26PR10 Security Audit File NOFO FINAL.pdf

26PR10

U.S. Department of Justice National Institute of Corrections

NOTICE OF FUNDING OPPORTUNITY (NOFO)

Funding Opportunity Title: Risk Assessment: Conducting Prison Security Audits

Announcement Type: Initial

Funding Opportunity Number: 26PR10

Assistance Listing Number: 16.601 - Corrections Training and Staff Development

Due Date for Applications: July 20, 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 July 20, 2026. Late applications are neither reviewed nor considered.

Purpose: The National Institute of Corrections (NIC) is seeking applications for funding under fiscal year (FY) 2026 for the coordination, facilitation, and management of the security audit training program with measured remediation support.

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.

http://www.nicic.gov/

CONTENTS

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

2. Eligibility --------------------------------------------------------------------------------- 4

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

4. Application Contents and Format ------------------------------------------------- 13

5. Submission Requirements and Deadlines ---------------------------------------- 24

6. Application Review Information --------------------------------------------------- 29

7. Award Notices -------------------------------------------------------------------------- 31

8. Post-Award Requirements and Administration -------------------------------- 33

9. Other Information -------------------------------------------------------------------- 36

1. BASIC INFORMATION

Federal Agency Name: National Institute of Corrections

Funding Opportunity Title: Risk Assessment: Conducting Security Audits:

Announcement Type: Initial Announcement: 26PR10

Funding Opportunity Number: 26PR10

Assistance Listing Number:

16.601 - Corrections Training and Staff Development

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: $175,000.00 Total Award Amount: $175,000.00 Number of Awards: One

Key Dates: Announcement Date: June 5, 2026

Pre-proposal inquiries and questions must be submitted not later than July 5,2026

Application Due Date: July 20, 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: August 20, 2026

Executive Summary:

A well‑designed and well‑managed security audit program systematically reviews prison operations, policies, procedures, staff performance, physical security systems, and emergency preparedness to identify vulnerabilities and risks. Because prisons inherently involve high‑risk factors—such as escapes, violence, contraband, disturbances, and other safety threats— structured, policy‑driven audits conducted by knowledgeable staff are essential for identifying and preventing problems before they occur.

NIC’s 36‑hour security training program supports this goal by providing a comprehensive, hands‑on auditing experience. The program includes an in‑brief with agency and facility leadership, one full day of in‑person classroom instruction, three and a half days of prison‑based audit work, and a half‑day executive close‑out. Participants have a unique, nonjudgmental opportunity to apply auditing skills in real operational settings as teams are deployed to designated prisons. Upon completion, a full report of findings is prepared, enabling agencies to develop effective remediation strategies.

Agency Contact Information:

Application Submission and Form Information:

Mark Wyche 771-241-0452 Mwyche@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 2 weeks prior to a submission deadline may not be answered, and the due date for proposal submission will not be extended.

Evelyn Bush, NPA E1bush@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 (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.

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) mailto:Mwyche@bop.gov mailto:E1bush@bop.gov

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.

Eligibility factors for the Principal Investigator or Project Director:

- Only one (1) 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 $175,000.00 Applications that request more than $175,000.00 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.

https://www.ecfr.gov/current/title-2/subtitle-A/chapter-II/part-200/subpart-D/section-200.306

3. PROGRAM DESCRIPTION

General Purpose

Over the past several decades, prison systems have experienced rapid population growth alongside increasing scrutiny of security practices. In response, agencies have invested heavily in perimeter barriers, locking systems, video technology, drone detection, communication tools, and alert systems. These advancements have contributed to more efficient and effective operations, enhancing safety for staff, individuals in confinement, and the broader community.

They also offer cost‑effective solutions that are easier to maintain and support more efficient use of staff resources, representing significant improvements over earlier facility designs.

As important as these advancements are, they alone cannot ensure a safe, secure, and humane environment. Technology and physical design are only components of a comprehensive security strategy. Even the most innovative systems cannot replace the need for well‑trained staff and strong security practices rooted in clear, standardized, and consistently implemented policies, procedures, regulations, and rules. Moreover, without a well‑planned and ongoing monitoring program, even effective security practices cannot be sustained over time.

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

GOALS

The goals of these security audit programs are to build and strengthen the capacity of state and federal corrections agencies to conduct effective risk assessments of the safety and security of their prison facilities. Through the coordinated management of this award, NIC will deliver critical learning to the field and support the creation of safe, secure, and humane environments for staff, individuals in custody, and the broader community.

OBJECTIVES AND DELIVERABLES

Deliverables and Expectations The successful applicant must complete the following deliverables during the project period.

Applicants must address in the Program Narrative how each requirement will be met. All deliverables produced under this award must comply with Plain Language requirements and Section 508 accessibility standards, and applicants must reflect these expectations in both the Program Narrative and Budget Narrative.

Required Deliverables

1. Curriculum Review and Updates Review and, with NIC approval, revise the lesson plan, slide deck, and facilitator manual. Updates must include sections on restrictive housing and administrative accountability, as necessary.

2. Readiness Protocol Enhancement Review the current Readiness Protocol template and provide written recommendations for improvement.

3. Completion of the Readiness Protocol Collaborate with the agency to complete the Readiness Protocol in advance of program delivery.

4. Pre-Program Administrative and Logistical Support The awardee must coordinate all preprogram logistics, to include:

• Online registration for 24 participants

• Development of a welcome letter

• Distribution of the NIC Security Audit Program Guide and Model Instruments

• Classroom setup, AV resources, laptop and USBloaded slide deck, name tags, and table tents

5. Program Delivery Deliver the Conducting Security Audits training program for up to two events, utilizing the NIC approved lesson plan, slide deck, and model instrument (NIC Accession No. 027588).

6. Faculty Development Establish, within the period of performance, a cadre of six qualified faculty/auditors to ensure continuity of trainer availability.

7. Audit Reporting Requirements Using the NIC reporting template and team lead documentation, prepare and submit audit reports to facility heads, the agency Chief Executive Officer, and NIC within 30 days of each onsite audit.

8. Post-Audit Support Provide up to eight (8) hours per facility of postaudit virtual coaching and technical assistance to support the development and/or implementation of corrective action plans.

9. Audit Team Guidance and Oversight Ensure audit teams are facilitated for three and onehalf days by no fewer than three NICapproved faculty/trainers. Daily schedules will typically run from 7:30 a.m. to 5:00 p.m., including daily close-outs.

10. Travel and Lodging Costs All faculty travel, lodging, and associated costs required for delivery of the program are the responsibility of the awardee and must be incorporated into the proposed budget.

11. PreTraining Site Visits Prior to the first day of training, conduct onsite visits to the three designated facilities, complete a program review with assigned faculty, and coordinate final executive briefings.

12. Faculty Qualifications Proposed faculty/trainers must meet the following minimum qualifications (résumés or bios must be submitted):

a. Minimum of five (5) years of experience as a correctional professional at the Deputy Warden of Prison Operations level or above

b. Ability to support 9–10 hour workdays and sustain the physical demands of facility audits (significant walking and movement)

c. Demonstrated effective communication, leadership, and interpersonal skills

d. Minimum of three (3) years of instructional or training delivery experience outside their duty station

e. Documented experience conducting prison security audits and direct knowledge of related policy development or implementation

13. National Conference Presentation With NIC approval, plan, prepare, and submit a proposal to present a workshop on the significance of security audits at a national conference.

14. Kickoff Meeting Within 30 days of award, participate in a kickoff meeting with the NIC program manager to establish project expectations, roles and responsibilities, timelines, and technical requirements.

15. Work with NIC Social Science Research Analysts to develop, implement, and analyze evaluations for each program.

Process Overview

1. PreProgram Site Activities

Faculty and designated personnel will arrive prior to the start of the training program to complete a full day of facility tours and final preparatory briefings.

2. Program Day 1 – Classroom Instruction Faculty will deliver a full day of inperson classroom training aligned with the NICapproved curriculum.

3. Program Days 2–4 – Facility Audits Participants will be assigned to audit teams and conduct onsite security audits of designated facilities. One audit day will include a late start and extended hours to accommodate an evening perimeter drive.

4. Program Day 5 – Executive CloseOut and Participant Presentations Executive staff from the three audited facilities will be invited to attend participant briefings, during which teams will present their audit findings and observations.

Additional Information

Training Location:

The first location will be South Dakota DOC

Due to planned outreach and marketing efforts, the final training location is to be determined (TBD). The awardee should remain flexible and prepared to coordinate logistics once the location is confirmed by NIC.

Training Agenda The Day One agenda will be provided as an attachment and should be incorporated into planning and instructional preparation.

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 Performance Measure(s)

Description Data Grantee Provides

Kickoff Meeting Completed within 30 days of award

Conduct kickoff meeting to establish expectations, roles, responsibilities, and timelines

Meeting minutes; invitations to

NPA

Review of Lesson Plans

Draft changes submitted to NPA

Awardee works with SMEs to review lesson plans and identify required updates

Meeting invitations to NPA;

quarterly report entries

Review of Readiness Protocol

Recommendations submitted to NPA

Conduct review of Readiness Protocol and provide recommended revisions

Updated documents; quarterly report entries

Update Lesson Plans, Slide Deck, and Facilitator Guide

Updated documents submitted to NPA

Revise materials in accordance with NIC guidance

Revised documents; summary of changes; quarterly report entries

Conference Workshop Preparation

Identify opportunities;

prepare and submit proposal

Review national conference opportunities and prepare proposed workshop materials

Draft presentation; submission confirmation; strategy hours to

NIC

PreProgram Logistics Readiness completed; location confirmed; faculty selected

Complete preprogram planning, including registration, location coordination, and faculty confirmation

Invitations to NPA; quarterly reports; final logistics documentation

Training Delivery and CloseOut

Training executed;

closeout completed

Deliver training and complete all required closeout meetings and participant briefings

Closeout materials; participant feedback (if applicable)

PostAudit Support Coaching provided to agency

Provide up to 8 hours of virtual coaching per facility for action plan development

Coaching documentation;

quarterly report updates

NIC Program Evaluation

Collaborative development of evaluation with

NIC SSRA & NPA

Work with NIC NPA and SSRA’s to develop training evaluation, ensure completion of evaluation by training participants

Training goals and objectives, other relevent information requested to develop the training evaluation survey

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

NIC Program Advisor (NPA) Staff Involvement

The NPA will provide oversight and coordination throughout the project period. NPA responsibilities will include:

• Participation in the training program, as appropriate

• Review and approval of all proposed edits to training materials

• Approval of training participants

• Approval of faculty and subject matter experts

• Approval of the training location and facility sites

• Review of draft audit reports prior to final distribution

• Identification of opportunities for collaboration with the Federal Bureau of Prisons (BOP)

• Coordination of required resources with NIC Information Center staff

• Provision of NIC evaluation tools and requirements

• Coauthoring of publications developed under this award, as appropriate

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

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)

Direct Beneficiaries: The primary target population for this project includes state and territorial correctional agencies responsible for the operation and oversight of secure confinement facilities.

This encompasses correctional administrators, midlevel managers, and operational staff who have direct responsibility for maintaining facility safety, assessing security risks, and ensuring compliance with agency policies and procedures.

Additionally, the project supports the development of an internal cadre of trained auditors within participating agencies, strengthening their long-term capacity to conduct comprehensive security assessments. Indirect beneficiaries include correctional staff, individuals in confinement, and the broader community, all of whom rely on the effectiveness, accountability, and safety of correctional operations.

Eligibility Criteria

The target audience for participation in the NIC Security Audit Program varies according to each agency’s operational needs, existing structures, and stage of security audit development. All participants must be supervisors or senior correctional security managers with responsibilities relevant to facility safety, security assessments, or policy compliance.

Eligible participant groups include:

1. Development Stage Agencies Agencies establishing a newly centralized audit department may select:

• Members of the new centralized audit team (core participants)

• Facilitybased security auditors

• Staff with primary responsibility for policy and procedure development or implementation

Special emphasis is placed on participants who will be involved in creating the agency’s foundational audit processes and infrastructure.

2. Enhancement Stage Agencies Agencies with an existing centralized audit process may select:

• Current members of the central audit team

• New or turnover staff assigned to the audit function

• Prisonbased chiefs of security or equivalent operational leaders

Participation focuses on strengthening existing processes, ensuring consistency, and enhancing policy and procedure compliance.

3. Culture Transformation Agencies Agencies without a centralized auditing function, where policy, security practice, and accountability are primarily facilitydriven, may select:

• Prisonbased security managers

• Senior facility leaders

• Division heads with operational oversight responsibilities (e.g., maintenance supervisors, facility operations leaders)

Emphasis is placed on building an understanding of the purpose and value of risk assessments, and developing a consistent, agencywide approach to security accountability.

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

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):

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

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

The program narrative should address the following selection criteria: (1) statement of the problem; (2) goals, objectives, and performance measures; (3) program design and implementation; and (4) capabilities/competencies. The applicant should clearly delineate the connections between and among each of these sections. For example, the applicant should derive the goals and objectives directly from the problems to be addressed. Similarly, the project design section should clearly explain how the program’s structure and activities will accomplish the goals and objectives identified in the previous section.

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

Statement of the problem.

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

Goals, objectives, and performance measures.

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

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

Program objectives. Applicants should explain how the program will accomplish its goals.

Objectives are specific, quantifiable statements of the project’s desired results. They should be clearly linked to the training and technical assistance strategy identified in the preceding section and measurable.

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 Lodging 4 people x $100 per night x $800

DC 2 nights

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 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.

g. Construction: Not Authorized.

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

i. 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 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 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.

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 https://www.ecfr.gov/current/title-2/part-200/subpart-E#p-200.414(f) https://www.ecfr.gov/current/title-2/part-200/subject-group-ECFR45ddd4419ad436d 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.

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). 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.

Additional Attachments Evidence of nonprofit status Proof of 501(c) (3) , e.g., a copy of the tax exemption letter from the Internal revenue Service, if applicable. Evidence of for-profit status, e.g., a copy of the articles of incorporation, if a pplicable.

Applicants…