[Federal Register Volume 75, Number 206 (Tuesday, October 26, 2010)]
[Proposed Rules]
[Pages 65595-65599]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 2010-26960]
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CORPORATION FOR NATIONAL AND COMMUNITY SERVICE
45 CFR Part 2553
RIN 3045-AA52
Retired and Senior Volunteer Program Amendments
AGENCY: Corporation for National and Community Service.
ACTION: Notice of proposed rule with request for comments.
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SUMMARY: This proposed rule sets forth a competitive process for
selecting grant recipients for the Retired and Service Volunteer
Program (``RSVP''), including performance measurement requirements, as
required by the Domestic Volunteer Service Act (DVSA), as amended by
the Edward M. Kennedy Serve America Act (Serve America Act) of April
21, 2009.
DATES: Submit comments on or before December 27, 2010.
ADDRESSES: You may submit and read comments through the Federal
government's one-stop rulemaking Web site at http://www.regulations.gov. You may also mail or deliver your comments to Amy
Borgstrom, Docket Manager, Corporation for National and Community
Service, 1201 New York Ave., NW., Washington, DC 20525. Members of the
public may review copies of all communications received on this
rulemaking at the Corporation's Washington, DC headquarters.
FOR FURTHER INFORMATION CONTACT: Amy Borgstrom, Docket Manager,
Corporation for National and Community Service, (202) 606-6930, TDD
(202) 606-3472. Persons with visual impairments may request this
document in an alternate format.
SUPPLEMENTARY INFORMATION:
I. Invitation to Comment
We invite you to submit comments about these proposed regulations.
To ensure that your comments have maximum value in helping us develop
the final regulations, we urge you to identify clearly the specific
section or sections of the proposed regulations that each comment
addresses and to arrange your comments in the same order as the
proposed regulations. During and after the comment period, you may
inspect all public comments about these proposed regulations on http://www.regulations.gov or by contacting the Docket Manager listed in this
notice.
Assistance to Individuals With Disabilities in Reviewing the Rulemaking
Record
On request, we will supply an appropriate aid, such as a reader or
print magnifier, to an individual with a disability who needs
assistance to review the comments or other documents in the public
rulemaking record for these proposed regulations. If you want to
schedule an appointment for this type of aid, please contact Amy
Borgstrom, Docket Manager, Corporation for National and Community
Service, [email protected], TDD (202) 606-3472.
II. Background
On April 21, 2009, President Obama signed into law the Edward M.
Kennedy Serve America Act (Serve America Act) (Pub. L. 111-13). The
Serve America Act reauthorizes and expands national service programs
administered by the Corporation for National and Community Service
(``the Corporation'') by amending the National and Community Service
Act of 1990 (NCSA) and the Domestic Volunteer Service Act of 1973
(DVSA).
The Serve America Act amended the DVSA by requiring the Corporation
to develop a competitive process for selecting grant recipients for the
Retired and Senior Volunteer Program (``RSVP'') beginning in fiscal
year 2013. Section 201(e) of the DVSA requires that the Corporation
promulgate regulations within 18 months of the enactment of the Serve
America Act establishing the competitive grantmaking process for the
Retired and Senior Volunteer Program. The competitive process, as
directed by statute, will include the use of peer review panels with
expertise in senior service and aging, site visits as
[[Page 65596]]
appropriate, and evaluations of existing grantees. The amended statute
requires that, beginning in fiscal year 2013, RSVP grants be awarded
for a period of 3 years, with an option for renewal of 3 years if the
grantee meets the performances measures established in its grant award,
as well as complying with the terms and conditions of the grant.
III. Proposed Rule
The current competitive process for selecting RSVP grantees only
occurs when there is new money above the appropriated base funding for
RSVP grants. The future competitive process for selecting RSVP grantees
will include the same elements specified in the amended DVSA that have
been used for previous competitive processes. The elements specified in
the amended DVSA are discussed below.
A. Peer review panels [DVSA sec. 201(e)(2)(B)(i); 45 CFR
2553.71(b)]: As of 2013, RSVP grant applications will be reviewed by
blended peer review panels that will include members with specialized
expertise in senior service and aging, as well as Corporation staff,
who will offer their expert opinions concerning each application. The
use of blended peer review panels is well established at the
Corporation and is currently part of the process of selecting grantees
for other programs such as AmeriCorps and Learn and Serve America. The
Corporation also has considerable experience in using outside reviewers
with expertise in senior service and aging on selection panels for
Senior Corps grants, including RSVP. The Corporation's existing
processes for announcing peer review opportunities, registering
potential reviewers, selecting reviewers for particular competitions,
managing review panels, and considering peer review opinions in making
the final selection of grantees will be adapted to meet the
requirements for RSVP grant competitions.
B. Site inspections [DVSA sec. 201(e)(2)(B)(ii); 45 CFR
2553.71(b)]: As appropriate, on-going RSVP grant projects or proposed
project sites may be visited by Corporation representatives as part of
the competitive selection process. While such site visits would
normally not be needed, circumstances could arise during the grantee
selection process where on-site observations or meetings might be
helpful, for example, in clarifying aspects of an application or
validating the capacity of an organization to administer a Federal
grant.
C. Performance Measures, Outcomes, and Other Criteria [DVSA
sections 201(e)(2)(B)(v) and 201(g); 45 CFR 2553.12(l) and Subpart J]:
As a part of the competitive process, the Corporation will develop
performance measures, outcomes, and other criteria that will be used in
the evaluation of applicants. The performance measures will be
established in the Notification of Funding Availability and may be
different than those incorporated in current grants. These performance
measures, outcomes, and criteria will reflect the different needs of
rural and urban communities. These performance measures, outcomes, and
criteria will be used in conducting the competitive process and in
developing assessment reports as described in paragraph D, below.
Performance measures will be published in the Notification of Funding
Availability.
Pursuant to section 201 (g)(2)(A) & (B) of the Serve America Act,
prior to Fiscal Year 2014, that is, the first year after initiation of
the competitive process, the performance measures, outcomes, and other
criteria established for the process may not be updated or modified,
except when the Corporation determines that a performance measure,
outcome, or criterion has become operationally problematic. In such
cases, after consulting with RSVP project directors, sponsor
executives, and others as appropriate, and notifying the authorizing
committees, the Corporation may eliminate that performance measure,
outcome, or criterion, or modify it.
D. Assessments of existing RSVP projects [DVSA sections 201(f) and
(g); 45 CFR 2553(f)]: All existing RSVP grants will receive a report
from the Corporation in a standardized format that assesses program
strengths and weaknesses in a way that can assist the grantee with
program improvement. The Corporation has set up a mechanism for
consulting with RSVP project directors during the development and
implementation of the assessment process. This report will guide the
Corporation's training and technical assistance for the project. The
standardized report will, in addition to assessing the program's
strengths and weaknesses, include--
An assessment of the extent to which the grantee meets or
exceeds the performance measures, outcomes, and other criteria
established for its grant;
An assessment of whether the program has adequately
addressed the needs of the population and community it serves;
An assessment of the project's efforts to collaborate with
other community organizations, units of government, and entities
providing services to seniors;
An assessment of the project's compliance with
requirements for appropriate use of Federal funds, based on use of a
protocol for fiscal management;
An assessment of whether the project is in conformity with
eligibility, outreach, enrollment, and other RSVP programmatic
requirements.
To the maximum extent practicable, the report for each project will
take into account input received from individuals who are knowledgeable
about RSVP, including current or former employees of the Corporation
and representatives of the communities served by RSVP volunteers.
To the maximum extent practicable, the process of assessing
existing RSVP grants will begin in Fiscal Year 2010 and run through
Fiscal Year 2012, with the objective of completing the assessment and
resulting training and technical assistance prior to conducting the
initial cycle of grant competitions in Fiscal Year 2013.
E. Maintenance of volunteers and geographic service areas [DVSA
sec. 201(e)(2)(B)(iv)]: The Corporation will ensure that (a) grants
awarded as a result of the competitive selection process beginning in
Fiscal Year 2013 are for at least the same number of volunteers
annually as were supported for the service area during the previous
grant cycle and (b) maintain a similar program distribution as was
maintained during the previous grant cycle. In addition, the
Corporation will minimize any disruption to RSVP volunteers that might
result from implementing the competitive process of grantee selection.
F. Program Termination [DVSA sec. 201(g)(3); 45 CFR 2553.31]: Until
2013, the Corporation will continue to initiate termination or denial
of an application for refunding in the event that a grantee does not
meet one or more of the performance measures, outcomes, and other
criteria established as described above. Any such termination or denial
of refunding will follow the notification and due process currently
followed in such cases, in accordance with Section 412 of the DVSA, as
implemented by 45 CFR part 1206 Grants and Contracts--Suspension and
Termination and Denial of Application for Refunding, except that after
initiation of competition in FY 2013, the provisions governing denial
of refunding will not apply to a grant that has been competed in
accordance with 45 CFR 2553.71, and where the grantee has also
completed its optional three-year renewal term.
[[Page 65597]]
G. Technical Assistance [DVSA sec. 201(h) and (j); 45 CFR
2553.71(f)]: The Corporation will develop procedures for providing
technical assistance, including regular monitoring visits, to assist
grantees in meeting the established performance measures, outcomes, and
criteria. One component of such technical assistance, which was
launched in October 2009, is an online resource guide available at
http://www.nationalserviceresources.org/rsvp-online-resource-guide. The
Corporation updates this online guide from time to time with examples
of high-performing RSVP projects and other information.
H. Grant Extension for Purpose of New Competition [DVSA sec.
201(i); 2553.71(e)]: To minimize disruption to volunteers and services,
if a grantee fails to meet one or more of the established performance
measures, outcomes, and other criteria, the Corporation will continue
to fund the current grantee for up to 12 months if the competition for
a replacement sponsor has not resulted in a replacement sponsor. During
those 12 months, the Corporation will conduct a new competition to
serve the geographic area served by the current grantee and reach out
to other potential sponsors. The current grantee will be eligible for
the new competition and, during the 12-month period, the Corporation
may continue to provide training and technical assistance in meeting
established performance measures.
All provisions of part 2553 not modified by the amendments
described below will remain in effect, including the provision in Sec.
2553.72 (a) that a ``Corporation grant may be awarded to fund up to 90
percent of the total project cost in the first year, 80 percent in the
second year, and 70 percent in the third and succeeding years.'' Thus,
the Corporation will continue to require that a current grantee
applying for a new grant must contribute from non-Corporation funds at
least 30 percent of the total project cost. A new applicant, on the
other hand, will be required to contribute 10 percent in the first year
of the grant, 20 percent in the second year, and 30 percent in the
third and succeeding years.
IV. Effective Dates
The Corporation intends to make any final rule based on this
proposed rule effective on the date that the final rule is published in
the Federal Register.
V. Non-Regulatory Issues
Executive Order 12866
Under Executive Order 12866, the Chief Executive Officer must
determine whether this regulatory action is ``significant'' and
therefore subject to the requirements of the Executive Order and review
by OMB. Section 3(f) of Executive Order 12866 defines a ``significant
regulatory action'' as an action likely to result in a rule that may
(1) have an annual effect on the economy of $100 million or more, or
adversely affect a sector of the economy, productivity, competition,
jobs, the environment, public health or safety, or State, local or
tribal governments, or communities in a material way (also referred to
as an ``economically significant'' rule); (2) create serious
inconsistency or otherwise interfere with an action taken or planned by
another agency; (3) materially alter the budgetary impacts of
entitlement grants, user fees, or loan programs or the rights and
obligations of recipients thereof; or (4) create novel legal or policy
issues arising out of legal mandates, the President's priorities, or
the principles set forth in the Executive Order. The Chief Executive
Officer has determined that this regulatory action, while not
economically significant, is significant because Congress is requiring
re-competition for the RSVP program for the first time.
Regulatory Flexibility Act
The Corporation has determined that the regulatory action will not
result in (1) an annual effect on the economy of $100 million or more;
(2) a major increase in costs or prices for consumers, individual
industries, Federal, State, or local government agencies, or geographic
regions; or (3) significant adverse effects on competition, employment,
investment, productivity, innovation, or on the ability of United
States-based enterprises to compete with foreign-based enterprises in
domestic and export markets. Therefore, the Corporation has not
performed the initial regulatory flexibility analysis that is required
under the Regulatory Flexibility Act (5 U.S.C. 6.)
Paperwork Reduction Act of 1995
Under the procedures established by the Paperwork Reduction Act of
1995, a person is not required to respond to a collection of
information by a Federal agency unless the collection displays a valid
OMB control number. This rulemaking would not establish any new
information collection requirements.
List of Subjects in 45 CFR Part 2553
Aged, Grant programs--social programs, Volunteers.
For the reasons set forth in the preamble, the Corporation for
National and Community Service proposes to amend 45 CFR part 2553 as
follows:
PART 2553--THE RETIRED AND SENIOR VOLUNTEER PROGRAM
1. The authority citation for part 2553 continues to read as
follows:
Authority: 42 U.S.C. 4950 et seq.
2. Amend Sec. 2553.12 by removing the alphabetical paragraph
designations and adding a definition for ``performance measures'' in
alphabetical order to read as follows:
Sec. 2553.12 Definitions.
* * * * *
Performance measures. Indicators intended to help determine the
impact of an RSVP project on the community, including the volunteers.
Performance measures currently include, but are not limited to, the
following performance indicators:
(1) Output indicator. The amount or units of service that RSVP
volunteers have completed, or the number of people the project has
served. An output indicator does not provide information on benefits or
other changes in the lives of the volunteers or the people served.
(2) Outcome indicator. Specifies a change that has occurred in the
lives of the people served or the volunteers. It is an observable and
measurable indication of whether or not a project is making progress
toward its outcome target.
* * * * *
3. Amend Sec. 2553.23 by adding new paragraphs (i) and (j) to read
as follows:
Sec. 2553.23 What are a sponsor's program responsibilities?
* * * * *
(i) Minimize any disruption to RSVP volunteers when one sponsor is
replaced by another as a result of relinquishment, denial of refunding,
or recompetition of a grant.
(j) Make every effort to meet such performance measures as may be
established for the RSVP project by mutual agreement.
4. Amend Sec. 2553.31 by revising paragraph (c) to read as
follows:
Sec. 2553.31 What are the rules on suspension, termination and denial
of refunding of grants?
* * * * *
(c) Beginning in FY 2013, the procedures for suspension and
termination of RSVP grants, which are specified in 45 CFR part 1206,
shall continue to apply, but the procedures in part 1206 applicable to
denial of
[[Page 65598]]
refunding of an RSVP grantee shall not apply to any grant awarded
through the competitive process described in Sec. 2553.71 of this
part.
5. Revise Sec. 2553.71 to read as follows:
Sec. 2553.71 What is the process for application and award of a
grant?
As funds become available, the Corporation solicits applications
for RSVP grants from eligible organizations through a competitive
process.
(a) What are the application requirements for an RSVP grant? An
applicant must:
(1) Submit required information determined by the Corporation.
(2) Demonstrate compliance with any applicable requirements
specified in the Notice of Funding Availability or Notice of Funding
Opportunity.
(b) What process does the Corporation use to select new RSVP
grantees? (1) The Corporation reviews and determines the merits of an
application by its responsiveness to published guidelines and to the
overall purpose and objectives of the program. In conducting its
review, the Corporation considers the input and opinions of those
serving on a peer review panel, including members with expertise in
senior service and aging, and may conduct inspections at the
applicant's site, as appropriate.
(2) The selection process includes:
(i) Determining whether an application complies with the
application requirements, such as deadlines, eligibility, and
programmatic requirements, including performance measurement
requirements;
(ii) Applying published selection criteria, as stated in the
applicable Notice of Funding Availability or Notice of Funding
Opportunity, to assess the quality of the application;
(iii) Applying any applicable priorities or preferences, as stated
in the applicable Notice of Funding Availability or Notice of Funding
Opportunity;
(iv) Ensuring innovation and geographic, demographic, and
programmatic diversity across the Corporation's RSVP grantee portfolio.
(v) Identifying the applications that most completely respond to
the published guidelines and offer the highest probability of
successfully carrying out the overall purpose and objectives of the
program.
(c) How is a grant awarded? (1) Subject to the availability of
funds, the award will be documented by a Notice of Grant Award (NGA).
(2) The Corporation and the sponsoring organization are parties to
the NGA. The NGA will document the sponsor's commitment to fulfill
specific programmatic objectives and financial obligations. It will
document the extent of the Corporation's obligation to provide
assistance to the sponsor.
(d) What happens if the Corporation rejects an application? The
Corporation will return to the applicant an application that is not
approved for funding, informing the applicant of the Corporation's
decision.
(e) For what period of time does the Corporation award a grant? The
Corporation awards a RSVP grant for a specified period that is 3 years
in duration with an option for a grant renewal of 3 years, if the
grantee's performance and compliance with grant terms and conditions
are satisfactory. The Corporation will use the Denial of Refunding
procedures set forth in 45 CFR part 1206 to deny funding to a grantee
when the Corporation determines that the grant should not be renewed
for an additional 3 years.
(f) What assistance in preparation for competitive award of all
RSVP grants will the Corporation provide to sponsors who have
previously received a grant and whose grants are expiring in fiscal
year 2011, 2012, or 2013? (1) For each grant expiring in fiscal years
2011, 2012, or 2013, the Corporation will evaluate the grant, to the
maximum extent practicable, in fiscal years 2010, 2011, and 2012,
respectively.
(2) The evaluation will give particular attention to the different
needs of rural and urban projects, including those serving Native
American communities, and will evaluate the extent to which the sponsor
meets or exceeds performance measures, outcomes, and other criteria
established by the Corporation.
(3) To the maximum extent practicable, the Corporation will ensure
that each evaluation is conducted by a review team made up of trained
individuals who are knowledgeable about RSVP, including current or
former employees of the Corporation and representatives of communities
served by RSVP volunteers, who will provide their input and opinions
concerning each grant.
(4) The Corporation will use the evaluation findings as the basis
for providing recommendations for program improvement, and for the
provision of training and technical assistance.
(5) The evaluation will assess:
(i) The project's strengths and areas in need of improvement;
(ii) Whether the project has adequately addressed population and
community-wide needs;
(iii) The efforts of the project to collaborate with other
community-based organizations, units of government, and entities
providing services to seniors, taking into account barriers to such
collaboration that such program may encounter;
(iv) The project's compliance with the program requirements for the
appropriate use of Federal funds as embodied in a a protocol for fiscal
management;
(v) To what extent the project is in conformity with the
eligibility, outreach, enrollment, and other requirements for RSVP
projects; and
(vi) The extent to which the project is achieving other measures of
performance developed by the Corporation, in consultation with the
review team.
6. Add a new subpart J to read as follows:
Subpart J--Performance Measurement
Sec.
2553.100 What is the purpose of this subpart?
2553.101 What is the purpose of performance measurement?
2553.102 What performance measurement information must be part of an
application for funding under RSVP?
2553.103 Who develops the performance measures?
2553.104 What performance measures must be submitted to the
Corporation and how are these submitted?
2553.105 How are performance measures approved and documented?
2553.106 How does a sponsor report performance measures to the
Corporation?
2553.107 What must a sponsor do if it cannot meet its performance
measures?
2553.108 When may a sponsor change a project's performance measures?
2553.109 What happens if a sponsor fails to meet the performance
measures included in the Notice of Grant Award (NGA)?
Subpart J--Performance Measurement
Sec. 2553.100 What is the purpose of this subpart?
This subpart sets forth the minimum performance measurement
requirements for Corporation-funded Retired and Senior Volunteer
Program (RSVP) projects. This subpart does not apply to Non-
Corporation-funded RSVP projects as discussed in Subpart K.
Sec. 2553.101 What is the purpose of performance measurement?
The purpose of performance measurement is to strengthen the RSVP
project and foster continuous improvement. Reporting on performance
measures is used by the Corporation as part of assessing the impact of
the project on the community and on the accomplishment of the
objectives established in the
[[Page 65599]]
Corporation's Strategic Plan. In addition, as part of the competitive
process, performance measures are used to assess how an applicant for a
grant approaches the design of volunteer activities and the measurement
of their impact on community needs.
Sec. 2553.102 What performance measurement information must be part
of an application for funding under RSVP?
An application to the Corporation for funding under RSVP must
contain:
(a) Performance measures.
(b) Estimated performance data for the project years covered by the
application.
(c) Actual performance data, where available, for the preceding
completed project year.
Sec. 2553.103 Who develops the performance measures?
(a) An applicant is responsible for developing its own project-
specific performance measures.
(b) In addition, the Corporation may establish performance measures
that will apply to all Corporation-sponsored RSVP projects, which
sponsors will be responsible for meeting.
Sec. 2553.104 What performance measures must be submitted to the
Corporation and how are these submitted?
(a) An applicant for Corporation funds is required to submit at
least one of each of the following types of performance measures as
part of their application. The Corporation will provide standard forms.
(1) Output indicators.
(2) Outcome indicators.
(b) An applicant must also submit any uniform performance measures
the Corporation may establish for all applications.
(c) The Corporation may specify additional requirements relating to
performance measures on an annual basis in program guidance and related
materials.
Sec. 2553.105 How are performance measures approved and documented?
(a) The Corporation reviews and approves performance measures for
all applicants that apply for funding from the Corporation.
(b) An applicant must follow Corporation-provided guidance and
formats provided when submitting performance measures.
(c) Final performance measures, as negotiated between the applicant
and the Corporation, will be documented in the Notice of Grant Award
(NGA).
Sec. 2553.106 How does a sponsor report performance measures to the
Corporation?
(a) The Corporation will set specific reporting requirements,
including frequency and deadlines, concerning performance measures
established in the grant award. A sponsor is required to report on the
actual results that occurred when implementing the grant and to
regularly measure the project's performance.
(b) At a minimum, a sponsor is required to report on outputs at the
end of year one and outputs and outcomes at the end of years two and
three. A sponsor may choose to exceed these minimum requirements and
report results earlier.
Sec. 2553.107 What must a sponsor do if it cannot meet its
performance measures?
Whenever a sponsor finds it is not on track to meet its performance
measures, it must develop a plan to get back on track or submit a
request to the Corporation to amend its performance measures. The
request must include all of the following:
(a) Why the project is not on track to meet its performance
requirements;
(b) How the project has been tracking performance measures;
(c) Evidence of corrective steps taken;
(d) Any new proposed performance measures; and
(e) A plan to ensure that the project will meet the new proposed
measure(s).
Sec. 2553.108 When may a sponsor change a project's performance
measures?
Performance measures may be changed only if the Corporation
approves the sponsor's request to do so.
Sec. 2553.109 What happens if a sponsor fails to meet the performance
measures included in the Notice of Grant Award (NGA)?
If a sponsor fails to meet a target performance measure established
in the NGA, the Corporation will negotiate a period of no more than one
year for meeting the performance measure. At that point, if the sponsor
still fails to meet the performance measure, the Corporation may take
one or more of the following actions:
(a) Reduce the amount of the grant;
(b) Suspend, terminate, or deny refunding of the grant, in
accordance with the provisions of Sec. 2553.31 of this part;
(c) Take this information into account in assessing any application
from the organization for a new grant or augmentation of an existing
grant under any program administered by the Corporation;
(d) Amend the terms of any Corporation grant to the organization;
or
(e) Take other actions that the Corporation deems appropriate.
Dated: October 20, 2010.
Wilsie Y. Minor,
Acting General Counsel.
[FR Doc. 2010-26960 Filed 10-25-10; 8:45 am]
BILLING CODE 6050-28-P