20CS09 Developing Organizational Resources Final.pdf

20CS09

The National Institute of Corrections (NIC) is seeking applications for funding under the Fiscal Year (FY) 2020 to provide Community Supervision agencies with organizational readiness assessment resources to utilize for planning around adopting innovations that support behavior change in individuals under community supervision.

NIC FY 2020 Developing Organizational Resources to Support Behavioral Change

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 May 25, 2020

Late applications are neither reviewed nor considered.

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 Katie Green Correctional Program Specialist, National Institute of Corrections k2green@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: 20CS09 Release date: March 26 , 2020 mailto:support@grants.gov mailto:BOP-NIC/General@bop.gov

Contents

Contents NIC FY 2020 Developing Implementation Resources to Support Behavioral Change

Eligibility

Deadline

Contact Information

NIC FY 2020 Developing Implementation Resources to Support Behavioral Change

(CFDA #16.603)

A. Program Description

Overview ............................................................................................. Error! Bookmark not defined.7

Program-Specific Information

Goals

Objectives

Deliverables

B. Federal Award Information

Financial Management and System of Internal Controls

Budget Information Cost Sharing or Matching Requirement Pre-Agreement Cost Approvals Limitation on use of award funds for employee compensation; waiver

C. Eligibility Information Cost sharing or match requirement Limit on number of application submissions

D. Application and Submission Information

What an Application Should Include Information to Complete the Application for Federal Assistance (SF-424) Intergovernmental review Project Abstract Program Narrative Statement of the problem Project design and implementation Logic model Timeline or Milestone Chart Capabilities and competencies, Résumés of all key personnel

Letters of Support/Memoranda of Understanding Budget Detail Worksheet and Budget Narrative Budget Detail Worksheet Budget Narrative Indirect Cost Rate Agreement (if applicable) Tribal Authorizing Resolution Applicant Disclosure of High Risk Status Disclosure of Lobbying Activities Additional Attachments

How to Apply Registering with Grants.gov Browser Information Attachments File names and file types

All applicants are required to complete the following steps:

Registration and Submission Steps Acquire or maintain registration with the System for Award Management (SAM) Acquire an Authorized Organization Representative (AOR) and a Grants.gov username and password Search for the funding opportunity on Grants.gov

How to Submit an Application to the National Institute of Corrections via Grants.gov Grants.gov applicants can apply online using Workspace Applicant Support Timely Receipt Requirements and Proof of Timely Submission Duplicate applications Experiencing Unforeseen Grants.gov Technical Issues

E. Application Review Information Selection Criteria Programmatic Review (40) Organizational Review (35) Management/Administrative Review (25) Review Process

F. Federal Award Administration Information Federal Award Notices Administrative, National Policy, and Other Legal Requirements Plain Language Section 508 Paperwork Reduction Act

G. Federal Awarding Agency Contact(s)

H. Other Information Provide Feedback to NIC

NIC FY 2020 Developing Organizational Resources to Support Behavioral Change

(CFDA # 16.603)

A. Program Description

Community Corrections Supervision organizations are increasingly interested in adopting effective supervision interventions as a growing body of research indicates that staff, well trained in evidence-based practices, improve public safety outcomes. More specifically, the community corrections profession is investing in interventions that support behavior change and are moving away from using only control and containment supervision strategies. Research indicates, when community supervision staff employ evidence based approaches that reduce risk and need, coupled with skillful use of innovations such as Core Correctional Practices (i.e., effective reinforcement, cognitive restructuring and professional alliance), they become adept at helping persons under community supervision identify thinking errors, develop problem-solving skills and have the ability to reinforce these new skills.

Supported by Lipsey’s research (2007)1, criminal thinking is one of the most notable characteristic of the persons under community supervision population, and supervision agents are best equipped to address this behavior through cognitive skills training. Studies reveal the role and interactions of the supervising agent impact supervision outcomes. For example, a series of studies show that when agents are trained in specific skills that are demonstrated to be effective in changing behavior; interactions with persons on their caseload reflect a focus on risk reduction, and ultimately lead to lower rates of re-conviction. (Robinson)2 Teaching and coaching behavior change involves agents gaining skill with Core Correctional Practices (CCP’s) and applying these skills effectively. Equally important, is leadership’s ability to provide a supportive environment for staff learning. It is also imperative the organization has the capacity to support the effective implementation of the innovation.

Implementation Science tells us, assessing organizational readiness is paramount to effectively initiate and sustain successful implementation of innovations. In one such model, Implementation Drivers developed by the National Implementation Research Network (NIRN) focus on areas of leadership, the organization and staff competency. These three drivers help to determine key areas organizations need to have in place to implement and sustain implementation of innovations. (Fixson)3 There is a growing body of research which indicates that evidence-based programming, with solid, quality implementation, reach the intended outcome of reducing the likelihood of individuals under supervision engaging in future criminal behavior, better than those interventions with poor implementation designs. (Salisbury)4.

Community Corrections agencies are in need of readiness assessment resources to help with planning around adopting innovations that support behavior change. Typically, Community Supervision

1. Lipsey, M.W., Landenberger, N.A., & Wilson, S.J (2007) Effects of cognitive-behavioral programs for criminal offenders.

2: Robinson, C. R., Lowenkamp, C. T., Holsinger, A. M., VanBenschoten, S., Alexander, M., & Oleson, J. C. (2012): A random study of Staff Training Aimed at Reducing Re-arrest (STARR): Using core correctional practices in probation interactions.

3 Fixson,D., Blasé,K., Naoom,S., Duda, M. (2015) Implementation Drivers: Assessing Best Practices 4 Salisbury, E.J.,Sundt,J.& Boppre,B. (2019) Mapping the Implementation Landscape: Assessing the Systemic Capacity of Statewide Community Corrections Agencies to Deliver Evidence-Based Practices.

organizations tend to focus on the individual (staff) competency through the delivery of training and skill building rather than the organization as a whole when implementing innovations; failing to include the broader approach including leadership (executive, mid-management) and organizational drivers that are needed to support and sustain the change. For example, an area that organizations typically identify as a gap and a need, is the use of coaching skills at all levels of the organization. We know leaders who are coached or use coaching skills with others create a higher performing organization and increase their own leadership effectiveness. When leaders coach others, they can increase the capacity of the organization by bringing out the best in people: their willingness to be responsible for results, their engagement in solving problems, and their ability to deal with change and complexity (NIC 2012)5. Organizational supports such as a culture supportive of innovation implementation, multi-level alignment and communication regarding organizational goals and policies, and the ability to support data –driven decision making, influence the successful implementation of innovations.

Currently, assessment/audit tools exist for correctional programming; however, there is need to develop assessment tools for organizations to adopt evidence- based supervision practices. NIC envisions the development of resources that will help community corrections organizations to assess readiness to adopt supervision strategies that support behavior change and help organizations move away from a solely containment/enforcement supervision model. In addition to developing tools and processes to assess organizational readiness, NIC envisions, through subsequent funding, the potential development of additional resources to help organizations build upon the agency readiness assessment to aid in planning for and operationalizing the implementation of innovations to support long-term behavior change.

Program-Specific Information

Using implementation research regarding drivers to successful implementation and behavioral change research as the framework, resources will be developed for all organizational levels to include leadership, mid-management and line staff to guide the organization with aligning supervision policies and practices with Risk, Need and Responsivity principles and Core Correctional Practices. The resources developed will include tools to assess at all levels of the organization, the systemic readiness to adopt innovations that support offender behavior change. Using the assessment results, the pilot agencies will determine where their organization aligns with adopting innovations along with identifying policy and practice gaps with leadership, staff competency and organizational support areas. NIC has identified three community corrections organizations that have requested NIC assistance to implement strategies throughout their organizations that will help transform their current supervision models to ones which fully support behavior change. The agencies are: Brazoria County Community Supervision and Corrections located in Angleton, TX, Kansas Department of Corrections located in Topeka, KS and the Michigan Department of Corrections in Lansing, MI. All three agencies will work with the selected vendor to support and pilot the assessment tool developed through this project.

Goals The goal of this project is to develop an organizational readiness assessment and other resources to assist Community Corrections Supervision organizations operationalize the adoption and sustainment of innovations supporting offender behavior change throughout the organization.

Objectives

1. Conduct initial meeting with NIC to clarify goals and objectives, discuss timeline of activities, 5 National Institute of Corrections (2012) Achieving Performance Excellence: The Influence Of Leadership on Organizational Performance.

role clarification and discuss overview of the project.

2. Develop process, tools and activities to access organization readiness at all levels of the organization to determine systemic readiness to adopt innovations that support behavior change.

3. Develop a work plan that includes the development of the readiness assessment instrument based on the implementation research regarding drivers to successful implementation.

4. Develop a process to assess organization readiness to include conducting on-site meetings with leadership, mid-management and staff, reviewing agency documents, materials and activities that can contribute to the readiness assessment

5. Develop and deliver the readiness assessment, identify data collection and data review processes and develop communication strategies to share assessment findings with the organizations and prepare organizations for possible Phase 2 activities.

Deliverables

1. Meet virtually with NIC Correctional Program Specialist (CPS) Project Lead for initial kickoff meeting to clarify goals, objectives and deliverables, including the setting of initial deadlines, and role clarification.

2. Complete literature review on Implementation Science and Evidence- Based Practices that support behavior change for individuals under supervision to inform the project work.

3. Using the Implementation Science and Evidence- Based Practices that support Behavior Change research, develop and deliver an organizational readiness assessment instrument to help the pilot organizations determine readiness to implement and sustain innovations that support behavior change for individuals under community supervision.

4. Up to three days on-site work with each of the piloting organizations will be required, however Awardee is encouraged to utilize tele or virtual-conferencing where appropriate to increase efficiency and decrease costs.

5. Awardee will be responsible for all travel costs to the site to include round trip transportation costs to requesting agency site, ground transportation (to include rental car and fuel), parking, lodging, per diem.

6. Present, virtually or in person, preliminary findings to each of pilot organization’s leadership for review and feedback

7. Develop a final report for NIC that will be shared with the pilot organizations that summarizes the assessment process and findings to include planning for Phase II of the project.

Deliverables. In addition to the strategy and content of the program design, the successful applicant must complete the following deliverables during the project period. 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 $80,000.00 for a 12-month project period, beginning on June 30, 2020.

If the awardee demonstrates significant progress toward implementing project activities and achieving project goals, NIC may, in certain cases, provide supplemental funding for FY 2021 and FY 2022 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

Award recipients and sub recipients (including recipients or sub recipients that are pass-through entities) must, as described in Part 200 Uniform Requirements as sent out as set out at 2 C.F.R. 200.303:

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).

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

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

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

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

Cost Sharing or Matching Requirement

This solicitation does not require a match. However, if a successful application proposes a voluntary match amount, and NIC approves the budget, the total match amount incorporated into the approved budget becomes mandatory and subject to audit.

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 2020 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.)

C. Eligibility Information For additional eligibility information, see the title page.

https://www.opm.gov/policy-data-oversight/pay-leave/salaries-wages/2019/executive-senior-level

Cost sharing or match requirement Cost sharing/match is not required

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.

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 https://nicic.gov/invitations-bid-and-requests-proposal.

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.”)

Project Abstract Applications should include a high-quality project abstract that summarizes the proposed project in 400 words or less. Project abstracts should be

• 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.

https://www.grants.gov/web/grants/forms/sf-424-family.html https://nicic.gov/invitations-bid-and-requests-proposal http://www.archives.gov/federal-register/codification/executive-order/12372.html

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.

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:

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.

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

Complete Literature Review

Number of findings included in the Review

A comprehensive literature review of Implementation Science related to Implementation drivers and evidence- based practices supporting behavioral change

Copy of Comprehensive Literature Review

Develop and Deliver an organizational readiness assessment

Organizational Readiness Assessment Instrument

Organizational Readiness assessment instrument to help organizations determine readiness to implement and sustain innovations that support behavior change for individuals under community supervision

Organizational Readiness Assessment Instrument approved for Piloting

Conduct on-site and virtual meeting with three pilot sites

Number of virtual and on-site meetings conducted

Develop a process to assess organizational readiness with leadership, mid-management and line staff reviewing documents, materials and activities

Documented and written process to inform development of organization readiness assessment instrument

Present preliminary findings used to develop Instrument

Meetings conducted to present findings

Meetings presenting findings use to inform development of organization readiness assessment instrument to pilot organization’s leadership for review and feedback

Written summary of findings and pilot organization leadership feedback

Develop final report Final written report

Final report that summarizes the assessment process and findings and include planning for Phase II

Final Written report submitted to NIC

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.

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 as a separate attachment, as stipulated in Additional Attachments.

Timeline or Milestone Chart 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.

Capabilities and competencies, Résumés of all key personnel 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.

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

Budget Detail Worksheet The Budget Detail Worksheet should provide the detailed computation for each budget line item, listing the total cost of each and showing how it was calculated by the applicant. For example, cost for personnel should show the annual salary rate and the percentage of time devoted to the project for each employee paid with cooperative agreement funds. The Budget Detail worksheet should present a complete itemization of all proposed costs

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.

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 $250,000, the application should address the considerations outlined in 2 C.F.R.200.317 - 200.317.

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. Indirect costs may be charged to an award only if:

The recipient has a current (unexpired), federally approved indirect cost rate; or the recipient is eligible to use, and elects to use, the “de minimus” indirect cost rate described in the Part 200 Uniform Requirements as set out at 2 C.F.R. 200.414

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 award. 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.

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 as set out by the federal awarding agency.

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.

Logic model

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) Lobbying Form. 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”).

Additional Attachments Evidence of nonprofit status, e.g., a copy of the tax exemption letter from the Internal revenue Service, if applicable. Evidence of for-profit status, e.g., a copy of the articles of incorporation, if a pplicable.

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.

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 https://www.grants.gov/documents/19/217976/SFLLL_2_0-V2.0.pdf/ad05c401-3c9c-47d0-afec-7ee26491c878?version=1.0&t=1516738837999 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

MjaPne.doeL@usEdoj.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.”).

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 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.

mailto:MjaPne.doeL@usEdoj.gov mailto:john.doe@hhs.gov https://www.grants.gov/web/grants/applicants/apply-for-grants.html

NIC strongly encourages all prospective applicants to sign up for Grants.gov email notifications regarding this solicitation https://www.grants.gov/web/grants/manage-subscriptions.html. If this solicitation is cancelled or modified, individuals who sign up with Grants.gov for updates will be automatically notified.

Browser Information Grants.gov was built to be compatible with Internet Explorer. For technical assistance with Google Chrome, or another browser, contact Grants.gov Customer Support.

Attachments Grants.gov has two categories of files for attachments: “mandatory” and “optional.” NIC receives all files attached in both categories. Attachments are also labeled to describe the file being attached (e.g., Project Narrative, Budget Narrative, Other) and are labeled correctly. Do not embed “mandatory” attachments within another file.

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.

Registration and Submission Steps 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 https://www.grants.gov/web/grants/manage-subscriptions.html 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

Acquire or maintain 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.

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

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.

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.

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