ICAP RFA_Revised 6 15 21.pdf

Social Security Administration

Funding Opportunity Title: Interventional Cooperative Agreement Program

(ICAP)

Funding Opportunity Number: ICAP-ICAP-21-001

Financial Assistance/CFDA Number: 96.007

Due Date for Applications: Monday, June 21, 2021

I. Program Description

A. Program purpose

This funding opportunity will establish a new cooperative agreement program to allow the

Social Security Administration (SSA) to collaborate with States, private foundations, and other non-federal groups and organizations who have the interest and ability to identify, operate, and partially fund interventional research. The research and interventions under this program will target the increased employment and self-sufficiency of individuals with disabilities, including people of color and underserved communities (whether beneficiaries, applicants, or potential applicants of the Disability Insurance (DI) or Supplemental Security

Income (SSI) programs); coordinating planning between private and public human services agencies to improve the administration and effectiveness the DI, SSI, and related programs;

assisting claimants in underserved communities apply for or appeal decisions on claims for

DI and SSI benefits; and conducting outreach to children with disabilities who are potentially eligible to receive SSI.

SSA intends the projects to have a project period of 5 years, with the first year intended to put any necessary data agreements into place, recruit additional partners1, allow the recipient to secure additional funding from other sources, and other implementation planning activities. If the project is able to meet these milestones in the first year, funding will be continued to field and evaluate the project for up to four years.

B. Background

There is increased attention by policymakers to the employment of individuals with disabilities and their participation in the DI and SSI programs (e.g., the SSDI Solutions and

SSI Youth Solutions initiatives). Usually, SSA’s demonstration projects test new policies and programs designed within SSA to improve employment and self-sufficiency for beneficiaries, applicants, and potential applicants. Due to the recent growth in awareness of

1 In this request for applications, partners include all collaborating parties on a proposed project (e.g., SSA, the lead applicant, sub-awardees, grant organizations, etc.)

https://www.crfb.org/project/ssdi-solutions-initiative https://www.dol.gov/newsroom/releases/odep/odep20200115

2 | P a g e public-policy interventional research outside the traditional SSA-led demonstration agenda, multiple entities (e.g., States, foundations, employer associations, not-for-profit organizations) have shown expanded interest in testing policies that complement SSA’s policies or require a waiver of SSA program rules. This work will complement and be coordinated with SSA’s current demonstrations and partnerships with other Federal agencies.

Partnering with external organizations benefits SSA in several ways. Cost sharing from other funding sources, along with our research funds expands the reach of our research portfolio.

SSA will also benefit from the ideas brought by entities with first-hand experience with issues related to the agency’s own policies and programs. SSA also expects all projects to include people of color and members of underserved communities, both on their research teams and in the intervention’s target population, as appropriate.

SSA’s demonstration authority for this solicitation is derived from Section 11102 [42 U.S.C.

§ 1310] of the Social Security Act (Act). Section 1110 focuses on preventing or reducing dependency on Social Security programs and coordinating planning between human services agencies to improve program administration and effectiveness, and allows SSA to waive requirements, conditions, and limitations of Title XVI, the SSI program. The interventions proposed through this cooperative agreement program will be performed in cooperation between SSA and the awardees, with substantial involvement from SSA. SSA may have the authority to waive program rules for proposed interventions. When SSA agrees to waive such rules, SSA will require a greater level of involvement and control in the project.

These cooperative agreements represent a valuable opportunity for groups to partner with

SSA on the development and evaluation of the proposed intervention. When SSA data is needed for the proposed intervention or evaluation, SSA may include data sharing terms as a part of the cooperative agreement. All data sharing must be consistent with applicable law and regulation.

C. Priority topics of interest

Proposals must address goals under at least one of the following priority topics. Proposals should identify the priority topic(s) the proposed intervention(s) will address and explain how the intervention(s) would address the priority topic(s).

Examining the structural barriers in the labor market, including for racial, ethnic, or other underserved communities, including people with disabilities, that increase the likelihood of people receiving or applying for DI or SSI benefits;

Promoting self-sufficiency by helping people enter, stay in, or return to the labor force, including children and youth;

Coordinating planning between private and public human services agencies to improve the administration and effectiveness the DI, SSI, and related programs;

2 Full text of Section 1110 https://www.ssa.gov/OP_Home/ssact/title11/1110.htm

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Assisting claimants in underserved communities apply for or appeal decisions on claims for DI and SSI benefits; and

Conducting outreach to children with disabilities who are potentially eligible to receive

SSI.

II. Award Information

A. Type of award

SSA expects to award at least two awards totaling up to $6 million (combined) in cooperative agreements under this request for applications (RFA). The total amount awarded will be determined based on the strength of the applications received and programmatic considerations. SSA reserves the right to determine the number of awards, make no awards, or to make awards for amounts less than the amounts requested by the applicants.

Cooperative agreements require close cooperation and coordination between SSA and the awardees. SSA will have substantial involvement in the administration of the cooperative agreement, and SSA’s input and approval is required before conducting most activities.

B. Award amount and period of performance

The agreements will have one base year with four one-year option years. The one-year base period of each cooperative agreement will support the development of data sharing agreements, project planning, evaluation design, and other administrative aspects of the agreement. If, at the end of the first year, or sooner if the necessary agreements and other planning and administrative aspects are in place, the planning process results in an evaluable project, as determined by SSA, cooperative agreements may be extended for up to four additional years during which the awardee will implement and evaluate the intervention.

The start date will be no later than September 30, 2021 Applicants may not apply for more than the ceiling of $3 million from SSA for each causal intervention or the ceiling of $1.5 million for each feasibility intervention. Applications with budgets including expectations of funding from SSA exceeding the ceiling will be deemed non-responsive and will not be considered. SSA will only consider one application per organization. See Section V. for information on the scoring selection criteria.

Projects require a 40 percent cost share. The budgeted costs of the project should include the non-cooperative agreement funds in order to be approved for award. Details of this requirement are found in Section III.B of this RFA.

SSA will determine a proposal’s funding eligibility and level of funding based upon the evidence rating that currently exists for the proposed intervention or would likely be attained for the proposed intervention. SSA will also consider the efficacy (strength) of the proposed intervention. (See Section IV.B.ii.3.a.ii. for additional information on evidence ratings and proposal requirements.)

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SSA may fund interventions for which there is a high level of causal evidence or a high likelihood of generating causal evidence, as identified using the criteria mentioned above, for up to 5 years with a total of up to $3 million from SSA. Base year spending (i.e., the spending for the first year of the award) should be no more than $250,000 or 10% of the total budget, whichever is greater.

Feasibility studies with no causal evidence, as identified using the criteria mentioned above, may be funded up to $1.5 million. Base year spending should be no more than $250,000 or

10% of the total budget, whichever is greater.

III. Eligibility Information

A. Eligible applicants

The following applicants are eligible to apply and will be referred to throughout the RFA as the “lead applicant” or “applicant”:

States: For purposes of this RFA, the term “State” shall be consistent with the Uniform

Administrative Requirements, Cost Principles, and Audit Requirements for Federal

Awards (Uniform Guidance) at 2 CFR Part 200, include any of a State’s agencies or instrumentalities, and the terms “local government” and “federally recognized Indian tribe” shall have the meanings given in the Uniform Guidance and set forth in Appendix

I.1, Applicants. (2 CFR 200.54, 200.64)

Local governments

Federally recognized Indian tribes

Foundations

Employer associations

Not-for-profit organizations

For-profit organizations, such as firms

Educational institutions

i. Responsibilities of the Lead Applicant

The lead applicant will serve as the awardee and have overall fiscal and administrative responsibility for the cooperative agreement, including performance of any sub-awardees.

Fiscal responsibility may not be delegated to sub-awardees. Administrative responsibilities, such as project management, coordination, or delivery of intervention services, may only be delegated to sub-awardees with approval from SSA. The fiscal and administrative responsibilities for the cooperative agreement lead applicants include, but are not limited to, the following:

the primary point of contact with SSA to receive and respond to all inquiries or communications under this RFA and any sub-recipients;

the entity with authority to draw down funds;

5 | P a g e the entity responsible for submitting to SSA all work products under the cooperative agreement, including all related technical and financial reports, regardless of which partnership member performed the work;

the entity that may request or agree to a revision or amendment of the cooperative agreement;

the entity with overall responsibility for oversight or coordination of carrying out programmatic functions, including intervention implementation, administration, and collecting required project data, as well as the stewardship of all expenditures under the cooperative agreement;

the entity responsible for working with SSA to close-out the cooperative agreement;

the entity responsible for ensuring data accuracy, security, and privacy, including ensuring all individuals, including individuals under sub-awardees, follow all guidelines for protecting Personal Identifiable Information (PII) and ensuring completion of personnel suitability clearances.

B. Cost sharing or matching

The ICAP requires cost-sharing or other financial contributions from the applicant or any of the collaborative partners in the proposal. Proposals must provide evidence of meeting this cost-sharing requirement. Applicants are encouraged to collaborate with their partners and leverage resources to meet the cost-sharing requirement. The project requires a minimum cost sharing of 40% over the 5 years of the project. SSA uses the Total Project Cost Method to calculate cost-sharing. In this method, federal funds plus cost-share = total project cost. To calculate Required Recipient Cost-share Amount:

Federal Award Amount / Federal Share Percentage = Adjusted (Total) Project Cost

Required Recipient Share Percentage x Adjusted Project Cost = Required Recipient Cost-share Amount

Awardees may use the first project year to secure other sources of funding in order to meet the 40 % cost-share required for all project years of the cooperative agreement funding; if the

40% cost-share is not met, projects will not continue. However, for the first year a project may be allowed to meet only 20% of the cost-sharing requirement, provided that the awardees’ budget provides a plan to make up for the additional cost sharing over the remaining 4 years of the project.

Indirect costs can be used as part of the cost-sharing requirement, if the applicant already has approval for their indirect cost rates. In-kind contributions should not exceed 15% of cost share in the first year and 20% in following years.

While the minimum cost share requirement is 40%, projects are allowed and encouraged to see additional outside funding, though the federal award amount will not increase. An

6 | P a g e applicant’s ability to secure funding above the minimum required cost share will be part of the application review and ratings.

C. Other eligibility criteria

i. The intervention must relate to one of the priority topic areas listed in the Program

Description, Section I.C.

ii. Number of Applications Applicants May Submit

SSA will consider only one (1) application from each applicant. If SSA receives multiple applications from the same applicant, SSA will only consider the most recently received application that met the June 21, 2021 deadline. If the most recent application is disqualified for any reason, SSA will not replace it with an earlier application.

iii. Application Screening Criteria

Use the checklist below as a guide when preparing your application package to ensure that the application meets all of the screening criteria. This checklist is only an aid for applicants and should not be included in the application package. Use this checklist to ensure that your application contains all required items. If your application does not meet all of the screening criteria, it will not move forward through the merit review process

(see Section V.B.).

Application Requirement Complete?

The June 21, 2021 deadline submission requirements are met

Eligibility

To submit documents in Grants.gov, the components of the application are must be saved in any of the specified formats and are not corrupt. (We will attempt to open the document, but will not take any additional measures in the event of problems with opening.)

Application for federal funds request does not exceed the ceiling amount.

SAM Registration

SF-424, Application for Federal Assistance, including a DUNS Number

IV. Application and Submission Information

A. How to obtain an application package

This RFA, found at www.Grants.gov, contains all of the information and links to forms needed to apply for funding for this cooperative agreement program. Applicants must register for a Grants.gov account and submit the application on the site.

B. Content and form of application submission

i. Notice of Intent to Apply

The Application Deadline is Monday, June 21, 2021 at 11:59 PM Eastern Time. SSA strongly encourages organizations interested in applying to submit to SSA a Letter of

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Intent to Apply to the ICAP Office. Obtaining advance information about the potential number of applications, as well as the general structure of the proposed intervention projects and evaluation plans, prior to the application deadline will assist SSA in developing a more efficient application review process. A Letter of Intent to Apply should be submitted via e-mail to SSA.Demonstrations@ssa.gov on or prior to May 21, 2021. Please use “Intent to Apply” in the e-mail subject line and include the following information:

The applicant’s name and address;

A general overview of the intervention, including the target population and priority (from list in project description) the project will address, anticipated outcome(s) of the project, and a brief summary of the evaluation design

(including, where applicable, federal data sets to which the project partners and/or evaluator anticipate needing to access, and the plan to gain access to that data);

Existing evidence supporting the quality of causal evidence;

Evidence supporting the efficacy (strength) of the intervention;

Any preliminary information identifying the project partners;

The intervention period (not to exceed five years, including one start-up year);

and

Total anticipated funding and total anticipated budget for the proposed project.

An applicant that does not submit a Letter of Intent to apply may still apply for a cooperative agreement, and an application may differ from what the applicant included in its Letter of Intent to Apply. See Section VIII.A regarding submission of proprietary information in response to this RFA.

ii. Application for project award

Proposals submitted in response to this RFA must consist of four separate and distinct parts:

SF-424 “Application for Federal Assistance;”

SF-424A “Budget Information Form”

Budget Narrative (upload);

Budget Detail Worksheet

Risk Analysis Questionnaire

Project Narrative;

Attachments to the Project Narrative;

If applicable, applications must also include the following:

SF-LLL, Disclosure of Lobbying Activities (Note: if you do not lobby, type

“N/A” in the required fields; and

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You must ensure that the funding amount requested is consistent across all parts and sub-parts of the application.

Below is a description of each required part of the application.

1. SF-424 “Application for Federal Assistance”

You must complete the SF-424, “Application for Federal Assistance” (available in the Grants.gov Grant Opportunity Package).

In the address field, fill out the nine-digit (plus hyphen) zip code. Nine-digit zip codes can be looked up on the USPS website at https://tools.usps.com/go/ZipLookupAction!input.action.

The SF-424 must clearly identify the applicant and must be signed by an individual with authority to enter into a grant or cooperative agreement. Upon confirmation of an award, the individual signing the SF-424 on behalf of the applicant is considered the Authorized Representative of the applicant. As stated in block 21 of the SF-424 form, the signature of the Authorized Representative on the SF-424 certifies that the organization is in compliance with the Assurances and Certifications form SF-424B

(available at https://apply07.grants.gov/apply/forms/sample/SF424B-V1.1.pdf). You do not need to submit the SF-424B with the application.

Requirement for DUNS Number o All applicants for federal grant and cooperative agreement funding opportunities must have a DUNS number, and must supply their

DUNS Number on the SF-424. The DUNS Number is a nine-digit identification number that uniquely identifies business entities. If you do not have a DUNS Number, you can get one for free by calling 1-

866-705-5711 or visiting the D&B website:

https://fedgov.dnb.com/webform/displayHomePage.do.

o Grant and cooperative agreement recipients authorized to make sub-awards must meet these requirements related to DUNS Numbers o Grant and cooperative agreement recipients must notify potential sub-awardees that no entity may receive a sub-award from you unless the entity has provided its DUNS number to you.

o Grant and cooperative agreement recipients may not make a sub-award to an entity unless the entity has provided its DUNS number to you.

o (See, Appendix A to 2 CFR section 25.)

Requirement for Registration with SAM

9 | P a g e o Applicants must register with the System for Award Management

(SAM) before submitting an application. Find instructions for registering with SAM can at https://www.sam.gov.

o Award recipients must maintain an active SAM registration with current information at all times during which it has an active federal award or an application under consideration. To remain registered in the SAM database after the initial registration, the applicant is required to review and update the registration at least every 12 months from the date of initial registration or subsequently update its information in the SAM database to ensure it is current, accurate, and complete. For purposes of this paragraph, the applicant is the entity that meets the eligibility criteria and has the legal authority to apply and to receive the award. If an applicant has not fully complied with these requirements by the time the Grant Officer is ready to make a federal award, the Grant Officer may determine that the applicant is not qualified to receive a federal award and use that determination as a basis for making a federal award to another applicant.

2. SF-424A “Budget Information Form”, Budget Narrative and Budget Detail

Worksheet

You must complete the SF-424A Budget Information Form provides SSA with summary information (available in the Grants.gov Grant Opportunity Package). In preparing the Budget Information Form, you must also provide a concise narrative explanation and show calculations to support the budget request, explained in detail below. The Budget Detail Worksheet included in the Grant Opportunity Package is a sample that includes some formulas. You are free to modify the format as long as the calculations are clear and concise.

Budget Narrative and Detail Worksheet: The budget narrative must provide a description of costs associated with each line item on the SF-424A. It must describe how the proposed budget aligns to the project work plan and identify how each milestone will be adequately funded within the proposed budget. Overhead and administrative costs should be reasonable and clearly identified, such that they can be compared to the level of funding allocated to project service coordination and delivery. It is expected that a majority of project funding will be devoted to project service coordination and delivery. The budget narrative should detail how the applicant plans to meet the cost sharing requirements set forth in Section III.B.

Use the following guidance for preparing the Budget Detail Worksheet:

Personnel: List all staff positions by title (both current and proposed).

Provide the annual salary of each position, the percentage of each position’s time devoted to the project, the amount of each position’s salary funded by

10 | P a g e the cooperative agreement, and the total personnel cost for the period of performance.

Fringe Benefits: Provide a breakdown of the amounts and percentages that comprise fringe benefit costs such as health insurance, FICA, retirement, etc.

Travel: Specify the purpose, mileage, per diem, estimated number of in-state and out-of-state trips, and other costs for each type of travel.

Equipment: Identify each item of equipment you expect to purchase which has an estimated acquisition cost of $5,000 or more per unit (or if your capitalization level is less than $5,000, use your capitalization level) and a useful lifetime of more than one year (see 2 CFR 200.33 for the definition of

Equipment). List the quantity and unit cost per item. Items with a unit cost of less than $5,000 are supplies, not “equipment”. In general, we do not permit the purchase of equipment during the last funded year of the cooperative agreement.

Supplies: Identify categories of supplies (e.g. office supplies) in the detailed budget and list the quantity and unit cost per item. Supplies include all tangible personal property other than “equipment” (see 2 CFR 200.94 for the definition of Supplies).

Contractual: Under the Contractual line item, delineate contracts and sub-awards separately. Contracts are defined according to 2 CFR 200.22 as a legal instrument by which a non-federal entity purchases property or services needed to carry out the project or program under a federal award. A sub-award, defined by 2 CFR 200.92, means an award provided by a pass-through entity to a sub-recipient for the sub-recipient to carry out part of a federal award received by the pass-through entity. It does not include payments to a contractor or payments to an individual that is a beneficiary of a federal program. For each proposed contract and sub-award, specify the purpose and estimated cost.

Construction: Construction costs are not allowed and this line must be left as zero. Minor alterations to adjust an existing space for activities that are part of the cooperative agreement (such as a classroom alteration) may be allowable. We do not consider this as construction and you must show the costs on other appropriate lines such as Contractual.

Other: Provide clear and specific detail, including costs, for each item so that we are able to determine whether the costs are necessary, reasonable and allocable. List any item, such as stipends or incentives, not covered elsewhere here.

Indirect Costs: If you include indirect costs in the budget, then you must include one of the following:

o If you have a Negotiated Indirect Cost Rate Agreement (NICRA), provide an explanation of how the indirect costs are calculated. This explanation should include which portion of each line item, along

11 | P a g e with the associated costs, are included in your cost allocation base.

Also, provide a current version of the NICRA.

OR

o If you intend to claim indirect costs using the 10 percent de minimis rate, please confirm that your organization meets the requirements as described in 2 CFR 200.414(f). Clearly, state that your organization has never received a Negotiated Indirect Cost Rate Agreement

(NICRA), and your organization is not one described in Appendix

VII of 2 CFR 200, paragraph (D)(1)(b).

o Applicants choosing to claim indirect costs using the de minimis rate must use Modified Total Direct Costs (see 2 CFR 200.68 below for definition) as their cost allocation base. Provide an explanation of which portion of each line item, along with the associated costs, are included in your cost allocation base. Note that there are various items not included in the calculation of Modified Total Direct Costs.

See below the definitions to assist you in your calculation.

2 CFR 200.68 Modified Total Direct Cost (MTDC) means all direct salaries and wages, applicable fringe benefits, materials and supplies, services, travel, and up to the first $25,000 of each sub-award (regardless of the period of performance of the sub-awards under the award). MTDC excludes equipment, capital expenditures, charges for patient care, rental costs, tuition remission, scholarships and fellowships, participant support costs and the portion of each sub-award in excess of $25,000.

Other items may only be excluded when necessary to avoid a serious inequity in the distribution of indirect costs, and with the approval of the cognizant agency for indirect costs.

See Section IV.E.i for more information. Note that the SF-424, SF-424A, and budget narrative must include the entire federal grant or cooperative agreement amount requested.

Applicants should list the same requested Federal grant or cooperative agreement amount on the SF-424, SF-424A, and budget narrative. If SSA finds minor inconsistencies between the budget amounts specified on the SF-424, SF-424A, and the budget narrative, SSA will consider the SF-424 the official funding amount requested. However, if the amount specified on the SF-424 would render the application nonresponsive, the Grants Management Officer will use his or her discretion to determine whether the intended funding request (and match or cost share if applicable) is within the responsive range.

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3. Project Narrative

The Project Narrative must demonstrate the applicant’s capability to plan and implement the proposed project in accordance with the provisions of this RFA. It should provide a comprehensive framework and description of all aspects of the proposed project. It must be succinct, self-explanatory, and well organized so that reviewers can understand the proposed project. Instructions for the content of the

Project Narrative are provided below.

The applicant is responsible for funding and securing Institutional Review Board

(IRB) approval for the proposed project.

Applicants are discouraged from submitting information considered proprietary unless it is deemed essential for proper evaluation of the application. See Section

VIII.A regarding submission of proprietary information in response to this RFA.

The Project Narrative is limited to no more than 40 double-spaced single-sided 8.5 x

11 inch pages with Times New Roman 12 point text font and standard 1-inch margins. Attachments to the project narrative are not included in the 40 page limit but we will only exclude those attachments listed in the Attachments section below from the page limit. Applicants must number the Project Narrative beginning with page number 1. There should be no more than 2 call out boxes per page. Any text in call out boxes or other exhibits should be no smaller than 8 point text font.

Applications should be 508 compliant.

SSA will not evaluate materials beyond the specified page limit in the application review process.

The following instructions provide all of the information needed to complete the

Project Narrative. Carefully read and consider each section, and include all required information in your Project Narrative. The agency will evaluate the Project Narrative using the evaluation criteria identified in Section V.A.

Applicants should use the following section headers for the Project Narrative:

Strategic Approach and Project Design o Comprehensive Description of the Model o Supporting Evidence o Evaluation Strategy o Work Plans and Timelines

Organizational Capacity and Quality of Key Personnel

Management/Operational Plan o Risk Management and Opportunities o Continuous Quality Improvement

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Below is a description of what must be included in each section of the project narrative.

a. Strategic Approach and Project Design

This section must include at least the following subsections:

Comprehensive Description of Model

Supporting Evidence

Evaluation Strategy

Work Plans and Timelines

Additional subsections may be included, but size limitations for the project narrative will apply.

i. Comprehensive Description of Model

This subsection of the application must describe the design of the proposed model including the type, duration, and scope of the services to be provided in the service delivery model and the outreach, recruitment, and enrollment strategies that will be employed for identifying and targeting the applicable population and engaging stakeholders. Applicants are encouraged to use Community Engaged Methods as a part of their project design, specifically the inclusion of people from the target communities in the development of the research design, data collection, analysis and dissemination of findings. As appropriate, the design should include how the project will incorporate people of color, underserved communities, or those with lived experiences in the issues studied as stakeholders and in their target population for the project. The plan must clearly address the priority topic(s) to be addressed by the project design.

It must also show how the requested funds and other resources will support the proposed activities and how the proposed activities will lead to the proposed interim outputs and ultimate outcomes.

This subsection must describe specific strategies to be used or adapted by the project. The description must identify the theory of change for the model and its evidence base. The applicant must also identify the activities that will be conducted. Applicants must also describe any past and current efforts to address the issue. They must also describe how the activities in the proposed project differ from those currently occurring, and how the new activities will lead to improved outcomes, specifically, how the proposed intervention will benefit current, potential, or future beneficiaries.

Applicants must identify the target population(s) their efforts will focus upon and provide data and information to support the need for their proposed efforts, including characteristics, estimated size of total population, and expected sample size. Information must be provided to

14 | P a g e explain how focusing on the target population aligns to the goals of their intervention. Applicants must include available detail on the evidence base for the target population. Projects must be tailored to the specific context(s) in which implementation is planned, including demographic and socioeconomic issues of relevance. In articulating the problem or issue, applicants must demonstrate the extent of the problem in both qualitative and quantitative terms. Assumptions used to determine and describe the target population and expected sample size should be included as part of the project narrative, as well as support for why each of these assumptions is reasonable (i.e., the assumptions should be clearly stated and supported).

ii. Supporting Evidence

The subsection must include a discussion of the evidence base for including each strategy with respect to the project and the target population and how the strategies will address the priority topic(s) problem(s) or issue(s) noted in the Strategic Approach and Project Design section of the Project Narrative. Applicants should use this section to support the cooperative agreement category for which they are applying, whether causal or feasibility.

There are two ways to qualify for the causal category of funding. Causal studies must either build on existing highly rated causal research or be designed with a methodology that could produce highly rated causal research. Well-designed studies that do not meet the threshold for high rated causality methodology would be eligible for feasibility category of funding.

If the proposed project builds on any prior research that has been previously reviewed and rated by a clearinghouse, such information should be included in the project narrative (see Section IV.B.ii.3). For a proposed project that does not build on research that has been previously reviewed and rated by a clearinghouse, the project narrative should include information about the rating the project would likely receive under the clearinghouses’ criteria based on the project’s design.

If applying for causal category funding based on prior research, applicants must provide rating(s) of causality from reputable evidence clearinghouses and ratings structures if available, including Department of Labor’s Clearinghouse for Labor Evaluation and Research (CLEAR), Department of Education’s What Works Clearinghouse, and Health and

Human Services’ Pathways to Work Evidence Clearinghouse.

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All proposals must include information about any evidence ratings assigned to similar interventions and evaluation methods by relevant clearinghouses regarding the causal impact of the proposed intervention.

Application reviewers will use the criteria from the Department of

Labor’s Clearinghouse for Labor Evaluation and Research (CLEAR)3, the Department of Education’s What Works Clearinghouse (WWC)4, the

Administration for Children and Families’ Pathways to Work Evidence

Clearinghouse5, and other similar clearinghouses to determine the level of each proposal’s claims of, and likelihood of producing, causal evidence.

The clearinghouses rate causal studies. (Non-causal studies are not eligible for ratings, but the clearinghouses have provided guidelines for reviewing such studies that promote quality and consistency.) The clearinghouses assign causal studies one of three evidence ratings: high, moderate, or low. A high rating denotes strong evidence that the effect observed are solely attributable to the intervention. A moderate rating denotes some evidence that the effects are at least partially attributable to the intervention. A low rating denotes that there is little evidence that any effects observed can be attributed to the intervention. More information about the rating process can be found in publicly available reference documents for the CLEAR review process.6

Please refer to Section II.B for information on how evidence will effect the level of funding a project may request.

iii. Evaluation Strategy

This subsection must include the evaluation strategy for the intervention.

The application must identify the evaluation methods to be used in the proposed project and any anticipated evaluation-related challenges. The evaluation panel will score proposals with strong causal identification strategies, such as randomized studies, and the ability to conduct a cost-benefit analysis higher in this area than those with weak identification strategies. However, all evaluation methods (including, but not limited to, qualitative, quantitative, participatory, mixed-methods, experimental, and quasi-experimental) are welcome and proposals will be judged by their overall completeness and quality.

3 https://clear.dol.gov/ 4 https://ies.ed.gov/ncee/wwc/ 5 https://pathwaystowork.acf.hhs.gov/ 6 https://clear.dol.gov/about https://clear.dol.gov/ https://ies.ed.gov/ncee/wwc/ https://pathwaystowork.acf.hhs.gov/ https://clear.dol.gov/about

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This subsection must also include information on data that will be collected for evaluation and any data the applicant wishes to request from

SSA. If an applicant’s recruitment, implementation, or evaluation strategies require other SSA data, the application must clearly identify it so that SSA can determine whether it will be possible to provide the data during the period of performance. See Section VI.B.viii. for additional information.

Work Product Ownership and Rights in Data will need to be assessed on a case-by-case basis. Applicants should include in their proposals to SSA any specific rights or ownership requested or claimed over the data or work product to be used, collected, or developed.

iv. Work Plans and Timelines

The work plan must include a description of the planning, start-up, implementation, closeout, and evaluation activities that will be conducted, along with a timeline and proposed milestones, outcomes, and metrics. Activities must include but are not limited to:

Partnerships:

o Establishing or finalizing necessary partnerships, MOUs, and sub-award agreements, including data sharing agreements and contracts and financial agreements for service delivery;

o Meeting and engaging in strategic planning with partners identified in the application and other interested stakeholders to ensure service coordination and readiness for program implementation; and

Partnership with SSA:

o Clearly identify the role(s) you are proposing that SSA have, including any necessary data sharing agreements, policy consultations with subject matter experts, and time commitments.

Service components and planning logistics:

o Finalizing a plan for communication, outreach, recruitment, and enrollment of the target population; and o Establishing a process for any service or supports for participants.

Personnel and training:

o Developing training program and materials for service providers using evidence-based strategies and best practices to be used in the proposed model (identified in the previous section); and o Hiring and training of other necessary personnel.

Implementation plan:

17 | P a g e o Proposed milestones, interim outputs, and outcome goals;

o Proposed metrics for measuring process and program outputs and outcomes;

o A detailed project timeline;

o Initial plans for partnering with other key stakeholders;

o A proposed data collection plan, which identifies the data collection process and data sources that will be utilized, how the required programmatic data elements will be provided, and how the data will be used for operational purposes;

o A description of how any existing partner data systems will be utilized; and o A justification of any proposed incentives to study/intervention participants, both financial and non-financial incentives, which includes a description of why the incentives are necessary to further cooperative agreement-related activities and identifies the incentive value(s) and how they will be distributed and tracked.

List of proposed deliverables:

o Project management reports;

o Special topic reports; and o Final report(s).

o The minimal requirements are laid out in Section VI.D.

A viable strategy for identifying, recruiting, and enrolling a sufficient number of participants to allow for a valid evaluation of impacts, including:

o How the proposed target population will be identified and recruited (e.g. through a health care organization, an employer, an insurer, or other existing entity), including a projected timeframe for recruitment;

o How many individuals are estimated to qualify;

o How many individuals the applicant expects to serve; and o A power analysis to show the size of effect that can be expected and why the expected effect size is policy relevant.

Evaluation activities; and

Communication/dissemination/engagement activities

b. Organizational Capacity and Quality of Key Personnel

This subsection must include information about and describe the readiness of the applicant and all partners to participate in both planning and implementation, and any resources that will be needed for full readiness to

18 | P a g e implement the project, if selected. This must include past, relevant experience running large, complex demonstration projects or other complex interventional projects. All resources, personnel, and established and planned partnerships must be identified. The research team should be diverse and inclusive, including people of color, members of underserved communities, and those with lived experiences, as appropriate. Applicants are encouraged to include institutions of color and scholars of color or from underserved communities, including people with disabilities, as collaborative partners.

Applicants should have experience working with people of color, underserved communities, and individuals with lived experiences, as appropriate.

Applicants must describe their capacity to effectively manage and carry out the programmatic, fiscal, administrative, and independent evaluation-related activities of the proposed projects. The application must describe the guiding principles of the organization and its past experience and track record of performance. It must also demonstrate an understanding of the needs of the community or population that the applicant seeks to target. The application must include a description of the governance, organizational, and structural functions that will be in place to implement, monitor, and operate the model.

The tasks to be conducted by each administrative component must also be described.

Applicants also must include a list of key personnel. Each project must include at least a Principal Investigator and a Project Manager. This list should also include any position that will function as a lead for a particular task, including service administration and evaluation. For each person on this list, applicants must describe their relevant background, their roles, and overall responsibilities. Résumés must be included as attachments to the

Project Narrative (see below).

Applicants must provide evidence of the following:

The applicant must demonstrate relevant experience in successfully operating projects of similar size and complexity as well as the ability to support the independent evaluation. The applicant must provide up to five examples from the last five years to demonstrate successful operation experience and evaluation ability. The lead applicant must have the necessary facilities or the ability to secure such facilities. The lead applicant must also have the necessary infrastructure to effectively lead and implement the project.

The establishment of a Leadership Team and the applicant’s strategic plan for utilizing this team. The application must provide documentation that entities on the Leadership Team will have sustained, substantial commitment and active involvement. Such

19 | P a g e documentation can be provided through signed MOUs, letters of commitment, or other similar documents.

Documentation of the establishment of relevant partnerships and partners’ relevant experience in evidence-based strategies.

The professional qualifications required of the project manager, project coordinators, program data collection lead/evaluation coordinator, and other key personnel, along with how these qualifications will be sufficient to ensure proper management of all project activities, including timely reporting and the ability to manage strategic partnerships.

c. Management and Operational Plan

Applicants must submit a detailed Management and Operational Plan that:

Describes the activities and budgets for the period of performance;

Includes a detailed timeline for implementation with major milestones;

and

Articulates an effective strategy for self- monitoring, risk management, and Continuous Quality Improvement (CQI).

The plan must include roles and responsibilities of key partners and major milestones and dates for successfully executing the Management and

Operational Plan.

The applicant must provide an organizational chart (see required attachment list below) demonstrating how the primary applicant will successfully manage this cooperative agreement and how the primary applicant will manage and facilitate the relationships between that entity and all other partnering or participating organizations to lead to the successful provision of services to participants under the model.

Applicants must explain in detail their project management approach and demonstrate their experience implementing a project of the proposed scope.

The plan must contain the following subsections: Risk Management and

Opportunities and CQI:

i. Risk management and opportunities

This subsection must identify potential risks to planning and implementing the proposed project, such as difficulty recruiting a sufficient number of participants. Each identified risk must be accompanied by a proposed plan for addressing or overcoming the risk.

20 | P a g e

This subsection must also identify any opportunities to accelerate the project’s planning or implementation and plans for taking advantage of such opportunities. Opportunities to accelerate the project could include leveraging existing partnerships.

ii. CQI

Awardees will be expected to analyze process data as part of CQI in order to improve processes without changing the underlying model.

This subsection must describe the applicant’s approach to CQI and how it will be coordinated with the evaluator. It must identify a specific CQI model and detail how the model will be utilized. The CQI plan must support the theory of change identified in the Strategic Approach and

Project Design section of the Project Narrative and must clearly align with the required Project Logic Model attachment.

4. Attachments to the Project Narrative

In addition to the Project Narrative, you must submit attachments. All attachments must be clearly labeled as Attachments. We will only exclude those attachments listed below from the page limit.

You may include additional materials such as general letters of support. You must submit your application in one package because documents received separately will not be attached to the application for review.

Save all files with descriptive file names of 50 characters or less and only use standard characters in file names: A-Z, a-z, 0-9, and underscore (_). File names may not include special characters (e.g. &,–,*,%,/,#), periods (.), blank spaces or accent marks, and must be unique (i.e., no other attachment may have the same file name).

You may use an underscore (example: my_Attached_File.pdf) to separate a file name.

Required Attachments

Project Logic Model

Staffing o Résumés of Proposed Key Personnel (no more than 1 page per person) o Organization Chart

Requested Attachments

We request the following attachments, as applicable, but their omission will not cause us to eliminate the application.

Abstract o Applicants are strongly encouraged, though not required, to submit an up to three-page abstract summarizing the proposed project, including

21 | P a g e but not limited to the scope of the project and proposed outcomes, including how the proposed intervention will benefit current, potential, or future beneficiaries. The abstract should include the following information:

Lead applicant’s name and contact information

Project name/title

Description of proposed geographic areas to be served

Description of the proposed target population

Funding level requested and sources of additional funding

Overview of the proposed project including the proposed partners and the role that each will play

The proposed project overview should succinctly describe the activities to be carried out and the applicant’s plan for achieving their proposed outcomes. When submitting in grants.gov, this document should be uploaded as an attachment to the application package and specifically labeled “Abstract.”

Indirect Cost Rate Agreement o If you are requesting indirect costs based on a Negotiated Indirect Cost

Rate Agreement approved by your Federal Cognizant Agency, then attach the most recently approved Agreement. (For more information, see Section IV.B.2. and Section IV.E.1.) This attachment does not affect scoring of the application.

The evidence base for the target population as documented through reports, papers, or other available data.

6/15/21 RFA Update: Bibliographies/References are allowable attachments

C. Submission Date, Times, Process, and Addresses

All applications are due by 11:59 PM Eastern Time on Monday, June 21, 2021. To obtain an application package visit the Grants.gov website: http://www.grants.gov/. The application package includes the standard forms used to apply for SSA grants, i.e. SF-424, 424B and SF-

LLL. Eligible applicants may apply via the new Grants.gov Workspace or by completing all necessary forms and documents offline and uploading them directly to the Grants.gov site.

The Funding Opportunity Number for…