20CS07 Dosage Capacity Building Final.pdf

20CS07

The National Institute of Corrections (NIC) is seeking applications for funding under the Fiscal Year (FY) 2020. It is anticipated that this will be a multi-year initiative to implement the NIC dosage probation model in identified agencies in the State of Minnesota.

NIC FY 2020 Building the Foundation for Dosage Probation within the State of Minnesota

Eligibility

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

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

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

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

Deadline

Applicants must register with Grants.gov prior to submitting an application. NIC encourages applicants to register several weeks before the application submission deadline. In addition, NIC urges applicants to submit applications 72 hours prior to the application due date. All applications are due to be submitted and in receipt of a successful validation message in Grants.gov by 11:59 p.m. eastern time on June 22, 2020.

Late applications are neither reviewed nor considered.

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

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

Contact Information

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

For technical assistance with submitting an application, contact the Grants.gov Customer Support Hotline at 800-518-4726 or 606-545-5035, or via e-mail to support@grants.gov. Hotline hours of operation are 24 hours a day, 7 days a week, except federal holidays.

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

Grants.gov number assigned to this announcement: 20CS07 Release date: April 22, 2020 mailto:leville@bop.gov mailto:support@grants.gov mailto:BOP-NIC/General@bop.gov

Contents

Contents NIC FY 2020 Building the Foundation for Dosage Probation within the State of Minnesota

Eligibility

Deadline

Contact Information

NIC FY 2020 Building the Foundation for Dosage Probation State of Minnesota

(CFDA # 16.602)

A. Program Description

Overview

Program-Specific Information

Goals

Objectives

Deliverables

B. Federal Award Information

Financial Management and System of Internal Controls

Budget Information Cost Sharing or Matching Requirement

Pre-Agreement Cost Approvals

Limitation on use of award funds for employee compensation; waiver

C. Eligibility Information Cost sharing or match requirement

Limit on number of application submissions

D. Application and Submission Information

What an Application Should Include Information to Complete the Application for Federal Assistance (SF-424)

Intergovernmental review

Project Abstract

Program Narrative

Statement of the problem

Project design and implementation

Logic model

Timeline or Milestone Chart

Capabilities and competencies, Résumés of all key personnel

Letters of Support/Memoranda of Understanding

Budget Detail Worksheet and Budget Narrative

Budget Detail Worksheet

Budget Narrative

Indirect Cost Rate Agreement (if applicable)

Tribal Authorizing Resolution

Applicant Disclosure of High Risk Status

Disclosure of Lobbying Activities

Additional Attachments

How to Apply Registering with Grants.gov

Browser Information

Attachments

File names and file types

All applicants are required to complete the following steps:

Registration and Submission Steps

Acquire or maintain registration with the System for Award Management (SAM)

Acquire an Authorized Organization Representative (AOR) and a Grants.gov username and password

Search for the funding opportunity on Grants.gov

How to Submit an Application to the National Institute of Corrections via Grants.gov Grants.gov applicants can apply online using Workspace

Applicant Support

Timely Receipt Requirements and Proof of Timely Submission

Duplicate applications

Experiencing Unforeseen Grants.gov Technical Issues

E. Application Review Information Selection Criteria

Programmatic Review (40)

Organizational Review (35)

Management/Administrative Review (25)

Review Process

F. Federal Award Administration Information Federal Award Notices

Administrative, National Policy, and Other Legal Requirements

Plain Language

Section 508

Paperwork Reduction Act

G. Federal Awarding Agency Contact(s)

H. Other Information Provide Feedback to NIC

NIC FY 2020 Dosage Probation: Capacity Building State of Minnesota

(CFDA # 16.602)

A. Program Description

Overview

The traditional approach of probation supervision in the United States focuses on accountability and fixed terms of probation. Many jurisdictions deem probation “successful” by measuring the number of contacts they make with an offender, the conditions an offender completes, or the amount of time an offender serves on probation. As caseloads grow and criminal justice budgets continue to shrink, practitioners and legislators alike are looking for justice interventions that have better long-term outcomes. Only until recently has community corrections benefitted from specific research with identified methods of reducing offender recidivism. Research indicates that certain programs and intervention strategies, when applied under certain conditions, produce measureable reductions in recidivism. This same research suggests that few community supervision agencies are using these effective interventions and principles [see McGuire,(2002);

Sherman et al, (1998), Aos (1998) on cost-benefit analysis and specific clinical trials (Henggeler et al, (1997); Meyers et al, (2002) on specific clinical trials)].

To bring this research to practice, NIC launched the Evidence-Based Policy and Practice Initiative, which incorporated many of these research findings. One result of the initiative was the “box set,” a collection of documents focusing on the implementation of evidence-based principles (EBP) in community corrections agencies.

NIC approaches risk and recidivism reduction with an integrated model that emphasizes the implementation of interventions based on proven principles associated with behavioral changes, the development of understanding and commitment to risk reduction within correctional organizations, and collaboration with other criminal justice stakeholders and service providers to enhance delivery. The integrated approach for reducing offender risks has guiding principles and roles for courts, prosecutors and defense attorneys, pretrial, probation, and treatment providers.

The box set provides an overview and outlines the roles of stakeholders in reducing offender risk. http://nicic.gov/EBPBoxSet

In an effort to bring theory to practice, NIC identified eight of these principles in its publication “Implementing Evidence-Based Practice in Community Corrections: The Principles of Effective Interventions” https://s3.amazonaws.com/static.nicic.gov/Library/019342.pdf

Building on our previous work, NIC is interested in building and testing a model which links the duration of probation supervision to an optimal amount of intervention based on the individual assessed criminogenic needs focusing on long term risk reduction.

http://nicic.gov/EBPBoxSet https://s3.amazonaws.com/static.nicic.gov/Library/019342.pdf

The proposed dosage model of probation suggests that the length of supervision should be determined by the number of hours of intervention necessary to reduce risk, rather than an arbitrarily or customarily established amount of time.

Through a previously awarded cooperative agreement, the concept was explored and an initial model was developed to include the activities, processes, and objectives that a jurisdiction would carry out at the individual case, agency, and system levels to implement dosage probation as a risk reduction intervention. The model was introduced through the publication of a monograph entitled Dosage Probation: Rethinking the Structure of Probation Sentences (Carter & Sankovitz, 2014).

Program-Specific Information

The structure of this multi-phased initiative will take each of the, NIC identified, counties through the prescribed preparation, planning and implementation activities. This cooperative agreement will focus on the preparation phase which is intended to position the sites for successful planning and implementation of the dosage model. The deliverables in this award will focus on building the foundation for the subsequent phases. It is also intended to determine if a county has built a sufficient foundation to move to the planning phase.

In the NIC publication, “Dosage Probation: A Prescription Based on Two Pilot Sites Experiences”, outlines the lessons learned from utilizing the dosage probation model of preparation, planning and implementation in two county level probation departments; Napa County, California and Washington County, Minnesota.

https://s3.amazonaws.com/static.nicic.gov/Library/Dosage-White-Paper-NIC-CEPP.pdf

Building on the successes of utilizing the dosage model of preparation, planning and implementation in Washington County, MN, NIC intends to begin the scaling up process within the state of Minnesota. In doing so, we have identified Dodge, Fillmore, and Olmsted Counties, as sufficiently ready to begin this phase of work. Additionally, NIC will identify one additional county that is within the Minnesota Department of Corrections who we believe will be ready to begin the preparation phase.

The awardee will deliver all preparation activities outlined in the deliverables of this cooperative agreement in a manner that builds strong teams and alliances within varied stakeholder groups, prepare the teams for long-term work, and guide them through implementation science principles to best position them for successfully implementing and sustaining the principles of the dosage probation model.

Goals:

To successfully prepare identified Minnesota county and state probation offices to begin the planning phase for implementation of the dosage probation model.

https://s3.amazonaws.com/static.nicic.gov/Library/027940.pdf https://s3.amazonaws.com/static.nicic.gov/Library/Dosage-White-Paper-NIC-CEPP.pdf

Objectives:

Identified Minnesota county and state probation offices will complete the sequential activities outlined in the preparation phase of the dosage probation model.

Deliverables

1) Facilitate the Preparation phase of the dosage probation model with Dodge, Fillmore and

Olmsted County’s (DFO) MN to include:

a. Convene stakeholder group from DFO stakeholders to determine the dosage policy team structure, to include treatment service provider(s).

b. Develop a Dosage policy team and workgroup with key stakeholders that will guide the planning and implementation of dosage probation in the DFO counties, to include treatment service provider(s).

c. Anticipate a minimum of two sites visits per site to complete this deliverable.

2) Facilitate the preparation phase of the dosage model with a county in the Minnesota Department of Corrections, to include:

a. Convene stakeholder group from a county within the MN Department of Corrections, to include treatment service provider(s).

b. Develop a dosage policy team and dosage workgroup with key stakeholders that will guide the planning and implementation of dosage probation within the MN Department of Corrections, to include treatment service provider(s).

c. Anticipate a minimum of two site visits to complete this deliverable.

3) Develop Dosage Probation Logic Model for Dodge, Fillmore, Olmsted (DFO) and one county in the MN Department of Corrections with stakeholder policy team and treatment service providers’ direct participation. These complete logic models will serve as the foundational document that will guide the planning phase activities. The logic models should provide sufficient details and will position the sites for a successful planning phase. The activities outlined in the completed logic models will form the scope of work and funding in a subsequent cooperative agreement. Anticipate a minimum of four site visits to complete this deliverable. The developed logic models will have, at minimum, the components displayed in the following link:

https://s3.amazonaws.com/static.nicic.gov/UserShared/logic.jpg

4) Submit written recommendations, to NIC, on which dosage policy teams are prepared to begin formal planning which is the next phase of the dosage model.

In the event that on-site travel is not possible because of governmental travel restrictions, the vendor will work with NIC manager to determine alternate modalities to meet the goals of the cooperative agreement. The vendor may be expected to perform one or more of the cooperative agreement activities on a virtual platform effectively.

B. Federal Award Information

NIC expects to make one award for as much as 150,000.00 for a 12-month project period, beginning on July 10, 2020.

If the awardee demonstrates significant progress toward implementing project activities and achieving project goals, NIC may, in certain cases, provide supplemental funding for FY 2021 and FY 2022 to the awardee. With the supplemental funding, the project period can be extended up to two additional 12-month increments for an overall project period of 36 months. Important considerations in decisions regarding supplemental funding include, among other factors, the availability of funding, strategic priorities, assessment of the quality of the management of the award (for example, timeliness and quality of progress reports), and assessment of the progress of the work funded under the award.

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

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

Financial Management and System of Internal Controls

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

200.303:

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

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

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

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

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

Budget Information

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

Pre-Agreement Cost Approvals NIC does not typically approve pre-agreement costs; an applicant must request and obtain the prior written approval of NIC for all such costs. If approved, pre-agreement costs could be paid from grant funds consistent with a grantee’s approved budget, and under applicable cost standards. However, all such costs prior to award and prior to approval of the costs are incurred at the sole risk of an applicant.

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

Limitation on use of award funds for employee compensation; waiver With respect to any award of more than $250,000 made under this solicitation, recipients may not use federal funds to pay total cash compensation (salary plus cash bonuses) to any employee of the award recipient at a rate that exceeds 110 percent of the maximum annual salary payable to a member of the Federal Government’s Senior Executive Service (SES) at an agency with a Certified SES Performance Appraisal System for that year. The 2020 salary table for SES employees is available at the Office of Personnel Management website. Note: A recipient may compensate an employee at a greater rate, provided the amount in excess of this compensation limitation is paid with non-federal funds. (Any such additional compensation will not be considered matching funds where match requirements apply.)

C. Eligibility Information

For additional eligibility information, see the title page.

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

Limit on number of application submissions If an applicant submits multiple versions of the same application, NIC will review only the most https://www.opm.gov/policy-data-oversight/pay-leave/salaries-wages/2019/executive-senior-level recent system-validated version submitted. For more information on system-validated versions, see How To Apply.

D. Application and Submission Information

What an Application Should Include

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

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

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

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

Information to Complete the Application for Federal Assistance (SF-424) The SF-424 is a required standard form used as a cover sheet for submission of pre- applications, applications, and related information. This form can be found on Grants.gov and NIC’s website https://nicic.gov/invitations-bid-and-requests-proposal.

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

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

• written for a general public audience;

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

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

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

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

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

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

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

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

Statement of the problem.

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

Goals, objectives, and performance measures.

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

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

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

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

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

Objective Performance Measure(s)

Description Data Grantee Provides

Development of Dosage Policy team for each county

Vendor complete two site visits to facilitate team building

Policy teams will be composed of key decision makers that are need to develop policy and practice of the dosage model in their jurisdiction

Vendor submit names and recommendations of which counties will have a policy team.

Submit monthly policy team notes.

Completed Logic Model for each county.

Vendor submits draft to NIC for review

Completed logic model will provide sufficient detail to inform the planning phase of work.

Submits final logic model from DFO and Minnesota DOC county probation office

Final team recommendation for moving to planning phase

Vendor will complete minimum of 6 site visits to complete all work related to the preparation phase of the dosage model

Based on quality and commitment of engagement during the planning phase, the vendor will make recommendations for future dosage work.

Submit final recommendations to NIC for which teams will move forward to the planning phase of the dosage model.

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

Project design and implementation

Applicants should detail how the project will operate throughout the funding period and describe the strategies that they will use to achieve the goals and objectives identified in the previous section. Applicants should describe how they will complete the deliverables stated in the Goals, Objectives, and Deliverables section on page 5. NIC encourages applicants to select evidence-based practices for their programs.

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

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

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

Capabilities and competencies, Résumés of all key personnel This section should describe the experience and capability of the applicant organization and any contractors or subgrantees that the applicant will use to implement and manage this effort and its associated federal funding, highlighting any previous experience implementing projects of similar design or magnitude. Applicants should highlight their experience/capability/capacity to manage subawards, including details on their system for fiscal accountability. Management and staffing patterns should be clearly connected to the project design described in the previous section. Applicants should describe the roles and responsibilities of project staff and explain the program’s organizational structure and operations. Applicants should include a copy of an organizational chart showing how the organization operates, including who manages the finances; how the organization manages subawards, if there are any; and the management of the project proposed for funding.

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

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

description of the partner’s current role and responsibilities in the planning process and expected responsibilities when the program is operational; and estimate of the percentage of time that the partner will devote to the planning and operation of the project.

Budget Detail Worksheet and Budget Narrative

Applicants should provide a budget that (1) is complete, allowable, and cost-effective in relation to the proposed activities; (2) shows the cost calculations demonstrating how they arrived at the total amount requested; and (3) provides a brief supporting narrative to link costs with project activities. The budget should cover the entire award period. Preagreement cost approvals. For information on pre-agreement costs, see Section B. Federal Award Information.

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

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

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

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

Noncompetitive procurement contracts in excess of simplified acquisition threshold. If an applicant proposes to make one or more non-competitive procurements of products or services, where the noncompetitive procurement will exceed the simplified acquisition threshold (also known as the small purchase threshold), which is currently set at $250,000, the application should address the considerations outlined in 2 C.F.R.200.317 - 200.317.

Indirect Cost Rate Agreement (if applicable) Indirect costs are allowed only if the applicant has a current federally approved indirect cost rate, this requirement does not apply to units of local government. Attach a copy of the federally approved indirect cost rate agreement to the application. Applicants that do not have an approved rate may request one through their cognizant federal agency, which will review all documentation and approve a rate for the applicant organization, or, if the applicant’s accounting system permits, costs may be allocated in the direct cost categories. Indirect costs may be charged to an award only if: The recipient has a current (unexpired), federally approved indirect cost rate; or the recipient is eligible to use, and elects to use, the “de minimus” indirect cost rate described in the Part 200 Uniform Requirements as set out at 2 C.F.R. 200.414

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

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

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

• date the applicant was designated high risk;

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

• reasons for the high risk status as set out by the federal awarding agency.

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

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

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

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

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

NIC seeks this information to help avoid any inappropriate duplication of funding. Leveraging multiple funding sources in a complementary manner to implement comprehensive programs or projects is encouraged and is not seen as inappropriate duplication.

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

• the federal or state funding agency;

• the solicitation name/project name; and

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

Federal or State Funding Agency

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

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

HHS/ Substance Abuse & Mental Health Services Administration

Drug Free CSommuAnities

MjaPne.doeL@usEdoj.gov https://www.grants.gov/documents/19/217976/SFLLL_2_0-V2.0.pdf/ad05c401-3c9c-47d0-afec-7ee26491c878?version=1.0&t=1516738837999 mailto:MjaPne.doeL@usEdoj.gov mailto:john.doe@hhs.gov

Applicants should include the table as a separate attachment, with the file name “Disclosure of Pending Applications,” to their application.

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

How to Apply Applicants must register in and submit applications through Grants.gov, a “one-stop storefront” to find federal funding opportunities and apply for funding. Find complete instructions on how to register and submit an application here. Applicants that experience technical difficulties during this process should call the Grants.gov Customer Support Hotline at 800-518-4726 or 606–545– 5035, 24 hours a day, 7 days a week, except federal holidays.

Registering with Grants.gov A one-time process; however, processing delays may occur, and it can take several weeks for first-time registrants to receive confirmation and a user password. NIC encourages applicants to register several weeks before the application submission deadline. In addition, NIC urges applicants to submit applications 72 hours prior to the application due date to allow time to receive validation messages or rejection notifications from Grants.gov, and to correct in a timely fashion any problems that may have caused a rejection notification.

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

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

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

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

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

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

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

format.

All applicants are required to complete the following steps:

NIC may not make a federal award to an applicant until the applicant has complied with all applicable DUNS and SAM requirements. If an applicant has not fully complied with the requirements by the time the federal awarding agency is ready to make a federal award, the federal awarding agency may determine that the applicant is not qualified to receive a federal award and use that determination as a basis for making a federal award to another applicant.

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

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

Acquire or maintain registration with the System for Award Management (SAM) SAM is the repository for standard information about federal financial assistance applicants, recipients, and subrecipients. NIC requires all applicants (other than individuals) for federal financial assistance to maintain current registrations in the SAM database. Applicants must be registered in SAM to successfully register in Grants.gov, failure to register with SAM will prevent your organization from applying through Grants.gov, . Applicants must update or renew their SAM registration annually to maintain an active status.

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

Access information about SAM registration procedures here.

http://www.dnb.com/ https://www.grants.gov/web/grants/applicants/organization-registration/step-1-obtain-duns-number.html https://www.grants.gov/web/grants/applicants/organization-registration/step-1-obtain-duns-number.html https://www.sam.gov/SAM/pages/public/generalInfo/aboutSAM.jsf

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

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

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

Search for the funding opportunity on Grants.gov

Use the following identifying information when searching for the funding opportunity on Grants.gov. The Catalog of Federal Domestic Assistance number for this solicitation is 16.602 and the funding opportunity number is NIC-20CS07.

Access Funding Opportunity and Application package from Grants.gov. Select “Apply for Grants” under the “Applicants” column. Enter you email address to be notified of any changes to the opportunity package before the closing date. Click the Workspace icon to use Grants.gov Workspace.

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

Submitting well ahead of the deadline provides time to correct the problem(s) that caused the rejection. Important: NIC urges applicants to submit applications at least 72 hours prior to the application due date to allow time to receive validation messages or rejection notifications from Grants.gov, and to correct in a timely fashion any problems that may have caused a rejection notification.

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

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

http://www.grants.gov/web/grants/applicants/organization-registration.html http://www.grants.gov/web/grants/register.html

Below is an overview of applying on Grants.gov. For access to complete instructions on how to apply for opportunities, refer to: https://www.grants.gov/web/grants/applicants/workspace-overview.html

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

• Complete a Workspace: Add participants to the workspace to work on the application together, complete all the required forms online or by downloading PDF versions, and check for errors before submission. The Workspace progress bar will display the state of your application process as you apply. As you apply using Workspace, you may click the blue question mark icon near the upper-right corner of each page to access context-sensitive help.

Adobe Reader: If you decide not to apply by filling out webforms you can download individual PDF forms in Workspace. The individual PDF forms can be downloaded and saved to your local device storage, network drive(s), or external drives, then accessed through Adobe Reader.

NOTE: Visit the Adobe Software Compatibility page on Grants.gov to download the appropriate version of the software at: https://www.grants.gov/web/grants/applicants/adobe-software-compatibility.html

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

Complete SF-424 Fields First: The forms are designed to fill in common required fields across other forms, such as the applicant name, address, and DUNS Number. Once it is completed, the information will transfer to the other forms.

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

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

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