22CS16 -Community Supervision FinesFINAL3-8v1.pdf

22CS16

The National Institute of Corrections (NIC) is seeking applications for funding under the Fiscal Year (FY) 2022 to conduct a national study detailing how adult community supervision operations are funded. The study will use state-level data showing the proportion of state revenue, local revenue, and supervision fees being used to support agency operations.

NIC FY 2022 Community Supervision Fee Study

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. Foreign governments, international organizations, and non-governmental international organizations/institutions are not eligible to apply.

Proof of 501(c) (3) status as determined by the Internal Revenue Service or an authorizing tribal resolution is required.

NIC welcomes applications that involve two or more entities; however, one eligible entity must be the applicant and the others must be proposed as subrecipients. The applicant must be the entity with primary responsibility for administering the funding and managing the entire program. Only one (1) application will be accepted from a submitting organization.

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 9, 2022.

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/register.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: 22CS16 Release date: March 8, 2022 mailto:k2green@bop.gov mailto:support@grants.gov mailto:BOP-NIC/General@bop.gov

Contents NIC FY 2022 Community Supervision Fee Study

Eligibility

Deadline

Contact Information

NIC FY 2022 Community Supervision Fee Study

(CFDA # 16.603)

A. Program Description

Overview

Program-Specific Information

Goals

Objectives

Deliverables

B. Federal Award Information

Financial Management and System of Internal Controls

Budget Information

C. Eligibility Information

D. Application and Submission Information

What an Application Should Include 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 and Budget Justification

How to Apply

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

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 Accessibility

Paperwork Reduction Act

G. Federal Awarding Agency Contact(s)

H. Other Information Provide Feedback to NIC

NIC FY 2022 Community Supervision Fee Study

(CFDA # 16.603)

A. Program Description

Overview Many community supervision agencies rely on imposing supervision fees on persons under community supervision to support operating budgets and augment appropriations that allow them to meet their funding needs. This was confirmed by a 2014 study conducted by the University of Minnesota’s Robina Institute of Criminal Law and Criminal Justice. The study also notes that supervision fees are a formal condition of probation, and persons under supervision may be sanctioned or have their probation term extended if they fall delinquent in satisfying their financial obligations.1

Community supervision populations have been declining since 2009, and according to the latest Bureau of Justice Statistics report, “Probation and Parole in the United States, 2019” this population declined about 1% in 2019. When supervision fee revenue is factored into funding formulas, declining collection rates contribute to reductions in an agency’s operations budget. The imposition of fees may also create undue financial hardship on persons under community supervision as this fee is typically a monthly fee imposed for the length of supervision and is in addition to other court-related financial obligations such as court costs, fines, and restitution. Furthermore, if fee collection is the responsibility of line staff, then it may also be one of the many administrative responsibilities that can detract them from their primary function, which is to support behavior change with individuals on their caseloads.

To further the dialogue and understand both funding formulas and the effect of supervision fees, the National Institute of Corrections (NIC) is partnering with the National Association of Probation Executives (NAPE) to support a study to collect data and information on how states formulate funding mechanisms that use supervision fees and other forms of revenue to support adult community supervision agency operations. The study, detailing state-level data concerning adult community supervision funding, would provide essential information to practitioners, policy makers, local/state/national elected officials, and other interested parties to gain a better understanding of their state’s funding mechanisms and circumstances compared to other states.

Statutory Authority: Public Law 93-415

Program-Specific Information The awardee with work with the NIC Project Manager and NAPE Project Committee to conduct a national study detailing how adult community supervision operations are funded. The study will use state-level data showing the proportion of state revenue, local revenue, and supervision fees being used to support agency operations. The mixed methods study will help develop a national profile on how adult community supervision operations are funded, including information regarding the extent to which local and state resources are dedicated to support operations and to what extent supervision fee revenue is dedicated to fund operations. Quantitative data will be collected to understand who is collecting fees, the amount of fees that are imposed and collected, and the level of revenue from supervision fees and other sources being used to support probation operations. Qualitative data will be collected through interviews

1 Ruhland,Ebony L.,et.al, Exploring Supervision Fees in Four Probation Jurisdictions in Texas. Robina Institute (2017) with probation operations staff to gain perspectives on the adequacy of current funding mechanisms, trends in funding, and how those trends correlate with trends in community supervision populations.

The awardee must demonstrate and document several areas of expertise and experience to be considered for this project. The awardee must be able to:

1. Articulate that they have sufficient staff, resources, and availability to meet the requirements of this solicitation.

2. Articulate and document that staff have experience and expertise (minimum ten years) in mixed methods research design and implementation and data analysis.

Goals Through the activities of this solicitation, the awardee will conduct a national, mixed method study to help develop a national profile of how adult community supervision operations are funded.

Objectives

1. Conduct an initial virtual meeting with the NIC Project Manager and the NAPE Project Leads within 30 days of award to clarify goals and objectives, discuss and develop a timeline of activities, clarify roles, and discuss the overview of the project, including discussion of research design and other resources to be used to meet the goal of the project.

2. Work with the NIC Project Manager and NAPE Project Committee to develop a work plan that will include detailing the research design, implementation, and data analysis process for the mixed methods study.

3. Implement the research design and data analysis process.

4. Collaborate with NIC Project Manager and NAPE Project Committee to develop a structure for a final report.

Deliverables

1. Participate in a scheduled virtual planning meeting with the NIC Project Manager and NAPE

Project Leads to clarify project goals, objectives, and deliverables, including discussion of a timeline of activities and role clarification within 30 days of the award.

2. Participate in virtual planning meetings monthly or more frequently as needed with the NIC Project Manager and NAPE Project Committee over the course of the project.

3. In conjunction with NIC and NAPE, develop the research design and data collection methodology.

4. Assume all costs related to travel for onsite work, development, and implementation of the research design and the final report, including all document layout and graphic design as required.

5. Develop a final report for NIC that will be shared with NAPE that summarizes the research design, implementation process, and data analysis.

Applications must include in Program Narrative and Budget Narrative the incorporation of products delivered meet Plain Language and 508 Standards.

In addition to the strategy and content of the program design, the successful applicant must complete the deliverables specified in the statement of work and program description during the project period.

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

Before approving a deliverable, NIC reserves the right to test the deliverable against the applicant’s Section 508 claims. If NIC determines that the applicant’s claims were false and at higher level of conformance than what was actually received, NIC may, at its option, reject the deliverable and require the applicant to remediate the deliverable to align with the applicant’s stated Section 508 conformance claims before its approval.

Additionally before approving a deliverable, NIC reserves the right to review the applicant’s deliverables for conformance to federal plain writing guidelines and NIC Guidelines for Preparing and Submitting Manuscripts for Publication. If NIC determines that the applicant’s deliverables do not meet all applicable guidelines, NIC may, at its option, reject the deliverable and require the applicant to remediate the deliverable to align with those guidelines.

NIC Staff Responsibilities

Cooperative Agreements require significant staff involvement excluding the basic monitoring of the project, progress, deliverables and reports.

The NIC project manager will be involved in the following aspects of the cooperative agreement:

• Provide overall oversight and project management, working collaboratively with awardee on all aspects of the project

• Serves as a project subject matter expert

• Approval of any materials, resources and processes developed under this solicitation.

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.

Accessibility Requirements Section 508 of the Rehabilitation Act, as amended by the Workforce Investment Act of 1998 (P.L. 105-

220) requires that when federal agencies develop, buy, maintain, or use information and communication technology (ICT), it shall be accessible to people with disabilities. Federal employees and members of the public who have disabilities must have access to and use of information and data comparable to employees and members of the public without disabilities.

Deliverables submitted as part of this project must conform to the Revised Section 508 Standards (see 36 C.F.R. § 1194.1 & Apps. A, C & D), which are available online at https://www.govinfo.gov/content/pkg/CFR-2017-title36-vol3/xml/CFR-2017-title36-vol3-part1194.xml.

All functional performance criteria apply when the requirements outlined in Chapters 4–6 of the Revised 508 Standards either (1) do not address one or more functions of ICT or (2) provide lower accessibility and usability for people with disabilities than would be provided by using alternative design or technology. All https://www.govinfo.gov/content/pkg/CFR-2017-title36-vol3/xml/CFR-2017-title36-vol3-part1194.xml

Web Content Accessibility Guidelines (WCAG) Level A and AA success criteria and 502 Interoperability with Assistive Technology and 503 Application of the Revised 508 Standards apply. All requirements for hardware features, components, and support services and documentation also apply. See https://www.section508.gov/

Plain Language Requirements The Plain Writing Act of 2010 requires federal agencies to use plain writing in documents that are necessary for obtaining government funding, providing information about federal government benefits or services, or explaining to the public how to comply with a requirement that the federal government administers or enforces. The Act also requires agencies to use plain writing in every paper or electronic letter, publication, form, notice, or instruction. Its purpose is to improve the effectiveness and accountability of federal agencies. See http://www.nicic.gov/plainlanguage and https://plainlanguage.gov/law/

Deliverables submitted as part of this project must adhere to the federal plain writing guidelines, which are available at https://www.plainlanguage.gov/guidelines/, and the NIC Guidelines for Preparing and Submitting Manuscripts for Publication, which is available at https://www.nicic.gov/plainlanguage.

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 June 20, 2022. Requests for amounts in excess of a total of $200,000.00, including direct and indirect costs will not be considered.

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, additional information on the substantial involvement can be found in Section A. 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.

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

If the awardee demonstrates significant progress toward implementing project activities and achieving project goals, NIC may, in certain cases, provide supplemental non-competitive funding for FY 2023 and FY 2024 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, https://www.section508.gov/ http://www.nicic.gov/plainlanguage https://plainlanguage.gov/law/ https://www.ecfr.gov/current/title-2/subtitle-A/chapter-II/part-200/subpart-A/subject-group-ECFR2a6a0087862fd2c/section-200.1 https://www.ecfr.gov/current/title-2/subtitle-A/chapter-II/part-200/subpart-A/subject-group-ECFR2a6a0087862fd2c/section-200.1 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.

Performance measures capture outcomes of cooperative agreement activities, demonstrating if programs accomplish goals and objectives. 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 outlined on the following page:

Objective Performance Measure(s)

Description Data Grantee Provides

Participate in a scheduled virtual planning meeting with the NIC Project Manager and the NAPE Project Leads to clarify project goals and objectives, discuss the research design, discuss timeline of activities, meeting schedule and role clarification within 30 days of the award.

Awardee is a full participant and contributor in the discussion of all identified agenda activities

Awardee, NIC, and NAPE Project Leads collaborate and come to agreement on project goals, objectives, research design, timeline of activities and role clarification within 30 days of the award.

Awardee will create a record of the meeting discussion and submit to

NIC

Work with the NIC Project Manager and NAPE Project Committee to develop a work plan that includes detailing the research design, implementation, and data analysis process for the mixed methods study.

Work plan covering all items is developed and shared with NIC and the NAPE Project Committee

Awardee provides workplan that identifies all activities to meet the goal of the project

Electronic copy of work plan is received by all parties and approved

Implement the research design and data analysis process

Research and data collection is completed

Detailed description of how the research was conducted and the data is collected

Electronic copy of content is received and reviewed by NIC and

NAPE

Collaborate with the NIC Project Manager and NAPE Project Committee to develop a final report structure and delivery.

Research findings and data collected are incorporated in an agreed-upon report structure

Summary of research findings and data collected in report format

Electronic copy of final report received as both Microsoft Word and PDF files for review and approval by NIC and

NAPE

Financial Management and System of Internal Controls

Award recipients and subrecipients (including recipients or subrecipients 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

Funding Restrictions Foreign Travel is not allowed unless prior written approval is received from Awarding Agency (NIC).

Equipment purchases are not allowed. Construction is not an allowable activity.

Incentives or Stipends Unless specifically listed in Section A, NIC will not fund incentives or Stipends.

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 2022 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

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. Foreign governments, international organizations, and non-governmental international organizations/institutions are not eligible to apply.

Proof of 501(c) (3) status as determined by the Internal Revenue Service or an authorizing tribal resolution is required.

NIC welcomes applications that involve two or more entities; however, one eligible entity must be the applicant and the others must be proposed as subrecipients. The applicant must be the entity with primary responsibility for administering the funding and managing the entire program. Only one (1) application will be accepted from a submitting organization.

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.

Cost Sharing or Matching Requirement This solicitation does not require cost sharing or match. However, if a successful application proposes a voluntary cost share or match amount, and NIC approves the budget, the total cost share or match amount shall be incorporated into the approved budget, and becomes mandatory and subject to audit. Cost sharing or match will not be used as a factor during the merit review of applications.

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. See attached checklist.

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 https://www.opm.gov/policy-data-oversight/pay-leave/salaries-wages/#url=2021 further consideration. Under this solicitation, NIC has designated the following application elements as critical: Project Abstract, Program Narrative, Accessibility Conformance Report, Budget Detail Worksheet, Budget Narrative, Logic Model, Timeline or Milestone Chart and résumés of all key personnel.

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., “Accessibility Conformance Report”, “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.

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.

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

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 measureable.

.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 subawards 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.

Accessibility Conformance Report Applicants must provide an Accessibility Conformance Report (ACR) for each type of Information and Communication Technology (ICT) (e.g., electronic document, web-based content, web-based training, podcast, or video) offered through this Cooperative Agreement. Create the ACR using the Voluntary Product Accessibility Template (VPAT) Version 2.1 or later, located at https://www.itic.org/policy/accessibility/vpat. Complete each ACR in accordance with the instructions provided in the VPAT template.

Each ACR must address the applicable Section 508 requirements referenced in the statement of work and program description. Use the remarks/explanations column or additional narrative to explain how the ICT meets, fails to meet, or does not apply to the standards (e.g., user functionality, administrator functionality, and reporting). For ICT features that do not fully conform to Section 508 standards, describe your plan to remedy those features.

Finally, the applicant should describe the evaluation methods that were used to support Section 508 conformance claims. NIC reserves the right, prior to making an award decision, to perform testing on some or all of the applicant’s proposed ICT items to validate Section 508 conformance claims made in the ACR.

https://www.itic.org/policy/accessibility/vpat

Plain Writing Attestation Letter For the deliverables offered with this Cooperative Agreement, applicants should provide a letter attesting to the adherence of requirements of the Plain Writing Act of 2010 and NIC Guidelines for Preparing and Submitting Manuscripts for Publication https://nicic.gov/plainlanguage. Include a section describing the evaluation methods that were used to support plain writing claims. NIC reserves the right, prior to making an award decision, to perform testing on some or all of the applicant’s proposed deliverables to validate claims made in the plain writing attestation letter.

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

Budget and Budget Justification Budget SF-424A Prepare a master budget table using “SF-424A Budget Information for Non-Construction Programs” (aka SF-424A), available in the Grants.gov electronic application package. Only complete “Section B-Budget Categories”. Provide the object class budget category (a. - k.)

amounts for each budget year under the “Grant Program, Function or Activity” heading. Each column reflects a separate budget year. For example, Column (1) reflects budget year 1. The total budget will be automatically tabulated in column (5). The solicitation will specify if the award will fund multiple years, continuation awards will be made on a noncompetitive basis.

Column 1 (budget year 1) is the only requirement.

Budget Justification 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.

Identify the amount requested for each budget category and describe the basis for calculating the personnel, fringe benefits, travel, equipment (if authorized), supplies, contractual support and other costs identified in the SF-424A.

Budget information must be supported at the level of detail described below:

(1) Personnel: List all staff positions by title. Give annual salary, percentage of time assigned to the project, total cost for the budget period, project role and specify any annual cost of living adjustments. Compensation paid for employees engaged in grant activities must be consistent with payments for similar work within the applicant organization. Note that for salaries to be allowable as a direct charge to the award, a justification of how that person will be directly involved in the project must be provided. General administrative duties such as answering telephones, filing, typing or accounting duties are not considered acceptable.

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Below is a sample computation for Personnel:

Position/Title Annual Salary

% of Time Assigned to Project

Year 1 Year 2* Year 3* Total

Project Manager

$70,000 50% $35,000 $36,050 $37,132 $108,182

Trainer $60,000 100% $60,000 $61,800 $63,654 $185,454

Specialist Design Tech

$45,000 100% $45,000 $46,350 $47,741 $139,091

Total Personnel

$140,000 $144,200 $148,527 $432,727

*There is a 3% increase after Year 1 for all personnel for cost of living adjustments

Note this budget category is limited to persons employed by the applicant organization ONLY. Those employed elsewhere are classified as subawardees, program participants, contractors or consultants. Contractors and consultants should be listed under the “Contractual” budget heading. Subawards made to eligible subrecipients are listed under the “Other” budget heading. Participant support costs such as travel assistance for trainees are listed under the “Other” budget heading.

(2) Fringe Benefits: Identify the percentage used and the basis for its computation.

Fringe benefits are for the personnel listed in budget category (1) above and only for the percentage of time devoted to the project. Fringe benefits include but are not limited to the cost of leave, employee insurance, pensions and unemployment benefit plans. The applicant should not combine the fringe benefit costs with direct salaries and wages in the personnel category.

Below is a sample computation for Fringe Benefits

Position/Title Base Fringe % Rate

Costs

Project Manager 47.22% $16,527

Trainer 50.83% $30,498

3) Travel: In a table format, specify the estimated number of trips, purpose of each trip, number of travelers per trip, destinations and other costs for each type of travel for applicant employees. Travel costs for program participants if authorized, should be specified in the “Other” budget category. Explain the need for any travel, paying particular attention to travel outside the United States. Foreign travel includes trips to Mexico and Canada and but does not include trips to Puerto Rico, the U.S. territories or possessions. If NIC funds will be used for foreign travel, the budget justification must expressly state that the applicant will not use NIC funds for foreign travel without prior written approval by NIC.

Below is a sample computation for Travel:

Purpose of Travel

Location Item Computation Cost

State prison visit Washington

DC

Lodging 4 people x $100 per night x 2 nights

$800

Airfare 4 people x $500 round trip $2,000 Per Diem 4 people x 50 per day x 2.5 days $500

Total Travel $3,300

(4) Equipment: If authorized, identify all tangible, non-expendable personal property to be purchased that has an acquisition cost of $5,000 or more per unit and a useful life of more than one year. Equipment also includes accessories and services included with the purchase price necessary for the equipment to be operational. It does not include: (1) equipment planned to be leased/rented; or (2) separate equipment service or maintenance contracts. Details such as the type of equipment, cost and a brief narrative on the intended use of the equipment for project objectives are required. Each item of equipment must be identified with the corresponding cost. Particular brands of equipment should not be identified. General-purpose equipment (office equipment, etc.)

must be justified as to how it will be used on the project. (Property items with a unit cost of less than $5,000 are considered supplies).

(5) Supplies: “Supplies” are tangible property other than “equipment” with a per item acquisition cost of less than $5,000. Include a brief description of the supplies required to perform the work. Costs should be categorized by major supply categories (e.g. office supplies, computing devices, monitoring equipment) and include the estimated costs by category.

(6) Contractual: List the proposed contractual activities along with a brief description of the scope of work or services to be provided, the proposed duration of the contract/procurement, the estimated cost and the proposed procurement method (competitive or non-competitive). Any procurement of services from individual consultants or commercial firms (including space for workshops) must comply with the competitive procurement requirements of 2 CFR Part 200.317-200.326.

Examples of Contractual costs include:

• Consultants – Consultants are individuals with specialized skills who are paid at a daily or hourly rate. Participation in the salary rate (excluding overhead) paid to individual consultants retained by recipients or by a recipient's contractors or subcontractors is limited to the maximum daily rate for a Level IV of the Executive Schedule (formerly GS-18), to be adjusted annually.

• Speaker/Trainer Fees – Information on speakers should include the fee and a description of the services they are providing.

(7) Other: List each item in sufficient detail for NIC to determine the reasonableness of its cost relative to the program solicitation. “Other” items may include equipment rental, telephone service and utilities and photocopying costs. Note that subawards, such as those with other universities or nonprofit research institutions for members of the research team, are included in this category. Provide the total costs proposed for subawards as a separate line item in the budget justification and brief description of the activities to be supported for each subaward or types of subawards if the subrecipients have not been identified. Subawards may not be used to acquire services from consultants or commercial firms.

Provide the total costs proposed for participant support costs if authorized as a separate line item in the budget justification and brief description of the costs. If NIC funds will be used for foreign travel by program participants, the budget justification must expressly state that the applicant will not use NIC funds for foreign travel without prior approval by NIC.

Indirect costs (IDC) may be budgeted and charged by recipients of Federal assistance agreements in accordance with 2 CFR Part 200. With the exception of “exempt” agencies and Institutions of Higher Education as noted below, all recipients must have one of the following current (not expired) IDC rates, including IDC rates that have been extended by the cognizant agency:

• Provisional;

• Final;

• Fixed rate with carry-forward;

• Predetermined;

• 10% de minimis rate authorized by 2 CFR 200.414(f)

• “Exempt” state or local governmental departments or agencies are agencies that receive up to and including $35,000,000 in Federal funding per the department or agency’s fiscal year, and must have an IDC rate application developed in accordance with 2 CFR 200 Appendix VII, with documentation maintained and available for audit.

• Institutions of Higher Education must use the IDC rate in place at the time of award for the life of the assistance agreement (unless the rate was provisional at time of award, in which case the rate will change once it becomes final). As provided by 2 CFR Part 200, Appendix III(C)(7), the term “life of the assistance agreement”, means each competitive segment of the project.

IDCs incurred during any period of the assistance agreement that are not covered by the provisions above are not allowable costs, and must not be drawn down by the recipient.

Recipients may budget for IDCs pending approval of their IDC rate by the cognizant Federal agency. However, recipients may not draw down IDCs until their rate is approved.

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…