26CS06 - Community Reentry Settings Initiative FINAL.pdf

26CS06

U.S. Department of Justice National Institute of Corrections

NOTICE OF FUNDING OPPORTUNITY (NOFO)

Funding Opportunity Title: Community Reentry Settings Initiative

Announcement Type: Initial

Funding Opportunity Number: 26CS06

Assistance Listing Number: 16.602

Due Date for Applications: May 4, 2026 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 4, 2026. Late applications are neither reviewed nor considered.

Purpose:

Establish a process evaluation framework specifically tailored for state Department of Corrections (DOC) agencies to facilitate a systematic and in-depth examination of the decision-making processes involved in releasing incarcerated individuals to halfway houses and reentry centers. This is not a funding opportunity to establish halfway homes, build halfway homes nor staffing for halfway homes. The central aim is to uncover the precise operational mechanisms, identify the challenges encountered, and understand the various factors that influence these critical determinations. It is important to clarify that this evaluation focuses on understanding.

SPECIAL NOTE: Applications must be ‘VALIDATED’ by Grants.gov by the application deadline. This can take up to 48 hours after successful submission. See Section 5, Timely Receipt Requirements and Proof of Timely Submission, for more information. It is strongly recommended that applications be submitted at least 2 business days ahead of the application deadline.

CONTENTS

1. Basic Information ---------------------------------------------------------------------- 3

2. Eligibility --------------------------------------------------------------------------------- 5

3. Program Description ------------------------------------------------------------------ 6

4. Application Contents and Format ------------------------------------------------- 12

5. Submission Requirements and Deadlines ---------------------------------------- 22

6. Application Review Information --------------------------------------------------- 28

7. Award Notices -------------------------------------------------------------------------- 30

8. Post-Award Requirements and Administration -------------------------------- 32

9. Other Information -------------------------------------------------------------------- 35

1. BASIC INFORMATION

Federal Agency Name: National Institute of Corrections

Funding Opportunity Title: Community Reentry Settings Initiative

Announcement Type: Initial Announcement: 26CS06

Funding Opportunity Number: 26CS06

Assistance Listing Number:

16.602 - Corrections Research and Evaluation and Policy Formulation

Funding Details:

NIC expects to make one award for a 12-month project period. Requests for amounts more than award amount, including direct and indirect costs will not be considered.

Total funding available: $100,000.00 Total Award Amount: $100,0000.00 Number of Awards: 1

Key Dates: Announcement Date: March 5, 2026

Pre-proposal inquiries and questions must be submitted not later than April 20, 2026

Application Due Date: May 4, 2026, at 11:59 PM Eastern Time Applications must be received electronically and in receipt of a successful validation message in Grants.gov.

Anticipated Award Date: June 5, 2026

Executive Summary:

The release decision-making process is crucial to the criminal justice system and should be intentional and deliberate. Reentry decisions should consider factors such as the inmate’s risk, needs and responsivity (RNR) principles and community safety concerns. There has been some attention surrounding the utilization of halfway houses but, additional assessment and review is needed to understand the current state of halfway house utilization and make transformational changes that supports successful reentry outcomes in halfway houses. The questions to explore are simple and complex. For example, what and how is criteria (risk assessments, protective factors, etc.) used in the decision-making process from prison to halfway house; how are case managers planning for halfway house release with their residents; what does the “hand-off” from prisons officials to halfway house organizations entail; how are the community, business, education and other public or non-profit entities involved in this release process to halfway house and; what is the continuum of support/care provided during their reentry/transition period at half-way houses (e.g., employment, life skills, mental health, substance use). These are some of the broad questions this work seeks to answer.

One notable dynamic to explore in the decision-making processes involves the tension between discretionary authority and standardized procedures. Multiple sources highlight that release decisions involve "discretionary judgment", and key actors like wardens, community corrections managers, and case managers are the final decision makers. How each of these actors makes decisions varies, leaving the possibility of subjective judgment in the process. Simultaneously, there are explicit legal mandates, state statutes, and zoning requirements that outline specific criteria, timelines, and procedures for release to halfway houses.

While policies and assessment tools aim for consistency, fairness, and evidence-based decision making, the space where discretion exists can lead to variations in which individuals are being considered for release. This human factor introduces the potential for inconsistencies in eligibility determinations, or deviations from the policy and program criteria/design or inconsistent application of policy and procedures. This points to the dilemma between discretionary release practices versus standardized releasing decision-making.

Therefore, a process evaluation created should be conducted to understand currently how discretion is applied within defined policy parameters. Dynamics to understand include: are policies consistently applied across different unit teams, case managers, or community corrections boards; are there informal norms or unwritten rules that influence decisions more than formal policy; what are the perceived trade-offs between strict adherence to policy and the flexibility needed for individualized case management?

The primary objective is to systematically examine the current decision-making point governing the process of prison residents release to halfway houses. This process evaluation should aim to illuminate the operational realities and challenges in order for NIC to discern how those underlying factors can be changed and improved upon. By focusing on the “why” and “how” of this decision point, we will better understand halfway house placement implementation.

Please note, this is NOT a funding opportunity to plan, establish, revise, fund, staff or build a halfway house in any community.

Agency Contact Information:

Application Submission and Form Information:

Cameron Coblentz 202-514-0053 ccoblentz@bop.gov

Program Specific Information: Comments or questions submitted should be concise and to the point, eliminating any unnecessary verbiage. In addition, the relevant page, part and paragraph of the NOFO should be referenced. 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. Questions submitted within two weeks prior to a submission deadline may not be answered, and the due date for proposal submission will not be extended.

mailto:ccoblentz@bop.gov

Kendall Rhyne, National Program Advisor KRhyne@bop.gov

2. ELIGIBILITY

Eligible Applicants:

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 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.

Entity Types Eligible to Apply:

- nonprofit organizations (including faith-based, community, and tribal organizations)

- for-profit organizations (including faith-based, community, and tribal organizations)

- institutions of higher education (including tribal institutions of higher education)

Additional Restrictions on Eligibility:

- 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

- The applicant must be the entity with primary responsibility for administering the funding and managing the entire program

- Applications from federal agencies or employees of federal agencies will not be considered. However, federal agencies or employees may serve as unfunded collaborative project partners under the cooperative agreement award

- Government organizations to include state governments, county governments, city or township governments, special district governments are not eligible mailto:KRhyne@bop.gov

Eligibility factors for the Principal Investigator or Project Director:

- Only one application will be accepted from a submitting organization

Criteria that would make any particular projects ineligible:

- For-profit entities cannot use program funds to conduct private business, promote private self-interests, supplement the costs of normal sales activities, or promote their own products or services beyond specific uses approved by NIC

- Funding limited to a maximum of $100,000.00. Applications that request more than $100,000.00 in total funding including indirect costs will not be considered

- To be deemed eligible, applications must substantially comply with the application submission instructions and requirements set forth in Section 4, Application Contents and Format, of this solicitation, also see Application Checklist

- 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 information on Duplicate Applications.

Cost Sharing:

- This announcement does not require cost sharing or match: See 2 C.F.R. 200.306 for additional information.

- Calculation for required cost sharing: NONE

- Cost sharing restrictions: NONE

- 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.

3. PROGRAM DESCRIPTION

General Purpose

This is a two-year project cooperative agreement award. The general purpose of this project is to develop and facilitate a process evaluation for identified State Department of Corrections (DOC) agencies and their current halfway house decision-making processes. Review, assess and report those findings of the evaluation. The central aim is to identify precise operational mechanisms and understand various factors that influence these critical determinations.

The first year will focus on the development, collection and analysis of the data while year two will focus on working with subject matter experts to develop national recommendations based on the collected data, to enhance utilization of halfway houses. The diagnostic approach ensures that https://www.ecfr.gov/current/title-2/subtitle-A/chapter-II/part-200/subpart-D/section-200.306 observed discrepancies between intended goals and actual results can be used to improve upon that decision-making point in state departments of corrections.

NIC Funding Priorities / Focus Areas:

The National Institute of Corrections (NIC) supports public safety by providing specialized corrections training, information services, and technical assistance to federal, state, local, and tribal justice agencies. The outcomes of NIC's activities contribute significantly to the achievement of the following correctional goals and priorities:

Effectively managed prisons, jails, and community corrections programs and facilities. NIC provides services related to effective planning, management, and operational practice leading to safe and secure prisons, jails, and community services.

Enhanced organizational and professional performance in corrections. NIC provides education and training in management, leadership, and corrections operations based on that enhance organizational and professional performance.

Community, staff, and offender safety. NIC promotes correctional practices and procedures that maximize the safety of the community, staff, and offenders; holds detainees, inmates, and parolees/probationers accountable; and seeks to reduce recidivism.

Improved correctional practices through the exploration of trends and public policy issues.

NIC promotes the exploration of critical issues and the shaping of public policies that strengthen and improve the effectiveness and efficiency of corrections.

Enhanced services through improved organizational and staff effectiveness. NIC provides opportunities for organizational and professional growth that enhance the field of corrections.

Program Goals and Objectives

Goal (Year 1) – To understand the half-way house placement decision making process by state Department of Corrections.

Objective: (year 1)

1. To design a process methodology to include elements/questions for survey, phone, calls, focus groups, emails to state Department of Corrections on information used to make halfway house release decisions.

2. To design a methodology implementation plan (which DOCs,when and how to query).

3. To collect all information based on the methodology to illustrate how halfway house decisions are made by relevant state DOC.

4. To work collaboratively, with NIC program manager to establish criteria, plan and conduct on-site visit assessments of DOC and halfway houses.

Deliverable: Produce final written summary document of data gathered for each state Departments of Correction queried, and narratives on significant findings. Documentation will include information and findings gathered from on-site visits as well.

Objective: (year 2)

1. Convene working group members, to include criminal justice subject matter experts in conjunction with NIC program manager to examine the “findings” of the halfway house decision-making process”.

2. To synthesize findings from year one and assist in facilitating subject matter workgroups in making national recommendations to improve the decision-making process from prison to halfway houses.

3. Develop a plan for conducting the meetings – number of groups, number of meetings, agendas, dates, places.

4. Facilitate all working group sessions to reach consensus/recommendations on best practices and/or policies for DOCs in making release decisions to halfway houses.

Deliverable: Produce a final report that summaries work from the past two years AND includes final recommendations by the working groups.

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 notice are:

Objective

Year 1

Performance Measure(s)

Description Data Grantee Provides

Develop understanding and expectations of the goals of the project

Kick-off meeting with vendor and NIC project staff within 60 days after award

The meeting is designed to provide comprehensive instructions, expectations and purpose of the project.

This will include exploring the field to determine how and what process is utilized in the decision-making process for release of individuals from institutions.

Develop a project action plan with timelines and due dates.

This should include key markers to be met at a designated timeframe.

To design a process methodology to include elements/questions for survey, phone, calls, focus groups, emails to state Department of Corrections.

Determine a process methodology and defined listing of relevant state DOCs to contact

The elements, metrics and questions being examined by identified staff, when and how (virtual, written, etc.)

Final methodology process.

Collect all information from the methodology to illustrate how halfway house decisions are made by relevant state DOC

Conduct query of state DOC’s via survey, phone, calls, focus groups, emails

Conduct query and collect all information that illustrates how halfway house decisions are made by relevant state DOC

A final report/spreadsheet of all data collected from each of the relevant DOCs

Work collaboratively with NIC program manager to establish criteria, review questions and conduct on-site visit assessments

Determine the criteria for which sites to visit.

Conduct site visits of up to 5 selected State DOCs as determined in collaboration with NIC program staff.

On-site visits coordinated, facilitated and lead by NIC program manager.

To develop final assessment of all collected data and site visits

Final approval of report outline/framework to include sections and appendixes

Conduct analysis of all data and put in written documentation form.

Final written report to summarize all activities and findings.

Develop a plan for conducting the meetings

Identify meeting location and agendas.

Design meeting platforms, dates, topic areas, location.

Identify and finalize a plan for meetings to take place.

Facilitate working group sessions to reach consensus/recommendations

Identify facilitator(s).

Decide and discussions over what are the best practices for decision making.

Provide a list of final recommendations for making halfway house placements.

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

NIC Staff Responsibilities The NIC program manager will be involved in the following aspects of the cooperative agreement:

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

• Serves as a subject matter expert and as a member of the working group

• Serve as the lead in facilitating, organizing and conducting site-visits

• Provides access for various materials (e.g., video recordings) from NIC’s library

• Serve as final approver of all deliverables and other related project items.

• Works collaboratively on piloting decision making metrics

• Approves all subject matter experts used on this project.

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 align with those guidelines.

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.

https://www.ecfr.gov/current/title-2/part-200/subpart-A#p-200.1(Cooperative%20agreement)

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. See 2 CFR Part 200 Subpart E—Cost Principles for information on Cost Principles.

For information on Direct and Indirect Cost, see: https://www.ecfr.gov/current/title-2/section- 200.412

Incentives or Stipends Unless specifically listed in Section 3. Program Description, 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 in Section 1 of this announcement.

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 2026 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.)

Eligibility Criteria for Program Participants (Other than Federal Award Recipients)

The overall beneficiary will be the Nations State Department of Corrections ability to further identify, investigate and develop best practices guidelines for the field to utilize when deciding to send inmates and/or justice involved individuals to halfway homes. The decision-making framework will assist State Correctional agencies make informed referrals to halfway homes.

This will allow the Probation and Parole department, as well as the Department of Corrections, to utilize limited resources in an efficient manner while conducting the decision-making process.

This is expected to ensure evidence based, informed placements, in an effort to reduce risk factors and further increase positive social cues and behaviors. The more concentration on addressing risk level criteria, the more opportunities to mitigate risk factors. Mitigating risk https://www.ecfr.gov/current/title-2/section-200.400 https://www.ecfr.gov/current/title-2/section-200.400 https://www.ecfr.gov/current/title-2/section-200.412 https://www.ecfr.gov/current/title-2/section-200.412 factors will lead to additional prosocial behaviors and activities. After the first year of exploratory investigation, and the attainment of stipulated deliverables, additional examination will be determined based upon the research findings. In short, the overall goal is clear; the decision-making framework will explore what is currently effective and what needs additional work. It will additionally allow for greater opportunities to place justice involved individuals in the best possible housing/transitional situation for improved outcomes. Halfway homes should be institutions designed to improve opportunities and behaviors.

The perspective applicant will need to have a minimum of ten (10) years’ experience in research design, collecting data, and analyzing data within the field of Criminal Justice. The applicant must be strong in quantitative methods and critical thinking.

Authorizing Statutes and Regulations Statutory Authority: Public Law 93-415

It is this authors’ understanding, there has not been work or an investigation such as this. This proposal examines the decision-making framework at its earliest formation. There have been many explorations into reentry homes, programs etc., but there has not been much completed about “why” and “how” decisions are being made for placement to a halfway home. There may be examples of the decision-making framework and housing placement within the mental health arena. That is to be determined.

4. APPLICATION CONTENTS AND FORMAT

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 further consideration. Under this solicitation, NIC has designated the following application elements as critical:

SF-424: Application for Federal Assistance SF-424A: Budget Information for Non-construction Programs SF-424B: Assurances for Non-construction Programs SF-LLL: Disclosure of Lobbying Activities Project Abstract Program Narrative Budget Detail Worksheet Budget Narrative

Logic Mode Timeline or Milestone Chart Capabilities and Competencies AND Résumés of all key personnel.

Accessibility Conformance Report

A complete, NIC standard Federal Financial Assistance application package should be submitted, as described below. Each proposal must include the following federal application forms. The Standard Form (SF)-424family and form instructions are available in the Grants.gov application package, but may be downloaded from https://www.grants.gov/forms/forms-repository/sf-424-family.

-SF-424: Application for Federal Assistance -SF-424A: Budget Information for Non-construction Programs -SF-424B: Assurances for Non-construction Programs -SF-LLL: Disclosure of Lobbying Activities

Pre-application letters of intent, or whitepapers are not required or encouraged.

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.

Component pieces of the application in addition to the four SF-424, SF-424A, SF 424B and SF- LLL. Forms: Project Abstract, Program Narrative, Budget Detail Worksheet, Budget Narrative, Logic Mode, Timeline or Milestone Chart, Capabilities and Competencies AND Résumés of all key personnel, Accessibility Conformance Report.

Project Abstract (1 Page): Applications must 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 (30 Pages - The cover page does not count toward the 30-page limit):

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 https://www.grants.gov/forms/forms-repository/sf-424-family https://www.grants.gov/forms/forms-repository/sf-424-family https://www.grants.gov/forms 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.

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. NIC encourages applicants to select evidence-based practices for their programs.

If applicable, the need to identify proprietary information. Include how to do so and how the Federal agency will handle it. Applicants should generally refrain from including the details of proprietary information in applications. In cases where, in the applicant’s judgement, the inclusion of proprietary information is essential to application review and scoring, the applicant should clearly indicate information it wishes to designate as proprietary.

Budget Detail Worksheet Applicants must 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 Pre-Agreement Cost Approvals.

The Budget Detail Worksheet must 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 must 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 must 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:

a. 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.

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 sub awardees, 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.

b. 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

c. 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, 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

d. 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).

e. 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.

f. 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

g. the competitive Procurement Standards 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.

h. Construction: Not Authorized.

i. 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.

https://www.ecfr.gov/current/title-2/part-200/subject-group-ECFR45ddd4419ad436d

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.

j. 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.

15% de minimis rate authorized by 2 CFR 200.414(f) here “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, the term “life of the assistance agreement”, means each competitive segment of the project.

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 minimis” indirect cost rate described in the Part 200 Uniform Requirements as set out at 2 C.F.R. 200.414(f).

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.

https://www.ecfr.gov/current/title-2/section-200.414 https://www.ecfr.gov/current/title-2/part-200/section-200.414#p-200.414(f) https://www.ecfr.gov/current/title-2/part-200/appendix-Appendix%20III%20to%20Part%20200 https://www.ecfr.gov/current/title-2/part-200/appendix-Appendix%20III%20to%20Part%20200 https://www.ecfr.gov/current/title-2/part-200/subpart-E#p-200.414(f)

Budget Narrative: The budget narrative must 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 cooperative agreement 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 must 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 Logic Model: Applicants must include a logic model that graphically illustrates how the performance measures are related to the project’s problems, goals, objectives, and design.

Timeline or Milestone Chart: Applicants must 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. On receipt of an award, the recipient may revise the timeline, based on training and technical assistance that NIC will provide.

Capabilities / Competencies AND 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. Résumés of all key personnel must be included.

https://www.ecfr.gov/current/title-2/part-200/subject-group-ECFR45ddd4419ad436d

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. Many electronic products (Adobe PDF, MS Word, Excel, PowerPoint) already have completed an ACR and can be found on their websites.

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).