18CS12 SDMF Site Implementation.pdf

18CS12

The National Institute of Corrections (NIC) is seeking applications for funding under the Fiscal Year (FY) 2018. The Structured Decision Making Framework Tool (SDMF) is a standardized and structured approach to parole release decision making process that is a due diligence model grounded in evidence-based practice. This solicitation is for coordinating and delivering a specialized technical assistance (TA) program to assist paroling authorities in implementation planning and integrating the SDMF tool into their existing policies and practices.

NIC FY 2018 Structured Decision Making Framework (SDMF) Site Implementation

Project

Eligibility

NIC invites applications from nonprofit organizations (including faith-based, community, and tribal organizations), for-profit organizations (including tribal for-profit organizations), and institutions of higher education (including tribal institutions of higher education). Recipients, including for-profit organizations, must agree to waive any profit or fee for services.

NIC welcomes applications that involve two or more entities; however, one eligible entity must be the applicant and the others must be proposed as sub-recipients. The applicant must be the entity with primary responsibility for administering the funding and managing the entire program.

NIC may elect to make awards for applications submitted under this solicitation in future fiscal years, dependent on the merit of the applications and on the availability of appropriations.

For additional eligibility information, see Section C. Eligibility Information.

Deadline

Applicants must register with Grants.gov prior to submitting an application. NIC encourages applicants to register several weeks before the application submission deadline. In addition, NIC urges applicants to submit applications 72 hours prior to the application due date. All applications are due to be submitted and in receipt of a successful validation message in Grants.gov by 11:59 p.m. eastern time on March 20, 2018.

For additional information, see How To Apply in Section D Application and Submission Information.

http://www.nicic.gov/ https://www.grants.gov/web/grants/applicants.html

Contact Information

For programmatic questions concerning this solicitation contact Ms. Robbye Braxton Correctional Program Specialist, National Institute of Corrections rbraxtonmintz@bop.gov Responses to programmatic questions will be posted on NIC’s website for public review. The website will be updated regularly and postings will remain on the website until the closing date of this solicitation.

For technical assistance with submitting an application, contact the Grants.gov Customer Support Hotline at 800-518-4726 or 606-545-5035, or via e-mail to support@grants.gov.

Hotline hours of operation are 24 hours a day, 7 days a week, except federal holidays.

Applicants who experience unforeseen Grants.gov technical issues beyond their control that prevent them from submitting their application by the deadline must e-mail the NIC at BOP- NIC/General@bop.gov within 24 hours after the application deadline and request approval to submit their application. Additional information on reporting technical issues is found under “Experiencing Unforeseen Grants.gov Technical Issues” in the How To Apply section.

Grants.gov number assigned to this announcement:

Release date: January 19, 2018

18CS12

mailto:rbraxtonmintz@bop.gov mailto:support@grants.gov mailto:BOP-NIC/General@bop.gov

Contents

Contents

NIC FY 2018 [TITLE]

Eligibility

Deadline

Contact Information

NIC FY 2018 [TITLE]

A. Program Description Overview

Program-Specific Information

Goals, Objectives, and Deliverables

B. Federal Award Information Budget Information

C. Eligibility Information

D. Application and Submission Information What an Application Should Include

1. Information to Complete the Application for Federal Assistance (SF-424)

2. Project Abstract

3. Program Narrative

4. Budget Detail Worksheet and Budget Narrative

5. Indirect Cost Rate Agreement (if applicable)

6. Tribal Authorizing Resolution

7. Applicant Disclosure of High Risk Status

8. Additional Attachments

9. Disclosure of Lobbying Activities

How to Apply

Experiencing Unforeseen Grants.gov Technical Issues

Notifications regarding known technical problems with Grants.gov, if any, are posted on NIC’s web page

E. Application Review Information Selection Criteria

Review Process

F. Federal Award Administration Information Federal Award Notices

Administrative, National Policy, and Other Legal Requirements

General Information about Post-Federal Award Reporting Requirements

G. Federal Awarding Agency Contact(s)

H. Other Information Provide Feedback to NIC

Application Checklist What an Applicant Should Do:

Scope Requirement:

Eligibility Requirement:

What an Application Should Include:

NIC FY 2018 SDMF Site Implementation

(CFDA # 16.603)

A. Program Description

Overview In recent years, interest in high-quality parole decision making process has grown significantly. Paroling authorities are under considerable pressure and subject to substantial public and government scrutiny. It is in this environment that NIC developed, in collaboration with the Legal Decision-Making Lab of Carleton University, a tool – structured decision making framework (SDMF) – to improve decision making for offenders being released into the community from prisons. This tool, SDMF, acts as a road map or guideline for parole board members to help them reach, consistent, transparent and defensible release decisions. The structured approach guides parole board members through the deliberation process of making parole decision by considering the offender’s information that has been demonstrated to be closely linked to positive post-release performance.

The SDMF use has been supported through research in Canada and in the US by NIC. The research has demonstrated that using the SDMF increases both accuracy and accountability.

Given the high stakes involved in parole decision making, even minimal improvements in the predictive accuracy can result in fewer victims and safer communities. In short, the SDMF is a standardized and structured approach or decision making process that has been validated.

It is a due diligence model grounded in evidence-based practice.

Two years ago, NIC developed a specialized technical assistance (TA) program and process to assist paroling authorities in planning for and implementing the SDMF into their existing practices. NIC has administered the program with a total of eight (8) paroling authorities requesting assistance. One major expectation of this training program is to enhance public safety by better identifying those offenders who are ready for re-entry and those who are not.

Program-Specific Information This specialized training program is offered to all paroling authorities in the US. It is a part of NIC’s strategy to directly assist state and local jurisdictions to improve their management of operations and services. Requesting paroling authorities must currently use a validated risk assessment and agree to complete all phases of the program. The following, are the four phases of the program:

1. Readiness assessment phase- A series of assessment tools (questionnaires, focus groups, observations, file reviews and content grid assessments) are administered to parole board members and various DOC stakeholders to determine if the organization’s culture is “ready” and has the capacity to implement the tool with fidelity.

2. Implementation planning phase – The paroling authority will develop an implementation/action plan designed to address all issues impacting implementation. These challenges are often identified during the first phase, the readiness assessment. Paroling authorities will develop policies and procedures, documents and practices that support the use of SDMF.

3. Training phase – Parole board members and other DOC stakeholders are trained on the history and concepts of the SDMF tool. Training participants must demonstrate proficiency in the application of the SDMF to case studies. In addition, the training includes a review of any new forms, staff changes, policies/practices that the agency has developed related to the SDMF.

4. Follow-up coaching phase - Paroling authorities will be assigned a “coach” to monitor their progress of the implementation SDMF. During this pilot stage of implementation, staff will be available to provide on-site, short-term assistance to the paroling authority.

At the conclusion of each phase, the awardee (or subcontractor) will prepare a final report and forward it to the NIC program manager for review, before it is forwarded to the paroling authority.

Goals, Objectives, and Deliverables The goal of this solicitation is to deliver a specialized SDMF training program to requesting paroling authorities. This involves providing a series of direct assistance events which enables the agency to implement the SDMF tool with fidelity. The purpose of this cooperative agreement is to manage the administration of this specialized training and all of its phases (as described above). The expected outcomes of this specialized training are to:

1. Enhance public safety

2. Preserve parole board members’ professional discretion

3. Improve parole deliberation transparency, fairness and consistency

4. Organize offender outcome information/data is a useful manner

The SDMF specialized program was developed into four distinct component/phases. Each phase builds on the previous one to ensure fidelity of the process. The objectives of this solicitation are as follows:

1. Ensure requesting paroling authorities understand all program requirements and agree to fully participate.

2. Identify consultants to complete the scope of work for each phase

3. Ensure all program phase work is completed (developing agendas, facilitating meetings/trainings and preparing reports)

4. Coordinate “linkages” between each phase, to ensure continuity of information flow from one phase to the next. This also includes, linkages between the consultants and requesting agency.

5. Revise the SDMF training curriculum to reflect recent changes in parole release decision making. This involves a review of the current curriculum and revisions to the curriculum based on previous trainings.

Deliverables. In addition to the strategy and content of the program design, the successful applicant must complete the following deliverables:

1. Final Phase Reports: After each of the specialized phases, a final written report will be submitted to the NIC program manager. The final reports include the following: a) Readiness Assessment Report; b) Implementation Plan/Action Plan Report; c) Training Program Report and; d) Summary Survey Report. Final reports should be completed in consultation with the requesting agency. They should describe all activity taken and final recommendations.

2. SDMF Curriculum and related materials: A revised SDMF curriculum will be submitted to the NIC program manager. This includes: a) module lesson plans; b) handout resources; c) power points and; d) a participant manual

The program narrative should reflect how the applicant will accomplish these activities.

Evidence-based programs or practices. NIC strongly emphasizes the use of data and evidence in policy making and program development.

• improving the quantity and quality of evidence NIC generates;

• integrating evidence into program, practice, and policy decisions within NIC and the field; and

• improving the translation of evidence into practice.

NIC considers programs and practices to be evidence-based when their effectiveness has been demonstrated by causal evidence, generally obtained through one or more outcome evaluations. Causal evidence documents a relationship between an activity or intervention (including technology) and its intended outcome, including measuring the direction and size of a change, and the extent to which a change may be attributed to the activity or intervention.

Causal evidence depends on the use of scientific methods to rule out, to the extent possible, alternative explanations for the documented change. The strength of causal evidence, based on the factors described above, will influence the degree to which NIC considers a program or practice to be evidence-based.

Additional resources.

NIC training and technical assistance awardee standards. NIC has developed the [ TA Handbook] to promote among providers the consistency and quality of NIC-sponsored training and technical assistance and to advance common expectations of performance excellence. The standards present minimum expectations that providers must meet for effective practice in the planning, coordination, delivery, and evaluation of training.

B. Federal Award Information

NIC expects to make one award for as much as $200,000.00 for a 12-month project period, beginning on April 20, 2018.

If the awardee demonstrates significant progress toward implementing project activities and achieving project goals, NIC may, in certain cases, provide supplemental funding for FY 2019 and FY 2020 to the awardee. With the supplemental funding, the project period can be extended up to two additional 12-month increments for an overall project period of 36 months. Important considerations in decisions regarding supplemental funding include, among other factors, the availability of funding, strategic priorities, assessment of the quality of the management of the award (for example, timeliness and quality of progress reports), and assessment of the progress of the work funded under the award.

All awards are subject to the availability of appropriated funds and to any modifications or additional requirements that may be imposed by law.

Type of award. NIC expects to make an award from this solicitation in the form of a cooperative agreement which is a particular type of grant used when NIC expects to have ongoing substantial involvement in award activities. Substantial involvement includes direct oversight and involvement with the grantee organization in implementation of the grant but does not involve day-to-day project management. See Administrative, National Policy, and Other Legal Requirements, under Section F. Federal Award Administration, for details regarding the federal involvement anticipated under an award from this solicitation.

Financial management and system of internal controls. If selected for funding, the award recipient must:

(a) Establish and maintain effective internal control over the federal award that provides reasonable assurance that the nonfederal entity is managing the federal award in compliance with federal statutes, regulations, and the terms and conditions of the federal award. These internal controls should be in compliance with guidance in “Standards for Internal Control in the Federal Government” issued by the Comptroller General of the United States and the “Internal Control Integrated Framework”, issued by the Committee of Sponsoring Organizations of the Treadway Commission

(COSO).

(b) Comply with federal statutes, regulations, and the terms and conditions of the federal awards.

(c) Evaluate and monitor the nonfederal entity's compliance with statute, regulations, and the terms and conditions of federal awards.

(d) Take prompt action when instances of noncompliance are identified, including noncompliance identified in audit findings.

(e) Take reasonable measures to safeguard protected personally identifiable information and other information the federal awarding agency or pass-through entity designates as sensitive or the nonfederal entity considers sensitive consistent with applicable federal, state, and local laws regarding privacy and obligations of confidentiality.

Budget Information

Pre-Agreement Cost Approvals. NIC does not typically approve pre-agreement costs;

an applicant must request and obtain the prior written approval of NIC for all such costs.

If approved, pre-agreement costs could be paid from grant funds consistent with a grantee’s approved budget, and under applicable cost standards. However, all such costs prior to award and prior to approval of the costs are incurred at the sole risk of an applicant.

Generally, no applicant should incur project costs before submitting an application requesting federal funding for those costs. Should there be extenuating circumstances that appear to be appropriate for NIC’s consideration as pre-agreement costs, the applicant should contact the point of contact listed on the title page of this announcement for details on the requirements for submitting a written request for approval.

Limitation on use of award funds for employee compensation; waiver. With respect to any award of more than $250,000 made under this solicitation, recipients may not use federal funds to pay total cash compensation (salary plus cash bonuses) to any employee of the award recipient at a rate that exceeds 110 percent of the maximum annual salary payable to a member of the Federal Government’s Senior Executive Service (SES) at an agency with a Certified SES Performance Appraisal System for that year. The 2016 salary table for SES employees is available at the Office of Personnel Management website. Note: A recipient may compensate an employee at a greater rate, provided the amount in excess of this compensation limitation is paid with non-federal funds. (Any such additional compensation will not be considered matching funds where match requirements apply.)

http://www.opm.gov/policy-data-oversight/pay-leave/salaries-wages/salary-tables/15Tables/exec/html/ES.aspx

C. Eligibility Information

For additional eligibility information, see the title page.

Cost sharing or match requirement. For additional information on cost sharing or match requirement, see Section B. Federal Award Information.

Limit on number of application submissions. If an applicant submits multiple versions of the same application, NIC will review only the most recent system-validated version submitted. For more information on system-validated versions, see How To Apply.

D. Application and Submission Information

What an Application Should Include

Applicants should anticipate that if they fail to submit an application that contains all of the specified elements, it may negatively affect the review of their application; and, should a decision be made to make an award, it may result in the inclusion of special conditions that preclude the recipient from accessing or using award funds pending satisfaction of the conditions.

Moreover, applicants should anticipate that applications that are determined to be nonresponsive to the scope of the solicitation, do not request funding within the funding limit, or that do not include the application elements that NIC has designated to be critical, will neither proceed to peer review nor receive further consideration. Under this solicitation, NIC has designated the following application elements as critical: Program Narrative, Budget Detail Worksheet or Budget Narrative.

Applicants should review the “Note on File Names and File Types” under How To Apply to be sure that they submit their applications in the permitted formats.

NIC strongly recommends that applicants use appropriately descriptive file names (e.g., “Program Narrative,” “Budget Detail Worksheet and Budget Narrative,” “Timelines,” “Memoranda of Understanding,” “Résumés”) for all attachments. Also, NIC recommends that applicants include résumés in a single file.

1. Information to Complete the Application for Federal Assistance (SF-424)

The SF-424 is a required standard form used as a cover sheet for submission of pre-applications, applications, and related information. This form can be found on Grants.gov and NIC’s website www.nicic.gov .

Intergovernmental review. This funding opportunity is not subject to Executive Order 12372. (In completing the SF-424, applicants are to make the appropriate selection in response to question 19 to indicate that the “Program is not covered by E.O. 12372.”)

2. Project Abstract

Applications should include a high-quality project abstract that summarizes the proposed project in 400 words or less. Project abstracts should be— http://www.archives.gov/federal-register/codification/executive-order/12372.html http://www.archives.gov/federal-register/codification/executive-order/12372.html

• written for a general public audience;

• submitted as a separate attachment with “Project Abstract” as part of its file name;

and

• single-spaced, using a standard 12-point font (Times New Roman) with 1-inch margins.

As a separate attachment, the project abstract will not count against the page limit for the program narrative.

The abstract should briefly describe the project’s purpose, the population to be served, and the activities that the applicant will implement to achieve the project’s goals and objectives. The abstract should describe how the applicant will measure progress toward these goals.

3. Program Narrative

Applicants must submit a program narrative that presents a detailed description of the purpose, goals, objectives, strategies, design, and management of the proposed program. The program narrative should be double-spaced with 1-inch margins, not exceeding 30 pages of 8½ by 11 inches, and use a standard 12-point font, preferably Times New Roman. Pages should be numbered “1 of 30,” etc. The tables, charts, pictures, etc., including all captions, legends, keys, subtext, etc., may be single-spaced and will count in the 30-page limit. Material required under the Budget and Budget Narrative and Additional Attachments sections will not count toward the program narrative page count. Applicants may provide bibliographical references as a separate attachment that will not count toward the 30-page program narrative limit. If the program narrative fails to comply with these length-related restrictions, NIC may consider such noncompliance in peer review and in final award decisions.

The program narrative should address the following selection criteria: (1) statement of the problem; (2) goals, objectives, and performance measures; (3) program design and implementation; and (4) capabilities/competencies. The applicant should clearly delineate the connections between and among each of these sections. For example, the applicant should derive the goals and objectives directly from the problems to be addressed.

Similarly, the project design section should clearly explain how the program’s structure and activities will accomplish the goals and objectives identified in the previous section.

The following sections should be included as part of the program narrative:

a. Statement of the problem.

Applicants should describe any research or evaluation studies that relate to the problem and contribute to the applicant’s understanding of its causes and potential solutions. While NIC expects applicants to review the research literature for relevant studies, they should also explore whether unpublished local sources of research or evaluation data are available.

b. Goals, objectives, and performance measures. Applicants should describe the goals of the proposed training and technical assistance program and identify its objectives. When formulating the program’s goals and objectives, applicants should be cognizant of the performance measures that NIC will require successful applicants to provide.

Goals. Applicants should describe the program’s intent to deliver training and technical assistance, as described in the previous section and outline the project’s goals.

Program objectives. Applicants should explain how the program will accomplish its goals. Objectives are specific, quantifiable statements of the project’s desired results.

They should be clearly linked to the training and technical assistance strategy identified in the preceding section and measurable.

Performance measures. NIC requires all applicants to submit quarterly progress reports demonstrating progress towards completion of the work proposed under this solicitation. The performance measures for this solicitation are:

Objective Performance Measure(s)

Description Data Grantee Provides

Ensure paroling authorities understand all program requirements

Develop document(s) that illustrate phase requirements

Develop shared expectations and understanding of the role of NIC and the paroling authority in completing the training

Agency signed mutual understanding document(s).

Identify consultants to complete the scope of work for each phase

Identify and sustain a “pool” of SDMF experts for each training phase

Subject matter experts (SMEs) with recent experience in NIC’s SDMF model of assessments, implementation, training and follow-up coaching

SMEs in SDMF work

Ensure all phase work is completed

Monitor work completed by consultants

Complete developing agendas, facilitating meetings/trainings, preparing reports and continuous communication with paroling authority staff/liaison

Final training phase report with description of work completed

Coordinate “linkages” between each phase

Coordinate meetings to discuss progress and status of each phase

Provide information sharing opportunities between the consultants, paroling authority and NIC program manager to ensure continuity of information flow between phases

Regularly scheduled SDMF Team meetings and notes

Revise the SDMF training curriculum

Review of the current curriculum and other

SDMF

information/research

Revise curriculum to reflect NIC training models.

New NIC training curriculum, participant manual and handout materials

NIC does not require applicants to submit performance measures data with their application. Performance measures are included as an alert that NIC will require successful applicants to submit specific data as part of their reporting requirements. For the application, applicants should indicate an understanding of these requirements and discuss how they will gather the required data, should they receive funding.

c. Project design and implementation. Applicants should detail how the project will operate throughout the funding period and describe the strategies that they will use to achieve the goals and objectives identified in the previous section.

Applicants should describe how they will complete the deliverables stated in the Goals, Objectives, and Deliverables section on page 5. NIC encourages applicants to select evidence-based practices for their programs.

Logic model. Applicants should include a logic model that graphically illustrates how the performance measures are related to the project’s problems, goals, objectives, and design. Applicants should submit the logic model (sample here) as a separate attachment, as stipulated in Additional Attachments.

Timeline. Applicants should submit a milestone chart that indicates major tasks associated with the goals and objectives of the project, assigns responsibility for each, and plots completion of each task by month or quarter for the duration of the award, using “Year 1,” “Month 1,” “Quarter 1,” etc., not calendar dates.

Applicants should submit the timeline as a separate attachment, as stipulated in Additional Attachments, page 19. On receipt of an award, the recipient may revise the timeline, based on training and technical assistance that NIC will provide.

d. Capabilities and competencies. This section should describe the experience and capability of the applicant organization and any contractors or subgrantees that the applicant will use to implement and manage this effort and its associated federal funding, highlighting any previous experience implementing projects of similar design or magnitude. Applicants should highlight their experience/capability/capacity to manage subawards, including details on their system for fiscal accountability.

Management and staffing patterns should be clearly connected to the project design described in the previous section. Applicants should describe the roles and responsibilities of project staff and explain the program’s organizational structure and operations. Applicants should include a copy of an organizational chart showing how the organization operates, including who manages the finances; how the organization manages subawards, if there are any; and the management of the project proposed for funding.

Letters of Support/Memoranda of Understanding. If submitting a joint application, as described under Section C: Eligibility Information, page 1, applicants should provide signed and dated letters of support or memoranda of understanding for all key partners that include the following:

• expression of support for the program and a statement of willingness to participate and collaborate with it;

• description of the partner’s current role and responsibilities in the planning process and expected responsibilities when the program is operational; and

• estimate of the percentage of time that the partner will devote to the planning and operation of the project.

4. Budget Detail Worksheet and Budget Narrative

Applicants should provide a budget that (1) is complete, allowable, and cost-effective in relation to the proposed activities; (2) shows the cost calculations demonstrating how they arrived at the total amount requested; and (3) provides a brief supporting narrative to link costs with project activities. The budget should cover the entire award period.

a. Budget Detail Worksheet. Applicants that submit their budget in a different format should include the budget categories listed in the sample budget worksheet. The Budget Detail Worksheet should be broken down by year.

b. Budget Narrative. The budget narrative should thoroughly and clearly describe every category of expense listed in the Budget Detail Worksheet. NIC expects proposed budgets to be complete, cost effective, and allowable (e.g., reasonable, allocable, and necessary for project activities).

Applicants should demonstrate in their budget narratives how they will maximize cost effectiveness of grant expenditures. Budget narratives should generally describe cost effectiveness in relation to potential alternatives and the goals of the project. For example, a budget narrative should detail why planned in-person meetings are necessary, or how technology and collaboration with outside organizations could be used to reduce costs, without compromising quality.

The narrative should be mathematically sound and correspond with the information and figures provided in the Budget Detail Worksheet. The narrative should explain how the applicant estimated and calculated all costs, and how they are relevant to the completion of the proposed project. The narrative may include tables for clarification purposes but need not be in a spreadsheet format. As with the Budget Detail Worksheet, the Budget Narrative should be broken down by year.

c. Noncompetitive procurement contracts in excess of simplified acquisition threshold. If an applicant proposes to make one or more non-competitive procurements of products or services, where the noncompetitive procurement will exceed the simplified acquisition threshold (also known as the small purchase threshold), which is currently set at $150,000, the application should address the considerations outlined in the Financial Guide.

d. Preagreement cost approvals. For information on pre-agreement costs, see Section B. Federal Award Information.

5. Indirect Cost Rate Agreement (if applicable)

Indirect costs are allowed only if the applicant has a current federally approved indirect cost rate. (This requirement does not apply to units of local government.) Attach a copy of the federally approved indirect cost rate agreement to the application. Applicants that do not have an approved rate may request one through their cognizant federal agency, which will review all documentation and approve a rate for the applicant organization, or, if the applicant’s accounting system permits, costs may be allocated in the direct cost categories.

6. Tribal Authorizing Resolution

Tribes, tribal organizations, or third parties proposing to provide direct services or assistance to residents on tribal lands should include in their applications a resolution, letter, affidavit, or other documentation, as appropriate, that certifies that the applicant has the legal authority from the tribe(s) to implement the proposed project on tribal lands. In those instances when an organization or consortium of tribes applies for a grant on behalf of a tribe or multiple specific tribes, the application should include appropriate legal documentation, as described above, from all tribes that would receive services or assistance under the grant. A consortium of tribes for which existing consortium bylaws allow action without support from all tribes in the consortium (i.e., without an authorizing resolution or comparable legal documentation from each tribal governing body) may submit, instead, a copy of its consortium bylaws with the application.

7. Applicant Disclosure of High Risk Status

Applicants are to disclose whether they are currently designated high risk by another federal grant making agency. This includes any status requiring additional oversight by the federal agency due to past programmatic or financial concerns. If an applicant is designated high risk by another federal grant making agency, you must submit the following information to at the time of application submission:

• the federal agency that currently designated the applicant as high risk;

• date the applicant was designated high risk;

• the high risk point of contact name, phone number, and email address, from that federal agency; and

• reasons for the high risk status.

NIC seeks this information to ensure appropriate federal oversight of any grant award.

Unlike the Excluded Parties List, this high risk information does not disqualify any organization from receiving an NIC award. However, additional oversight may be included, if necessary, in award documentation.

8. Additional Attachments

Applicants should submit the following information, as stipulated in the cited pages, as attachments to their applications. While the materials listed below are not assigned specific point values, peer reviewers will, as appropriate, consider these items when rating applications. For example, reviewers will consider résumés and/or letters of support/ memoranda of understanding when assessing “capabilities/competencies.”

Peer reviewers will not consider any additional information that the applicant submits other than that specified below.

a. Applicant disclosure of pending applications. Applicants are to disclose whether they have pending applications for federally funded grants or subgrants (including cooperative agreements) that include requests for funding to support the same project being proposed under this solicitation and will cover the identical cost items outlined in the budget narrative and worksheet in the application under this solicitation. The disclosure should include both direct applications for federal funding (e.g., applications to federal agencies) and indirect applications for such funding (e.g., applications to state agencies that will subaward federal funds).

NIC seeks this information to help avoid any inappropriate duplication of funding.

Leveraging multiple funding sources in a complementary manner to implement comprehensive programs or projects is encouraged and is not seen as inappropriate duplication.

Applicants that have pending applications as described above are to provide the following information about pending applications submitted within the last 12 months:

• the federal or state funding agency;

• the solicitation name/project name; and

• the point of contact information at the applicable funding agency.

Federal or State Funding Agency

Solicitation Name/ Project Name

Name/Phone/E-mail for Point of Contact at Funding Agency

DOJ/COPS COPS Hiring Program Jane Doe, 202/000-0000;

HHS/ Substance Abuse & Mental Health Services Administration

Drug Free CSommuAnities Mentoring Program/ North County Youth Mentoring Program

MjaPne.doeL@usEdoj.gov John Doe, 202/000-0000;

john.doe@hhs.gov

Applicants should include the table as a separate attachment, with the file name “Disclosure of Pending Applications,” to their application. Applicants that do not have pending applications as described above are to include a statement to this effect in the separate attachment page (e.g., “[Applicant Name on SF-424] does not have pending applications submitted within the last 12 months for federally funded grants or subgrants (including cooperative agreements) that include requests for funding to support the same project being proposed under this solicitation and will cover the identical cost items outlined in the budget narrative and worksheet in the application under this solicitation.”).

b. Logic model (see examples here).

c. Timeline or milestone chart.

d. Résumés of all key personnel.

e. Job descriptions outlining roles and responsibilities for all key positions.

f. Letters of support/memoranda of understanding from partner organizations.

g. Evidence of nonprofit status, e.g., a copy of the tax exemption letter from the Internal revenue Service, if applicable.

h. Evidence of for-profit status, e.g., a copy of the articles of incorporation, if mailto:MjaPne.doeL@usEdoj.gov mailto:john.doe@hhs.gov http://www.uwex.edu/ces/pdande/evaluation/evallogicmodel.html a pplicable.

9. Disclosure of Lobbying Activities

All applicants must complete this information. Applicants that expend any funds for lobbying activities are to provide the detailed information requested on the form Disclosure of Lobbying Activities (SF-LLL). Applicants that do not expend any funds for lobbying activities are to enter “N/A” in the text boxes for item 10 (“a. Name and Address of Lobbying Registrant” and “b. Individuals Performing Services”).

How to Apply Applicants must register in and submit applications through Grants.gov, a “one-stop storefront” to find federal funding opportunities and apply for funding. Find complete instructions on how to register and submit an application here. Applicants that experience technical difficulties during this process should call the Grants.gov Customer Support Hotline at 800-518-4726 or 606–545–5035, 24 hours a day, 7 days a week, except federal holidays. Registering with Grants.gov is a one-time process; however, processing delays may occur, and it can take several weeks for first-time registrants to receive confirmation and a user password. NIC encourages applicants to register several weeks before the application submission deadline. In addition, NIC urges applicants to submit applications 72 hours prior to the application due date to allow time to receive validation messages or rejection notifications from Grants.gov, and to correct in a timely fashion any problems that may have caused a rejection notification.

NIC strongly encourages all prospective applicants to sign up for Grants.gov email notifications regarding this solicitation. If this solicitation is cancelled or modified, individuals who sign up with Grants.gov for updates will be automatically notified.

Note on file names and file types. Grants.gov only permits the use of certain specific characters in names of attachment files. Valid file names may include only the characters shown in the table below. Grants.gov is designed to reject any application that includes an attachment(s) with a file name that contains any characters not shown in the table below.

Characters Special Characters

Upper case (A – Z) Parenthesis ( ) Curly braces { } Square brackets [ ] Lower case (a – z) Ampersand (&) Tilde (~) Exclamation point (!)

Underscore ( ) Comma ( , ) Semicolon ( ; ) Apostrophe ( ‘ ) Hyphen ( - ) At sign (@) Number sign (#) Dollar sign ($) Space Percent sign (%) Plus sign (+) Equal sign (=) Period (.) When using the ampersand (&) in XML, applicants must use the

“&” format.

All applicants are required to complete the following steps:

NIC may not make a federal award to an applicant until the applicant has complied with all applicable DUNS and SAM requirements. If an applicant has not fully complied with the requirements by the time the federal awarding agency is ready to make a federal award, the federal awarding agency 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.

http://www.grants.gov/web/grants/home.html http://www.grants.gov/web/grants/manage-subscriptions.html

1. Acquire a Data Universal Numbering System (DUNS) number. In general, the Office of Management and Budget requires that all applicants (other than individuals) for federal funds include a DUNS number in their applications for a new award or a supplement to an existing award. A DUNS number is a unique nine-digit sequence recognized as the universal standard for identifying and differentiating entities receiving federal funds. The identifier is used for tracking purposes and validating address and point of contact information for federal assistance applicants, recipients, and sub-recipients. The DUNS number will be used throughout the grant life cycle. Obtaining a DUNS number is a free, one-time activity. Call Dun and Bradstreet at 866–705–5711 to obtain a DUNS number or apply online. A DUNS number is usually received within 1-2 business days. For more detailed instructions for obtaining a DUNS number, refer to:

https://www.grants.gov/web/grants/applicants/organization-registration/step-1-obtain-duns-number.html

2. Acquire registration with the System for Award Management (SAM). SAM is the repository for standard information about federal financial assistance applicants, recipients, and subrecipients. NIC requires all applicants (other than individuals) for federal financial assistance to maintain current registrations in the SAM database.

Applicants must be registered in SAM to successfully register in Grants.gov, failure to register with SAM will prevent your organization from applying through Grants.gov, .

Applicants must update or renew their SAM registration annually to maintain an active status.

Applicants cannot successfully submit their applications until Grants.gov receives the SAM registration information. The information transfer from SAM to Grants.gov can take as long as 48 hours. NIC recommends that the applicant register or renew registration with SAM as early as possible.

Access information about SAM registration procedures here.

3. Acquire an Authorized Organization Representative (AOR) and a Grants.gov username and password. Complete the AOR profile on Grants.gov and create a username and password. Applicant organizations must use their DUNS number to complete this step. For more information about the registration process, go here.

4. Acquire confirmation for the AOR from the E-Business Point of Contact (E-Biz POC). The E-Biz POC at the applicant organization must log into Grants.gov to confirm the applicant organization’s AOR. When applications are submitted through Grants.gov, the name of the organization's AOR that submitted the application is inserted into the signature line of the application, serving as the electronic signature. The EBiz POC must authorize individuals who are able to make legally binding commitments on behalf of the organization as an AOR; this step is often missed and it is crucial for valid and timely submissions.

http://www.dnb.com/ https://www.grants.gov/web/grants/applicants/organization-registration/step-1-obtain-duns-number.html https://www.grants.gov/web/grants/applicants/organization-registration/step-1-obtain-duns-number.html http://www.sam.gov/ http://www.grants.gov/web/grants/register.html

5. Search for the funding opportunity on Grants.gov. Use the following identifying information when searching for the funding opportunity on Grants.gov. The Catalog of Federal Domestic Assistance number for this solicitation is 16.603 and the funding opportunity number is NIC 18CS12.

6. Submit a valid application consistent with this solicitation by following the directions in Grants.gov. Within 24–48 hours after submitting the electronic application, the applicant should receive two notifications from Grants.gov. The first will confirm the receipt of the application and the second will state whether the application has been successfully validated, or rejected due to errors, with an explanation. It is possible to first receive a message indicating that the application is received and then receive a rejection notice a few minutes or hours later. Submitting well ahead of the deadline provides time to correct the problem(s) that caused the rejection. Important:

NIC urges applicants to submit applications at least 72 hours prior to the application due date to allow time to receive validation messages or rejection notifications from Grants.gov, and to correct in a timely fashion any problems that may have caused a rejection notification.

How to Submit an Application to the National Institute of Corrections via Grants.gov

Grants.gov applicants can apply online using Workspace. Workspace is a shared, online environment where members of a grant team may simultaneously access and edit different webforms within an application. For each funding opportunity announcement (FOA), you can create individual instances of a workspace.

Below is an overview of applying on Grants.gov. For access to complete instructions on how to apply for opportunities, refer to:

https://www.grants.gov/web/grants/applicants/apply-for-grants.html

1. Create a Workspace: Creating a workspace allows you to complete it online and route it through your organization for review before submitting.

2. Complete a Workspace: Add participants to the workspace, complete all the required forms, and check for errors before submission.

a. Adobe Reader: If you decide not to apply by filling out webforms you can download individual PDF forms in Workspace so that they will appear similar to other Standard or National Institute of Corrections forms. The individual PDF forms can be downloaded and saved to your local device storage, network drive(s), or external drives, then accessed through Adobe Reader.

NOTE: Visit the Adobe Software Compatibility page on Grants.gov to download the appropriate version of the software at:

https://www.grants.gov/web/grants/applicants/adobe-software-compatibility.html

b. Mandatory Fields in Forms: In the forms, you will note fields marked with an asterisk and a different background color. These fields are mandatory fields that must be completed to successfully submit your application.

c. Complete SF-424 Fields First: The forms are designed to fill in common required fields across other forms, such as the applicant name, address, and DUNS number. To trigger this feature, an applicant must complete the SF-424 information first. Once it is completed, the information will transfer to the other forms.

3. Submit a Workspace: An application may be submitted through workspace by clicking the Sign and Submit button on the Manage Workspace page, under the Forms tab.

Grants.gov recommends submitting your application package at least 24-48 hours prior to the close date to provide you with time to correct any potential technical issues that may disrupt the application submission.

4. Track a Workspace: After successfully submitting a workspace package, a Grants.gov Tracking Number (GRANTXXXXXXXX) is automatically assigned to the package. The number will be listed on the Confirmation page that is generated after submission.

For additional training resources, including video tutorials, refer to:

https://www.grants.gov/web/grants/applicants/applicant-training.html

5. Timely Receipt Requirements and Proof of Timely Submission: Online Submission.

Proof of timely submission is automatically recorded by Grants.gov. An electronic date/time stamp is generated within the system when the application is successfully received by Grants.gov. The applicant AOR will receive an acknowledgement of receipt and a tracking number (GRANTXXXXXXXX) from Grants.gov with the successful transmission of their application. Applicant AORs will also receive the official date/time stamp and Grants.gov Tracking number in an email serving as proof of their timely submission.

When the National Institute of Corrections successfully retrieves the application from Grants.gov, and acknowledges the download of submissions, Grants.gov will provide an electronic acknowledgment of receipt of the application to the email address of the applicant with the AOR role. Again, proof of timely submission shall be the official date and time that Grants.gov receives your application. Applications received by Grants.gov after the established due date for the program will be considered late and will not be considered for funding by the National Institute of Corrections.

Applicants using slow internet, such as dial-up connections, should be aware that transmission can take some time before Grants.gov receives your application. Again, Grants.gov will provide either an error or a successfully received transmission in the form of an email sent to the applicant with the AOR role. The Grants.gov Support Center reports that some applicants end the transmission because they think that nothing is occurring during the transmission process. Please be patient and give the system time to process the application.

Click here for further details on DUNS, SAM, and Grants.gov registration steps and timeframes.

Note: Duplicate applications. If an applicant submits multiple versions of the same application, NIC will review only the most recent system-validated version submitted. See Note on File Names and File Types under How To Apply.

Experiencing Unforeseen Grants.gov Technical Issues

Applicants that experience unforeseen Grants.gov technical issues beyond their control that http://www.grants.gov/web/grants/applicants/organization-registration.html prevent them from submitting their application by the deadline must contact the Grants.gov Customer Support Hotline or the SAM Help Desk to report the technical issue and receive a tracking number.