends registering at least 30 days before the 

application due date.

After obtaining a DUNS number, you must register with the System for Award Management 

(SAM) and maintain an active SAM registration until the application process is complete and, if 

a grant is awarded, throughout the life of the award. SAM registration must be renewed annually. 

CNCS suggests finalizing a new registration or renewing an existing one at least two weeks 
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before the application deadline to allow time to resolve any issues that may arise. You must use 

your SAM-registered legal name and address on all grant applications to CNCS.

Applicants that do not comply with these requirements may become ineligible to receive an 

award. See the SAM Quick Guide for Grantees. 

4. Submission Date and Time

a. Notification of Intent to Apply

CNCS strongly encourages applicants to submit a Notification of Intent to Apply by August

1, 2016. Please indicate your intent by completing the short survey at this 

link: www.surveymonkey.com/r/SIFPFSAdminDataPilotFY2016. 

b. Application Submission Deadline

Applications are due August 23, 2016 by 5:00 p.m. Eastern Time. CNCS will not consider 

applications received after the deadline, except as noted below. CNCS reserves the right to

extend the submission deadline and any notice of such extended deadline will be posted on the 

CNCS website.

c. Additional Documents Deadline

The required additional documents are due on the application deadline stated above. See Section 

D.6. Other Submission Requirements for specifics.

d. Late Applications

CNCS may consider an application after the deadline, but only if the applicant submits a letter 

to LateApplications@cns.gov explaining the extenuating technical circumstances that caused 

the delay. CNCS must receive the letter within one business day after the deadline. If technical 

issues prevent an applicant from submitting an application on time, the letter should include the 

eGrants ticket number provided by the National Service Hotline. Communication with CNCS 

staff, including an applicant’s program officer, is not a substitute for sending the letter. CNCS 

will determine whether or not to accept a late application on a case-by-case basis. Please be 

advised that CNCS will not consider an advance request to submit a late application.

5. Funding Restrictions

Regulations outlining funding restrictions are contained in the Administrative and National 

Policy Requirements section of this Notice. In addition, Social Innovation Fund grant awards 

cannot be used for construction costs. 

Grants under the SIF PFS Program are subject to all applicable federal laws and regulations, 

including the Uniform Guidance (2 C.F.R. Part 200 and Part 2205). 

Awards are subject to the law(s) under which they are made (e.g., The National and Community 

Service Act of 1990, as amended by the Edward M. Kennedy Serve America Act), as well as the 

general and specific terms and conditions established for the grants. 
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Indirect Costs 

CNCS allows applicants to include indirect costs in application budgets. Based on qualifying 

factors, applicants have the option of using a federally approved indirect cost rate, a 10% de 

minimis rate of modified total direct costs, or may claim certain costs directly as outlined in 2 

CFR § 200.413 Direct costs. States, local governments and Indian tribes may use approved cost 

allocation plans. All methods must be applied consistently across federal awards. Applicants 

who hold a federal negotiated indirect cost rate or will be using the 10% de minimis rate must 

enter that information in the Organization section in eGrants.

6. Other Submission Requirements

a. Electronic Application Submission in eGrants

Applicants must submit applications electronically via eGrants, CNCS’s web-based system 

(https://egrants.cns.gov/espan/main/login.jsp). CNCS recommends that applicants create an 

eGrants account and begin the application at least three weeks before the deadline. Applicants 

should draft the application as a word document, then copy and paste the document into the 

appropriate eGrants field no later than 10 days before the deadline. 

The person who submits the application must be the applicant’s authorized representative. The 

authorized representative must be using eGrants under his or her own account in order to sign 

and submit the application. A copy of the governing body’s authorization for this official 

representative to sign must be on file in the applicant’s office. 

Contact the National Service Hotline at (800) 942-2677 or via 

(https://questions.nationalservice.gov/app/ask_eg) if a problem arises when creating an account 

or preparing or submitting the application. During the application period, the National Service 

Hotline hours are Monday through Friday, 9:00 a.m. to 7:00 p.m. Eastern Time. Be prepared to 

provide the application ID, your organization’s name, and let them know you are calling in 

regard to the Social Innovation Fund Pay for Success Administrative Data Pilot Notice. If the 

issue cannot be resolved by the deadline, applicants must continue working with the National 

Service Hotline to submit via eGrants. 

If extenuating circumstances make it impossible for an applicant to submit in eGrants, applicants 

may send a paper copy of the application via overnight carrier to the following address: 

Corporation for National and Community Service 

ATT: Office of Grants Policy and Operations/Social Innovation Fund Application 

250 E Street SW 

Washington, DC 20525 

Please use a non-U.S. Postal Service to avoid security-related delays. All deadlines and 

requirements in this Notice also apply to paper applications. Paper applications must include 

a cover letter detailing the circumstances that make it impossible to submit via eGrants. CNCS 

does not accept applications submitted via fax or email.
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b. Submission of Additional Documents

By the application submission deadline, applicants are required to demonstrate through a letter or 

other form of documentation that they have either cash-on-hand or commitments (or a 

combination thereof) toward meeting 10 percent of their first year matching requirement, based 

on the amount of federal grant funds for which the applicant applies. For example, a request of 

$1 million per year needs to be accompanied by documentation of $100,000 in cash on-hand or 

commitments at the time of application. 

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 implementing a Social Innovation Fund grant. A bank statement or report of 

assets is not sufficient without the accompanying statement that the funds are uncommitted. 

Applicants may also demonstrate commitments by a dated and signed letter from each 

donor/foundation, indicating the amount of funds committed for the specific use of supporting 

the Social Innovation Fund grant. Such a letter must contain a firm commitment to provide the 

applicant the stated funding upon award of a Social Innovation Fund grant by CNCS. 

This documentation must be emailed to SIFapplication@cns.gov with the following subject line: 

Social Innovation Fund Additional Documents – [Application ID number]. Within the email, 

please include the following information:

• The legal applicant name and its point of contact information

• The application ID number

• A list of documents that should be attached to the email

• Individually saved files that are clearly labeled 

• Files that include the legal applicant name and application ID number within the body 

of each document.

Do not submit supplementary material such as videos, brochures, or any items not requested 

in this Notice. CNCS will not review or return them.

E. APPLICATION REVIEW INFORMATION

Your application must provide a well-designed plan with clear and compelling justification for 

receiving the requested funds. Reviewers will assess applications against the selection criteria 

below and rate them accordingly so it is important that you provide sufficiently detailed 

responses to each criterion. Understanding the key program requirements, as described earlier in 

this Notice, will help you to develop a competitive grant application. 

1. Criteria

Criteria Total 

Points Subcriteria Points

Executive Summary -- --

Program Design 50 

Understanding of objectives and need for assistance 10

Technical approach 25

Description of activities: Knowledge sharing 5
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Criteria Total 

Points Subcriteria Points

Work plan and deliverables 10

Organizational 

Capability 35 

Track record in selecting and working with service 

providers 10

Staff qualifications, expertise, and capacity 25

Cost-Effectiveness 

and Budget Adequacy 15 

Budget and program design 10

Matching funds 5

Before responding to the selection criteria below, carefully review the Key Program 

Requirements section of this Notice, as well as resources found on the SIF NOFA webpage. 

APPLICATION EXECUTIVE SUMMARY

Your executive summary should include, at a minimum, the following: 

• Description of applicant organization

• If applying as an Eligible Partnership, the lead applicant and all members of the 

partnership 

• Applicable SIF focus areas 

• Target geographic areas

• Overview of your proposed project 

Executive Summaries of compliant applications will be posted on CNCS’s website. 

PROGRAM DESIGN (50% total – breakdown as noted below)

Understanding of Objectives and Need for Assistance (10%)

In determining the quality of the application, reviewers will assess the extent to which the 

applicant: 

• Describes the current state of data capacity and integration related to the issue area 

selected and stability at the Federal, State, or local levels, and the challenges that this 

Notice is meant to address, including any statistics, if such statistics are available

• Describes the role of the Pilot as a facilitator for providing administrative data-related 

technical assistance and services to Service Recipients that furthers the creation of HighQuality PFS Projects 

• Describes the challenges and opportunities that exist in the realm of administrative and 

program and evaluation data in the research and program administration associated with 

the issue area selected 

• Provides information on the specific measurable outcomes related to the issue areas 

involved that the eligible entity will seek to improve

Technical Approach (25% total)

In determining the quality of the application, reviewers will assess the extent to which the 

applicant: 

• Describes the Service Recipient Selection Plan the applicant will undertake within the six 

month timeline as described in Section I.B.2 of this Notice, including a clear description 

of: 
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o A plan to ensure compliance with Appendix II

o The estimated number of Service Recipients the applicant will select per year and 

estimated range of funding that will be awarded in services, ensuring that at least 80% 

is invested in Service Recipients per year 

o An outline or summary of an effective selection process that includes a plan of 

compliance with the requirements of Appendix II 

o How the applicant will assess the “readiness” of a project for data services

o A general (for example, monthly or quarterly), sensible timeline or time frame 

outlining stages of the selection process that balances speed with due diligence.

o How the Recipient(s) will ensure Service Recipients have strong leadership and 

financial and management systems

o How the Recipient(s) will select Service Recipients that articulate a new solution with 

a significant likelihood for substantial impact (for example, by selecting Service 

Recipients that propose evidence based interventions to solve problems in innovative 

ways or to bring interventions to a new population) 

• Proposes a promising and practical approach for assessing variations in data capacitybuilding needs of Service Recipients during the first year of the grant. 

• Lays out clear mechanisms for offering and managing access to the PFS Administrative 

Data Pilot’s data, including in situations where requests from Service Recipients are time 

sensitive. 

• Describes an effective plan to build and facilitate relationships between existing sources 

of data and to facilitate improvements in access and integration between Service 

Recipients and sources of data. 

• Offers effective proposals for accessible training on data management and analysis for 

Service Recipients. 

Description of Activities: Knowledge Sharing (5%) 

In determining the quality of the application, reviewers will assess the extent to which the 

applicant: 

• Identifies how the applicant will both add knowledge to the PFS field and facilitate 

knowledge sharing among its Service Recipient cohort by making public data sharing 

agreements or protocols created. 

Description of Activities: Work Plan and Deliverables (10%)

In determining the quality of the application, reviewers will assess the extent to which the 

applicant: 

• Provides specific, realistic, and actionable timelines tied to milestone completion within 

the project period. 

• Includes staff time with names/roles assigned needed to complete tasks, including 

whether staff are part of the existing team or will need to be hired or contracted.

ORGANIZATIONAL CAPABILITY (35% total – breakdown as noted below) 

A Track Record in Selecting and Working with Sub-Grantees and/or Service Recipients

(10%)
Page 15 of 30

In determining the quality of the application, reviewers will assess the extent to which the 

applicant: 

• Demonstrates experience effectively running an open competition yielding positive 

outcomes 

• Demonstrates an ability to provide services to Service Recipients, for example managing 

Service Recipient challenges and their resolution, and providing at least one example of its 

specific role in past successes of entities to which it has competitively awarded funds 

and/or services 

Staff Qualifications, Expertise, and Capacity (25%)

In determining the quality of the application, reviewers will assess the extent to which the 

applicant: 

• Makes a compelling case for your ability to successfully support the approach and 

outcomes that you propose, including a description of your track record and resources

• Demonstrates expertise across a broad array of data systems and issues relevant to

research, evaluation, and program operations

• Demonstrates firm knowledge of state-of-the-art analytic techniques and methodologies 

to address questions of interest

• Demonstrates capacity to facilitate access to a wide range of relevant datasets that may be 

built on different technical platforms

• Demonstrates a thorough understanding of the issues of working with confidential 

datasets and maintaining data security and personal privacy

• Demonstrates experience with facilitating timely data access across a wide variety of 

sources

• Demonstrates an adequate management plan for achieving the objectives of the NOFA on 

time and within budget, including clearly defined responsibilities, timelines and 

milestones for accomplishing project tasks 

• Shows substantial and relevant experience in successfully managing projects of similar 

scope and type 

COST-EFFECTIVENESS AND BUDGET ADEQUACY (15% total – breakdown as noted 

below) 

Budget and Program Design (10%)

In determining the quality of the application, reviewers will assess the extent to which the 

applicant: 

• Proposes a reasonable and sufficient budget to successfully support program activities, 

including Service Recipient selection, evaluation, program growth, and support and 

oversight 

• Aligns budget with the application narrative and provides an adequate explanation for 

expenses

Matching Funds (5%)

In determining the quality of the application, reviewers will assess the extent to which the 

applicant: 
Page 16 of 30

• Demonstrates experience achieving significant non-federal fundraising goals 

• Describes and provides proof of match already raised or committed

• Articulates a credible plan for securing the total one-to-one non-federal match 

requirement 

2. Review and Selection Process

a. Stages in the Review Process

Compliance and Eligibility Review

CNCS staff will review all applications to determine compliance with eligibility, deadlines and 

completeness. Applications determined to be non-compliant will not be considered. An 

application is compliant if the applicant satisfies all of the following requirements: 

• Is an eligible organization 

• Submitted an application and required documentation by the submission deadline 

• Submitted an application that is complete; in that it contains all required elements and 

additional documents and follows the instructions provided in this Notice

• Submitted a budget that reflects a federal share of between $1,050,000 and $4.5 million

(covering all 3 years) 

• Demonstrate either cash-on-hand or cash commitments (or a combination thereof) toward 

meeting 10 percent of the required first year matching funds, based on the amount of 

grant funds requested at the time of submission. For example, a request of $1,500,000 

million per year needs to be accompanied by documentation of $150,000 in non-federal 

cash on-hand or cash commitments at the time of application. Instructions for how to 

provide documentation of matching funds are provided in section V.F.2. Submission of 

Additional Documents. 

CNCS will screen applications in accordance with the requirements in this Notice to determine 

whether applications have met all eligibility and other requirements. The screening may occur at 

various stages of the grant-making process. Applicants that are determined to be ineligible will 

not receive an award, regardless of the application assessment results.

Internal Review

CNCS Staff reviewers will assess the applications based on the Program Design, Organizational 

Capability, and Cost-Effectiveness and Budget Adequacy. Staff Reviewers will also consider the 

comprehensiveness and feasibility of the application, broad community perspectives, as well as 

the selection factors detailed in this Notice. All Reviewers will be screened for conflicts of 

interest. 

Clarification

CNCS may ask some applicants for clarifying information. This information is used by CNCS 

staff to make funding recommendations. A request for clarification does not guarantee a grant 

award. Applicants may be recommended for funding even if they are not asked for clarification. 

Failure to respond to a request for clarification in a timely fashion will result in removal of 

applications from consideration. CNCS staff may conduct a site visit inspection, as appropriate.

Risk Assessment Evaluation
Page 17 of 30

CNCS staff will evaluate the risks to the program posed by applicants, including conducting due 

diligence to ensure an applicant’s ability to manage federal funds. This is in addition to the 

evaluation of the applicant’s eligibility and the quality of its application on the basis of the 

Selection Criteria. Results from this review will inform funding decisions. If CNCS determines 

that an award will be made, special conditions that correspond to the degree of risk assessed may 

be applied to the award. 

In evaluating risks, CNCS may consider the following: 

• Financial stability

• Quality of management systems and the ability to meet the management standards 

prescribed in applicable OMB Guidance

• Applicant’s record in managing previous CNCS awards, cooperative agreements, or 

procurement awards, including: 

o Timeliness of compliance with applicable reporting requirements

o Accuracy of data reported

o Validity of performance measure data reported

o Conformance to the terms and conditions of previous federal awards 

o If applicable, the extent to which any previously awarded amounts will be expended 

prior to future awards

• Information available through OMB-designated repositories of government-wide 

eligibility qualification or financial integrity information, such as:

o Federal Awardee Performance and Integrity Information System (FAPIIS)

o Duns and Bradstreet and SAM 

o “Do Not Pay” 

• Reports and findings from single audits performed under Subpart F – Audit 

Requirements, 2 CFR Part 200 and findings and reports of any other available audits 

• IRS Tax Form 990 

• Applicant organization’s annual report 

• Publicly available information, including information from the applicant organization's 

website

• Applicant’s ability to effectively implement statutory, regulatory, or other requirements 

imposed on Recipient(s). 

Selection for Funding

The review and selection process is designed to identify applications that demonstrate high 

alignment with the selection criteria. The Chief Executive Officer will select the final awardee 

based on staff recommendations, broad community perspectives and support, and the selection 

factors. 

CNCS reserves the right to make changes to the review process, in the event that unforeseen 

challenges or exigent circumstances make it impossible, impractical or inefficient to execute 

the review process as planned. Any such adjustments or changes will not affect the selection 

criteria that will be used to assess applications submitted in response to this Notice. 
Page 18 of 30

3. Feedback to Applicants 

Following awards, compliant applicants will receive summary comments from the review. This 

feedback will be based on the review of the original application and will not reflect information 

that may have been provided during clarification.

4. Transparency in Grant-making

CNCS is committed to transparency in grant-making. The following information for new 

applications will be published on the CNCS website within 90 business days after all grants are 

awarded:

• A list of all compliant applications submitted

• Executive summaries of all compliant applications submitted by the applicants 

• Data extracted from the Standard Form SF-424 Facesheet and the program narratives for 

successful applications

Within 90 days of announcing selection of Service Recipients, each Recipient must publish on its 

websites: 

• A list of all compliant applications submitted 

• Executive Summaries of all compliant applications 

• Names of application reviewers outside the Recipient. 

Recipients are encouraged to take additional steps to heighten transparency of their open, 

competitive selection processes.

F. FEDERAL AWARD ADMINISTRATION INFORMATION 

1. Federal Award Notices

CNCS will make awards following the grant selection announcement. CNCS anticipates 

announcing the results of this competition by September 20, 2016. Applicants will be notified of 

funding decisions via email. This notification is not an authorization to begin grant activities. 

The Notice of Grant Award signed by the grant officer is the authorizing document for grant 

activities. Unsuccessful applicants will also receive a notification that their application was not 

approved for funding.

An awardee may not expend federal grant funds until the start of the Project Period identified on 

the Notice of Grant Award.

2. Administrative and National Policy Requirements 

The Notice of Grant Award incorporates the approved application as part of the binding 

commitments under the grant, as well as the requirements of Section 198K of the National and 

Community Service Act of 1990, Pub. L. No. 101-610, as amended and other applicable statutes. 

Awards will also be subject to the Terms and Conditions or Special Conditions attached to the 

award. 

Grants under this program are subject to 2 CFR Chapter I, Chapter II, and XXII. This final 

guidance supersedes and streamlines requirements from OMB Circulars A–21, A–87, and A–122 
Page 19 of 30

(the former Cost Principles), A-110 and A-102 (the former Administrative Requirements), A–133 

and A-50 (the former Audits and Audit Follow up), and A-89 (the former Federal Domestic 

Assistance Program Information). 

3. National Service Criminal History Check Requirements

The National Service Criminal History Check (NSCHC) is a screening procedure established by 

law to protect the beneficiaries of national service. The law requires Recipient(s) to conduct and 

document NSCHCs on any person (including award-funded staff, national service participant, or 

volunteer) receiving a salary, living allowance, stipend or education award through a program 

receiving CNCS funds. An individual is ineligible to serve in a position that receives such 

CNCS funding if the individual is registered, or required to be registered, as a sex offender or has 

been convicted of murder. The cost of conducting NSCHCs is an allowable expense under the 

award.

 

Unless CNCS has provided Recipient(s) with a written exemption or written approval of an 

alternative search procedure, Recipient(s) must perform the following checks– 

All award-funded staff, national service participants, and volunteers must undergo NSCHCs that 

include: 

1. A nationwide name-based search of the National Sex Offender Public Website (NSOPW) 

and

2. Either A name- or fingerprint-based search of the statewide criminal history registry in 

the person’s state of residence and in the state where the person will serve/work or a 

fingerprint-based FBI criminal history check

 

Special Rule for Persons Serving Vulnerable Populations. Award-funded staff, national service 

participants, and volunteers with recurring access to vulnerable populations (i.e., children age 17 

or younger, individuals age 60 or older, or individuals with disabilities) must undergo NSCHCs 

that include: 

1. A nationwide name-based check of the NSOPW and

2. Both

• A name- or fingerprint-based search of the statewide criminal history registry in the 

person’s state of residence and in the state where the person will serve/work; and

• A fingerprint-based FBI criminal history check

See 45 C.F.R. § 2540.200–§ 2540.207 and http://www.nationalservice.gov/resources/criminalhistory-check for complete information and FAQs. 

4. Use of Materials

To ensure that materials generated with CNCS funding are available to the public and readily 

accessible to Recipient(s) and non- Recipient(s), CNCS reserves a royalty-free, nonexclusive, 

and irrevocable right to obtain, use, modify, reproduce, publish, or disseminate publications and 

materials produced under the award, including data, and to authorize others to do so (CFR 

§200.315(b)). 
Page 20 of 30

5. Reporting

Recipient(s) are required to submit a variety of reports which are due at specific times during the 

life cycle of a grant award. All reports must be accurate, complete, and submitted on time.

Recipient(s) are required to provide semi-annual progress reports and semi-annual financial 

reports through eGrants, CNCS’s web-based grants management system. All Recipient(s) must 

provide quarterly expense reports through the Payment Management System (PMS) at the U.S. 

Department of Health and Human Services.

In addition, at the end of the grant period, Recipient(s) must submit final financial and progress 

reports that are cumulative over the entire award period and consistent with the close-out 

requirements of CNCS’s Office of Grants Management. The final reports are due 90 days after 

the end of the agreement. 

Failure to submit accurate, complete, and timely required reports may affect the Recipients’ 

ability to secure future CNCS funding. 

G. FEDERAL AWARDING AGENCY CONTACTS

For more information or a printed copy of related material(s), call (202) 606-3223 or 

email SIFapplication@cns.gov. The TTY number is (800) 833-3722. 

For technical questions and problems with the eGrants system, call the National Service Hotline 

at (800) 942-2677. Potential applicants can also use this 

link: https://questions.nationalservice.gov/app/ask for questions. Be prepared to provide the 

application ID, organization’s name, and the name of the Notice to which the organization is 

applying. 

H. OTHER INFORMATION 

1. Technical Assistance

CNCS will host a technical assistance call to answer questions about the funding opportunity and 

about eGrants. CNCS strongly encourages all applicants to participate in these sessions. The callin information will be posted on CNCS’s website: http://www.nationalservice.gov/build-yourcapacity/grants/funding-opportunities. 

2. Re-Focusing of Funding

CNCS reserves the right to re-focus program dollars in the event of disaster or other compelling 

needs. 
Page 21 of 30

APPENDIX I: PAY FOR SUCCESS CONCEPT

PFS strategies are often public-private arrangements that enable a government to test or expand 

innovative interventions, typically advancing preventive social solutions, while paying only for 

those that achieve agreed-upon target outcomes. 

PFS projects typically involve two elements: 

• PFS agreements, which involve Payors and Service Providers who agree that all or some 

portion of payment for services will not be paid until an agreed-upon set of outcomes or 

level of impact has been verified. Such payments for outcomes are known as Outcomes 

Payments. Achievement of outcomes is typically verified by an independent Evaluator 

agreed upon by all parties to a transaction. 

• PFS financing, sometimes referred to as “social impact bonds” or “outcomes financing,” 

through which third-party investors provide financial resources necessary to carry out the 

intervention. Given that verification of outcomes that trigger Outcomes Payments may 

take several years, Service Providers often will not have the resources to self-finance 

costs of implementing a preventive intervention during a contract period. PFS financing 

covers these costs. Such third-party investment is typically at-risk and return of capital 

(and any potential return on investment) via the Payor is dependent, in whole or in part, 

on the achievement of outcomes identified in the PFS Contract. 

PFS Agreements involving PFS financing require partnership between multiple stakeholders to 

fully and successfully implement an outcomes-based contracting approach. Required partners 

include a Payor, Service Provider, Investor, and Evaluator. Some PFS projects include a thirdparty validator to certify the findings of the Evaluator. Most PFS projects to date have included a 

Project Coordinator. 

The Challenge Addressed by PFS 

There can be multiple barriers to broad implementation of outcomes-driven payment for social 

services. These include: 

•

•

•

•

•

•

•

•

Lack of existing tools for rigorous outcomes measurement, including integrative data 

system that may facilitate sharing of outcomes between PFS stakeholders 

Lack of knowledge of valid and reliable intermediate outcomes 

Lack of expertise about what outcomes could reasonably be expected 

Lack of easily available data and tools to assess performance effectively 

Lack of experience and understanding of PFS mechanics, including how to develop a 

PFS contract within existing procurement systems

High costs associated with evaluation 

Inability of nonprofits to expand operations to scale, due to lack of capital and 

organizational capacity, and to self-finance operations while waiting for longer-term 

verification of outcomes 

Lack of expertise and capacity in structuring solutions that align payment for services 

around outcomes 
Page 22 of 30

In addition, there can be political and budgetary constraints that impede governments from 

investing in preventive strategies, such as:

• Political constraints which may include risk of failure, risk of loss of government 

resources – both human and financial – in completing initial stages of PFS, and limited 

ability to ensure future payment for outcomes 

• Budgetary constraints which may include restrictions on the use of funds, lack of funds 

for innovative interventions focused on prevention rather than remediation, and the 

“wrong pockets” problems wherein investment by one arm of government may save 

resources for another but where misaligned incentives or program rules do not allow it 

The PFS Response

Typically, PFS projects proceed through three distinct phases: 

(a) Feasibility Analysis. During this phase, the interested parties assesses community needs 

and capacity; identify the current total costs associated with a population or social 

problem; project the potential public value, including savings, to be achieved through 

potential interventions; identify opportunities to achieve outcomes more cost-effectively; 

evaluate the suitability of implementing one or more interventions; and evaluate the 

willingness and capacity of stakeholders to implement a PFS project.

(b) Transaction Structuring. During this phase of the PFS process, a Project Coordinator 

works with the government entity to identify and finalize key factors such as: 

•

•

•

•

•

•

•

•

The outcomes that will be measured and how to measure them 

How effects of the project on relevant local, state, and federal funding sources will 

be tracked in order to measure cost savings and/or cost-effectiveness as part of 

public value 

The level of risk involved for the government entity 

Outcome targets that will trigger Outcome Payments 

A schedule of Outcome Payments linked to specific outcomes

The available sources of capital for upfront financing, Success Payments, and any 

other costs related to the project 

The participation of key stakeholders (i.e., state or local government agencies, 

service providers, financial institution(s) or foundation(s), third-party evaluator(s) 

and the responsibilities of each entity

Compatibility of the project, including the implementation of the intervention(s) and 

data collection, with the independent evaluation 

Also within this phase and informed by the above, stakeholders negotiate the specific terms of 

the PFS Agreement for the implementation of one or more interventions. In fidelity to the PFS 

model, PFS Agreements comprehensively account for all costs and all risk under the PFS project. 

PFS Agreements should also account for any potential changes associated with ramp-up 

activities and allow for potential appropriate contract modifications based on lessons learned 

during the ramp-up phase, including potential modification of outcome targets, time horizons, 

programmatic changes, and the amount and structure of Success Payments. 
Page 23 of 30

(c) PFS Agreement Implementation. During this phase, the terms of the PFS Agreement are 

carried out. Service providers administer the intervention(s) to the target population; the 

Project Coordinator provides continued oversight and support throughout service 

delivery; third-party evaluators collect data, monitor performance, and provide an 

ongoing assessment of performance outcomes. At the point that the third-party evaluator 

validates that an outcome target has been reached, an Outcome Payment is made to the 

investor(s), per the terms of the PFS Agreement. 

PFS Public Value: All PFS projects should have demonstrable public value, which may include 

savings or cost effectiveness. Often through PFS projects, a government Payor may achieve 

savings when the preventive intervention carried out under the PFS contract achieves desired 

results. In PFS Agreements, Outcomes Payments may be funded in full or in part by savings that 

result from preventive interventions. PFS structures that drive government savings at the local, 

state or federal level is a desired, though not mandatory, element of a PFS project. Even when 

there are not savings, the Recipient(s) or Service Recipient must be able to demonstrate public 

value. 

In order to determine public value, it is important to identify and estimate potential local, state, 

and federal funding sources that will be impacted by the project, including costs and savings to 

each affected level of government and program. These funding sources should be used to 

estimate potential net savings, as well as opportunities to achieve outcomes more cost-effectively 

at each level of government through the implementation of the intervention(s). Also, estimates of 

total cost savings should account for the net effect of any cost shifting among levels of 

government. 
Page 24 of 30

APPENDIX II: SERVICE RECIPIENT SELECTION REQUIREMENTS

Service Recipient eligibility criteria must include, at a minimum: 

•

•

•

•

•

•

•

A description of the initiative the community organization plans to replicate or expand, 

and how the initiative relates to the issue area(s) identified by the Recipient(s)

Data on the measurable outcomes the community organization has improved, and 

information on the measurable outcomes the community organization seeks to improve 

by replicating or expanding a proven initiative or supporting a new initiative, which shall 

be among the measurable outcomes that the eligible entity identified in the eligible 

entity’s application, in accordance with subsection 

An identification of the community in which the community organization proposes to 

operate 

A description of the evidence-based decision making strategies the community 

organization uses to improve the measurable outcomes, including: 

o use of evidence produced by prior rigorous evaluations of program effectiveness 

including, where available, well-implemented randomized controlled trials or

o a well-articulated plan to conduct, or partner with a research organization to conduct, 

rigorous evaluations to assess the effectiveness of initiatives addressing national or 

local challenges

A description of how the community organization uses data to analyze and improve its 

initiatives 

A description of how the community organization will sustain the replicated or expanded 

initiative after the conclusion of the service recipient’s project period and 

Any other information the Recipient(s) may require 

Recipients’ selection processes must ensure that the following information is available to all 

potential applicants:

•

•

•

•

The desired characteristics and eligibility requirements of organizations the Recipient(s) 

are seeking as Service Recipient. 

How to obtain and submit an application. 

The selection criteria that will be considered in reviewing applications. 

Requirements for program growth and evaluation: The evaluation strategy the 

Recipient(s) intends to pursue, e.g. one evaluation for all Service Recipient, an individual 

evaluation for each Service Recipient, or a combination. 
Page 25 of 30

APPENDIX III: KEY TERMINOLOGY 

Evaluator: An Evaluator is an independent entity that rigorously evaluates whether the 

intervention achieved the outcome(s) sought at pre-set target levels.

Evidence Tiers. CNCS will use the following definitions of preliminary, moderate, and strong 

evidence recognizing that there are multiple levels of development within each tier. These 

definitions are consistent with those used by the Office of Management and Budget: 

•

•

•

Preliminary evidence means evidence that is based on a reasonable hypothesis supported 

by credible research findings. Thus, research that has yielded promising results for either 

the program model or a similar program model will meet CNCS’ criteria. Examples of 

research that meet the standards include: 1) outcome studies that track participants 

through a program and measure participants’ responses at the end of the program; and 2) 

third-party pre- and post-test research that determines whether participants have 

improved on an intended outcome. 

Moderate evidence means evidence from previous studies on the program, the designs of 

which can support causal conclusions (i.e., studies with high internal validity) but have 

limited generalizability (i.e., moderate external validity). This also can include studies for 

which the reverse is true—studies that only support moderate causal conclusions but have 

broad general applicability. 

The following would constitute moderate evidence: (1) At least one well-designed and 

well-implemented experimental or quasi-experimental study supporting the effectiveness 

of the practice strategy, or program, with small sample sizes or other conditions of 

implementation or analysis that limit generalizability; (2) at least one well-designed and 

well-implemented experimental or quasi-experimental study that does not demonstrate 

equivalence between the intervention and comparison groups at program entry but that 

has no other major flaws related to internal validity; or (3) correlational research with 

strong statistical controls for selection bias and for discerning the influence of internal 

factors. 

Strong evidence means evidence from previous studies on the program, the designs of 

which can support causal conclusions (i.e., studies with high internal validity), and that, 

in total, include enough of the range of participants and settings to support scaling up to 

the state, regional, or national level (i.e., studies with high external validity). The 

following are examples of strong evidence: (1) More than one well-designed and well 

implemented experimental study or well-designed and well-implemented quasiexperimental study that supports the effectiveness of the practice, strategy, or program; or 

(2) one large, well-designed and well-implemented randomized controlled, multisite trial 

that supports the effectiveness of the practice, strategy, or program.

High-Quality Pay for Success (PFS) Project: A High-Quality PFS Project includes the following 

components: 

•

•

A well-defined problem and associated target population. 

A preventative service delivery strategy that is managed, coordinated, and guided by the 

service provider, is flexible and adaptive to the target problem and population, and has a 
Page 26 of 30

robust, rigorous evidence base or a compelling theory of change with pre- and postintervention outcomes achieving at least a preliminary level of evidence 

•

•

•

•

One or more well-defined, achievable potential outcome target(s) that are a significant 

improvement on the current condition of the target population and have been agreed to by 

all required project partners o A plan for rigorous PFS Intervention Evaluation using a 

randomized controlled trial, quasi-experimental evaluation, or other scientific 

methodology to be executed by an Evaluator 

A financial model that shows public sector value, including cost savings or efficiency, 

and tracks effects of the project on relevant federal, state, and local funding sources o A 

commitment from an individual or entity to act as an Outcomes Payor (whose Outcomes 

Payments may be directed to Investors if they have covered, in part or in whole, costs 

associated with delivering the intervention) 

If needed, a binding commitment of funds from one or more independent Investors to 

cover all operating costs of the intervention, including administrative and overhead costs 

of the intermediary 

A PFS Agreement and any associated necessary agreements that incorporate all elements 

above. 

Investor: An Investor is an individual, entity, or group thereof that provides upfront capital to 

cover the operating costs and other associated costs, in part or whole, of the intervention 

delivered by the Service Provider.

Outcomes Payments: Outcomes Payments, per the terms of the PFS Agreement, are payments 

deployed to cover repayment of the principal investment and a return in the case that an investor 

has covered part or all of the costs of service delivery and/or other associated costs and outcomes 

have been achieved according to an independent evaluator.

Partnership: a formal relationship between two existing eligible applicants as defined above, 

where the partner organizations will share responsibilities under the award and should include a 

legal agreement, such as a Memorandum of Understanding, outlining the roles and 

responsibilities of each partner. In a grant with a Partnership, CNCS would issue a grant award 

to each partner and expect to be dealing with each partner entity with some degree of 

independence concerning its collective responsibilities. Both partners are subject to CNCS’s 

monitoring and required to comply with the grant award terms and conditions. As an example, a 

Partnership could include one entity that handles all aspects of negotiating data sharing 

agreements, while another entity handles all security and privacy aspects related sharing and 

using administrative data. For a partnership, a single lead entity should submit an application to 

CNCS on behalf of the partnership. 

Pay for Success (PFS) Agreement: A PFS Agreement (also commonly called “PFS Contract”) is 

a multiparty agreement (1) which, when executed, delivers an innovative or evidence-based 

intervention intended to improve one of more outcomes, in which ultimate payment to the 

service provider is made only if the outcome(s) are achieved at pre-set target levels, as 

demonstrated by an Evaluator, and (2) to which the following entities are signatories: 
Page 27 of 30

•

•

•

Service Provider(s);

Outcomes Payor(s); and may include 

Project Coordinator or legal entity for this Agreement created by the Project Coordinator.

Payor (Outcomes Payor): A Payor (or Outcomes Payor) is an entity that funds Outcomes 

Payments if, as determined by the Evaluator, outcomes are achieved at pre-set target levels. It is 

generally, but not always, an entity such as a state or local government, which realizes a 

budgetary savings or other beneficial social outcomes, upon the achievement of certain 

programmatic outcomes of a PFS Project.

Project Coordinator: A Project Coordinator, is an entity that serves as the project facilitator 

between the parties. Responsibilities may include but are not limited to: coordinating the 

development and execution of the PFS Agreement, including building a financial model to guide 

the terms of the PFS Agreement, and raising capital from investors for the PFS Agreements. In 

the broader field of Pay for Success, Project Coordinators are often referred to as 

“Intermediaries.” For the purposes of this Notice, we exclusively use the term Project 

Coordinators to refer specifically to an organization’s role in facilitating a PFS project. 

Recipient: A Recipient is an entity or partnership that applies for and receives funding through 

the SIF PFS Competition. Once a Recipient awards funds or services to Service Recipients, the 

Recipient may also be referred to as a pass-through entity. 

Service Provider: A Service Provider is an entity that delivers the intervention designed to 

achieve the outcomes sought in a PFS Agreement.

Service Recipient: A Service Recipient is an entity receiving only non-cash contributions, such as 

staff time, from a Recipient to carry out activities under the SIF PFS Administrative Data Pilot 

Competition Grant. 
Page 28 of 30

APPENDIX IV: ASSURANCES 

•

•

•

Will consult with a diverse cross section of community representatives in making decisions 

about Service Recipients for communities (including individuals from the public nonprofit 

private, and for-profit sectors) 

Will make provide services of a sufficient size and scope to enable the community 

organization to build their capacity to manage initiatives and sustain replication or expansion 

of the initiatives 

Will not select any Service Recipients that are: 

o The parent organizations of the applicant 

o A subsidiary 
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o
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o organization of the parent organization of the applicant or 

o If the applicant applied for a SIF award as a partnership, any member of the partnership 

• Commits to meeting the matching cash fund requirements of section 198K(i) of the National 

and Community Service Act of 1990, as amended (42 USC 12653k(i)) 

• Commits to use data and evaluations to improve the applicant’s own model and improve the 

initiatives funded by the applicant 

• Commits to cooperate with any evaluation activities undertaken by CNCS 

• Commits and ensures that institutional capacity and expertise is available to:

o collect and analyze data required for evaluations, compliance efforts, and other purposes; 

o support relevant research; and 

o submit regular reports to the Corporation, including information on the initiatives of the 

community organizations, and the replication or expansion of such initiatives