oppBJA-2018-13614-cfda16.828-cidBJA-2018-13901-instructions..pdf

OMB No. 1121-0329 Approval Expires 11/30/2020

U.S. Department of Justice Office of Justice Programs Bureau of Justice Assistance

The U.S. Department of Justice (DOJ), Office of Justice Programs (OJP) Bureau of Justice Assistance (BJA) is seeking applications for funding associated with the principles underpinning Project HOPE for: (1) states, localities, and tribes to implement or enhance a Swift, Certain, and Fair Supervision Program model; and (2) the Swift, Certain, and Fair Resource Center. This program furthers the Department’s mission by reducing recidivism and therefore reducing crime as part of a comprehensive violent crime reduction strategy.

Innovative Responses to Behavior in the Community: Swift, Certain, and Fair Supervision

FY 2018 Competitive Grant Announcement Applications Due: May 14, 2018

Eligibility

Category 1: Eligible applicants are states, units of local government, and federally recognized Indian tribal governments (as determined by the Secretary of the Interior).

Category 2: Eligible applicants are limited to national-scope private and nonprofit organizations (including tribal nonprofit or for-profit organizations) and colleges and universities, both public and private (including tribal institutions of higher education).

All recipients and subrecipients (including any for-profit organization) must forgo any profit or management fee.

BJA welcomes applications under which two or more entities would carry out the federal award;

however, only one entity may be the applicant. Any others must be proposed as subrecipients (subgrantees).1 The applicant must be the entity that would have primary responsibility for carrying out the award, including administering the funding and managing of the entire project.

BJA may elect to fund applications submitted under this fiscal year (FY) 2018 solicitation in future fiscal years, dependent on, among other considerations, the merit of the applications and on the availability of funding.

1 For additional information on subawards, see "Budget and Associated Documentation" under Section D.

Application and Submission Information.

https://www.usdoj.gov/ https://www.ojp.usdoj.gov/ https://www.bja.gov/ https://www.bja.gov/

BJA-2018-13614

Deadline

Applicants must register with Grants.gov at https://www.grants.gov/web/grants/register.html prior to submitting an application. All applications are due by 11:59 p.m. eastern time on May 14, 2018.

To be considered timely, an application must be submitted by the application deadline using Grants.gov, and the applicant must have received a validation message from Grants.gov that indicates successful and timely submission. OJP urges applicants to submit applications at least 72 hours prior to the application due date, to allow time for the applicant 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.

OJP encourages all applicants to read this Important Notice: Applying for Grants in Grants.gov.

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

Contact Information

For technical assistance with submitting an application, contact the Grants.gov Customer Support Hotline at 800–518–4726, 606–545–5035, at https://www.grants.gov/web/grants/support.html, or at support@grants.gov. The Grants.gov Support Hotline operates 24 hours a day, 7 days a week, except on federal holidays.

An applicant that experiences unforeseen Grants.gov technical issues beyond its control that prevent it from submitting its application by the deadline must email the contact identified below within 24 hours after the application deadline to request approval to submit its application after the deadline. Additional information on reporting technical issues appears under “Experiencing Unforeseen Grants.gov Technical Issues” in the How To Apply section.

For assistance with any unforeseen Grants.gov technical issues beyond an applicant’s control that prevent it from submitting its application by the deadline, or any other requirement of this solicitation, contact the National Criminal Justice Reference Service (NCJRS) Response Center:

toll-free at 800–851–3420; via TTY at 301–240–6310 (hearing impaired only); email grants@ncjrs.gov; fax to 301–240–5830; or web chat at https://webcontact.ncjrs.gov/ncjchat/chat.jsp. The NCJRS Response Center hours of operation are 10:00 a.m. to 6:00 p.m. eastern time, Monday through Friday, and 10:00 a.m. to 8:00 p.m.

eastern time on the solicitation close date.

Grants.gov number assigned to this solicitation: BJA-2018-13614

Release date: March 30, 2018 https://www.grants.gov/web/grants/register.html https://ojp.gov/funding/Apply/Grants-govInfo.htm https://www.grants.gov/web/grants/support.html mailto:support@grants.gov mailto:grants@ncjrs.gov https://webcontact.ncjrs.gov/ncjchat/chat.jsp

Contents A. Program Description

Overview Project-specific Information Objectives and Deliverables (Category 1) Objectives and Deliverables (Category 2)………………………………………………………………..9 Evidence-based Programs or Practices Information Regarding Potential Evaluation of Programs and Activities

B. Federal Award Information Type of Award Financial Management and System of Internal Controls Budget Information Cost Sharing or Matching Requirement Pre-agreement Costs (also known as Pre-award Costs) Limitation on Use of Award Funds for Employee Compensation; Waiver Prior Approval, Planning, and Reporting of Conference/Meeting/Training Costs Costs Associated with Language Assistance (if applicable)

C. Eligibility Information D. Application and Submission Information

What an Application Should Include How To Apply

E. Application Review Information Review Criteria Review Process

F. Federal Award Administration Information Federal Award Notices Administrative, National Policy, and Other Legal Requirements General Information about Post-Federal Award Reporting Requirements

G. Federal Awarding Agency Contact(s) H. Other Information

Freedom of Information Act and Privacy Act (5 U.S.C. 552 and 5 U.S.C. 552a) Provide Feedback to OJP Appendix A: Performance Measures Appendix B: Swift, Certain, and Fair Supervision Program Resource Materials Appendix C: Possible Members of the SCF Supervision Team Appendix D: Sample Program and Research Model Appendix E: Application Checklist

Innovative Responses to Behavior in the Community: Swift, Certain, and Fair

Supervision

CFDA # 16.828

A. Program Description

Overview The purpose of the Innovative Responses to Behavior in the Community: Swift, Certain, and Fair (SCF) Supervision Program (SCF Program) is to provide state and local parole and probation agencies with information, resources, and training and technical assistance (TTA) to improve responses to offender behavior in accordance with the principles of swiftness, certainty, and fairness to prevent recidivism and reduce crime in their jurisdictions.

Through this grant announcement, BJA will select multiple applicants to develop, implement, or enhance an SCF Program model (Category 1). BJA will also select a TTA provider to support the Category 1 grantees and the field at large, and to operate a national resource center (Category 2).

Statutory Authority:

Awards under this solicitation will be made under statutory authority provided by the Consolidated Appropriations Act, 2018.

Project-specific Information At year-end 2015, an estimated 4.6 million adults were under court supervision—the equivalent of about 1 out of every 53 adults in the United States.2 Many do not successfully complete parole or probation because they either fail to comply with their parole or probation conditions or they commit a new crime. Comprehensive crime prevention and public safety strategies must attend to this population, whose contact with the justice system is an opportunity to intervene and decrease the likelihood they will commit future crimes.

This solicitation leverages parole and probation agencies’ abilities to assist in reducing crimes committed by those supervised in the community by utilizing the swift, certain, and fair principles of intervention. The SCF principles are: swiftness—responding to behavior promptly so that offenders connect the response to their behavior; certainty—consistency and predictability of sanctions; and fairness—making sanctions proportionate to negative behavior.

These principles can have a positive impact by reducing antisocial and criminal behavior;

enhancing offenders’ perceptions that supervision decisions are fair, which increases compliance; and increasing collaboration with justice partners. Research shows that taken together, these yield reductions in recidivism and therefore improve public safety. Swiftness, 2Probation and Parole in the United States (2015). Bureau of Justice Statistics, https://www.bjs.gov/content/pub/pdf/ppus15.pdf.

https://www.bjs.gov/content/pub/pdf/ppus15.pdf certainty, and fairness in criminal justice responses are longstanding principles in parole and probation.

The overall purpose of the SCF Program is to expand those principles and test new implementations of SCF responses to increase probation and parole success rates. Additionally, the SCF Program seeks to reduce the number of crimes committed by those under probation and parole supervision, which would in turn reduce crime, decrease admissions to prisons and jails (in a safe, responsible manner), and save taxpayer dollars.

The SCF Program is grounded in research that shows that crime generally is committed by people for whom deferred and low probability threats of severe punishment are less effective than immediate and high probability threats of mild punishment. In addition, a broad body of behavioral research shows that swift and certain rewards for positive behavior can be a powerful incentive to comply with rules.3 Swift and certain responses to violating terms of probation send a consistent message to probationers about personal responsibility and accountability. Last, research has shown that swift and consistent responses to behaviors improve the perception that the system is fair and increases compliance. 4

Given the growing body of research and practice reinforcing the potential of approaches that employ the core SCF principles, BJA is issuing this solicitation to support jurisdictions and agencies interested in developing or enhancing their SCF efforts with implementation models informed by research and responsive to local circumstances. However, every jurisdiction has a unique set of circumstances—the problem(s), environment, and resources are different, and those differences should be reflected in design decisions. For example, the target population, type of recidivism, time from offender behavior to reward or sanction, types of sanctions available, and the level of collaboration among justice partners (e.g., parole and judges) vary by jurisdiction, so their starting points, proposed grant activities, and target outcomes should vary as well. Also, the program design and implementation should incorporate stakeholder input (which includes the voices of individuals under supervision) to yield locally conceived and implemented SCF initiatives that comport with perceptions of fairness.

Hawaii Opportunity Probation with Enforcement (HOPE) Program Many efforts have been made to improve adherence to the SCF principles over the last two decades. The Hawaii Opportunity Probation with Enforcement (HOPE)5 Program, which started in 2004, is the best known large scale implementation of SCF principles. The HOPE model was designed to address particular concerns in Honolulu such as high rates of methamphetamine use among moderate-to-high risk probationers and inadequate means for probation to respond short of revocation, leading to high use of prison under Hawaii’s strict sentencing practices.

Compared to the status quo, HOPE dramatically improves the swiftness and certainty of sanctions for technical violations by adding regular random drug tests, delivering administrative responses within days of a detected violation (rather than allowing more than a dozen violations to pile up over a year or more), and quickly imposing brief jail stays (typically 3 days). Continued compliance is rewarded with reduced drug testing and early termination from supervision, and non-jail sanctions are employed for minor violations by otherwise compliant probationers. Drug treatment is mandated after several positive tests or at the probationer’s request. By addressing

3 See Appendix B.

4 Information from the National Institute of Justice, https://www.nij.gov/topics/corrections/community/drug-offenders/pages/hawaii-hope.aspx.

5 Rated “promising” by CrimeSolutions.gov, see https://www.crimesolutions.gov/ProgramDetails.aspx?ID=49.

https://www.nij.gov/topics/corrections/community/drug-offenders/pages/hawaii-hope.aspx https://www.nij.gov/topics/corrections/community/drug-offenders/pages/hawaii-hope.aspx https://www.crimesolutions.gov/ProgramDetails.aspx?ID=49 every violation made by program participants and responding quickly, HOPE sends a consistent message to probationers about personal responsibility. After 1 year, HOPE probationers were 55 percent less likely to be arrested for a new crime; 72 percent less likely to use drugs; 61 percent less likely to skip appointments with their supervisory officers; and 53 percent less likely to have their probation revoked.6

Following that success, BJA partnered with the National Institute of Justice (NIJ) to test HOPE in four mainland jurisdictions. Initial outcome findings varied across the sites, and underscore the importance of weighing local needs, structure, and laws in developing SCF strategies.

HOPE is just one implementation of the SCF principles which have been implemented in many other jurisdictions—some adopting HOPE policies and practices more or less wholesale; some adapting to local circumstances with substantial variation; and some starting with a blank slate.7 Evaluations of these iterations have shown promise as well as illuminated challenges to successful implementation and improved outcomes.

Please check the following link for SCF-related research:

http://scfcenter.org/resources/resources-research.php.

Innovations Suite The SCF Program is part of BJA’s Innovations in Public Safety portfolio, also known as the “Innovations Suite.” BJA’s Innovations Suite of programs invests in the development of practitioner-researcher partnerships that use data, evidence, and innovation to create strategies that are effective and economical.8 This data-driven approach enables jurisdictions to understand the full nature and extent of the crime challenges they are facing and to direct resources to the highest priorities. The Innovations Suite of programs represents a strategic approach that leverages innovative applications of analysis, technology, and evidence-based practices with the goal of improving performance and making America safer.

Innovations Suite programs, including SCF, are advised to conduct research and evaluation to:

o Develop strategies and partnerships to reduce crime.

o Enhance implementation and accountability.

o Analyze data to focus resources.

o Build communities of practice.

o Sustain effective strategies and initiatives.

Successful partnerships between practitioners and researchers require investments of planning, time, communication, complementary skills, and adequate resources.9

Through this solicitation, BJA seeks applicants in two categories. Both have specific objectives and deliverables described under their respective Category headings:

6 Hawken, A., & Kleiman, M. (2009). Managing drug involved probationers with swift and certain sanctions: Evaluating Hawaii’s HOPE. Washington, DC: U.S. Department of Justice.

7 Hawken, A., & Kulick, J. (2016). Implementation issues in swift certain fair supervision. Perspectives, Spring: 64–77.

8 For more information about the Innovations Suite of programs, see:

https://www.bja.gov/Programs/CRPPE/.

9 For guidance about identifying and working with a research partner, see:

http://www.psnmsu.com/documents/ResearchPartnerQ&A.pdf.

http://scfcenter.org/resources/resources-research.php http://www.bja.gov/CRPPE/SmartSuite https://www.bja.gov/Programs/CRPPE/ http://www.psnmsu.com/documents/ResearchPartnerQ&A.pdf

• Category 1: Implementing and Testing the SCF Principles

• Category 2: Swift, Certain, and Fair Resource Center

Category 1: Implementing and Testing the SCF Principles. Competition ID: BJA-2018- 13901 BJA seeks applicants to develop and enhance SCF principles and implement an SCF Responses Program model to reduce recidivism and provide better outcomes for program participants. Grant funds should be used to establish, expand, or improve SCF strategies to be sustained by the applicant after the award period.

Objectives and Deliverables (Category 1) In order to develop, implement, and sustain SCF-informed strategies, BJA will make up to four awards to applicants to pursue the following objectives:

• Develop and implement supervision strategies based on the SCF principles, including responses to positive and negative client behavior.

• Evaluate the efficacy of those strategies to reduce recidivism.

• Increase the number of supervision decisions (e.g., assignment of conditions of supervision and responses to violations of those conditions, responses to antisocial behavior that do not rise to the level of violating conditions of supervision) that are fair and consistently applied, and with consequences that are transparent.

• Promote and increase collaboration among agencies and officials who work in probation, parole, pretrial, law enforcement, treatment, reentry, and related fields.

• Develop a plan to sustain effective SCF supervision strategies and related collaborations beyond the award period.

• Develop and implement strategies for the identification, targeting, supervision, and treatment of “high risk/high needs” offenders who are being supervised in the community. (This should include a preliminary assessment of whether those high risk/need offenders are also violent offenders who might not be suitable for community supervision).

• Increase the number of participants in programs, based on the SCF model, who believe that the supervision decisions are fair and consistently applied, and the consequences are transparent.

The required deliverables are:

• An “action plan” consisting of a problem analysis, program and evaluation model, summary of strategies and intended outcomes, and a research base for the proposed strategies within 6 months of award. The action plan is envisioned as a product of collaboration among the grantee, supervision agency (if not the grantee), research partner (if applicable), and the SCF Resource Center. For more information about the required action plan, see page 14.

• Written policies or procedures that demonstrate operational changes, as they relate to the project.

• A sustainability plan to demonstrate the SCF strategies and collaborations will continue beyond the award period. The plan should use outcome data to establish the case for continuing the SCF work, identify needed resources to sustain it, and describe how those needs will be met.

• A midterm analysis and report, based on the program and evaluation model (at 18 months).

• A final analysis and report .based on the program and evaluation model.

Consistent with the objectives and deliverables outlined above, applicants should include in their proposals:

• A summary description of the problem to be addressed through this grant.

• A clear demonstration of understanding the SCF principles and the model that is being proposed for consideration.

• A clear demonstration that the applicant and its partners have the authority to implement the required elements of the model, including decision-making about the terms of supervision; the capacity to assess and effectively target moderate-to-high risk offenders; the capacity to issue and serve warrants quickly; drug testing capacity; and access to jail beds, treatment, and other services, as needed.

• Letters on official letterhead that demonstrate a commitment to the proposed initiative, to include the following, if they are members of the applicant’s SCF team:10 o Chief judge o Parole and probation directors o Court administrator o Lead prosecutor or district attorney o Public defender o Chief of police or sheriff o Jail administrator o Other essential partners, consistent with the proposed application and circumstances of the applicant’s jurisdiction

• A clear demonstration that the applicant understands the action research approach to:

collect and analyze data; monitor sanctions, rewards, violations, and recidivism; provide regular report-outs to the SCF team; assess the progress of the SCF initiative; provide data to the SCF Resource Center; and assist the SCF team with timely, complete, and accurate reporting of performance measures.

• Demonstration of agency-wide commitment to align policies and practices with recidivism reduction, public safety goals, and continuous quality improvement.

• Commitment to hire a fulltime, onsite program coordinator to manage the day-to-day operations of the SCF project. The program coordinator should be housed in the parole and probation office, have experience working in the field of criminal justice, and have proven capacity to work effectively with key SCF team members, including the chief judge, court staff, parole and probation, law enforcement, and other partners, where applicable. The program coordinator will work closely with the SCF Resource Center team and the team’s research partner (if applicable) to:

o Build the infrastructure, including policies and procedures, to implement the SCF model.

o Monitor the implementation of the SCF model.

o Identify the TTA needs of SCF team members.

o Continually assess fidelity to the SCF model.

o Facilitate communication and logistics among the site’s SCF team members.

o Identify, collect, and analyze SCF administrative and program data.

10 See Appendix C for the roles and responsibilities of key members of an SCF team. If your initiative/model does not use one of the key members listed, please be sure to explain the roles and responsibilities of the key members of your proposed team.

o Respond to requests for data, reports, and information about the SCF initiative.

o Ensure that the SCF team meets regularly so all the members remain informed of the project’s status and developments.

Priority Consideration Priority consideration will be given to applicants that:

(1) Propose an SCF initiative to reduce violent crime. Applicants are encouraged to propose strategies to reduce recidivism among high risk offenders under supervision who have a history of serious violence and are identified in concert with local and/or state law enforcement. Proposals must include a description of how this group will be identified and demonstrate access to and use of data and law enforcement input.

(2) Propose an approach to assess how their agency’s supervision practices align with the Risk-Needs-Responsivity (RNR) framework and improve alignment as it relates to the target population proposed for the SCF initiative. For example, agencies may use the RNR Simulation Tool,11 or something similar, to assess capacity to provide risk-reducing programs to the target population; then revise program offerings and content based on the results.

Training and Technical Assistance for SCF supervision awardees TTA will be provided by the SCF Resource Center team. The SCF Resource Center team will help each site that receives BJA funding to:

• Understand the importance of each component of a SCF model.

• Develop focused strategies.

• Develop a plan to assess and monitor fidelity.

• Provide training and coaching for team members to enhance program fidelity.

• Understand adaptation and prevent program “drift.”12

• Collect, analyze, interpret, and disseminate data on program outcomes.

• Encourage collaboration.

Category 2: Swift, Certain, and Fair Resource Center. Competition ID: BJA-2018-13902 BJA seeks a highly qualified team of experts to provide training, technical assistance, coaching, and SCF-fidelity oversight to new and previously funded grantees so they can appropriately assess their needs, develop focused strategies, understand the importance of each component of an SCF model, encourage collaboration, and implement their strategies with fidelity. The TTA provider will be expected to work closely with the grantees funded by BJA in Category 1, as well as up to 13 grantees previously funded, and to also work closely with three to four nongrantee jurisdictions to help them establish and implement SCF initiatives with fidelity.

Implementation fidelity is important to the success of SCF initiatives. It is only when effective practices are implemented with fidelity that positive outcomes can be expected. The TTA provider will be responsible for assisting jurisdictions with identifying, assessing, and adhering to the key components of the SCF approach. The TTA provider will also help BJA develop plans and provide coaching for jurisdictions to monitor fidelity of implementation, to understand adaptation and prevent program “drift,” and to measure implementation and outcomes. The TTA provider will also provide coaching for grantee jurisdictions to develop sustainability plans and

11 See https://www.gmuace.org/tools/.

12 This can occur when key components of the model are revised that may not support the objectives of the program, or when attention or commitment to the program starts to wane.

https://www.gmuace.org/tools/ communicate them to relevant stakeholders before the end of their award periods. This assistance is critical to support the effective implementation of SCF initiatives.

The TTA provider will also be expected to provide more general training for the field through webinars, group interactions at conferences or workshops, teleconferences, peer-to-peer consultations, distance learning, and/or web-based assistance.

Objectives and Deliverables (Category 2) To support the development, implementation, and sustainment of SCF-informed strategies, BJA will select a TTA provider to pursue the following objectives:

• Operate the SCF Resource Center, a collection of experts, resources, and assistance accessible online.

• Assist new (FY 2018) and existing grantees in BJA’s SCF Responses Program to complete the objectives and deliverables, as outlined in Category 1, to: develop high performing programs; maintain fidelity to the SCF principles and proposed implementation strategies specific to grantees; develop and track performance measures; collect “real time” feedback and conduct evaluations; and develop and communicate sustainability plans.

• Document implementation lessons learned to advance the state of knowledge about what works, and how it works.

The required deliverables are:

• A guide or template to assist new grantees in developing action plans that will serve as a blueprint to implement their projects. The guide should be designed to capture a problem analysis, program and evaluation models, a summary of strategies and intended outcomes, and a research base for the proposed strategies. It should be available to grantees within 30 days after this TTA award. Grantees will be required to submit action plans to BJA within 180 days of award. See page 14 for more information.

• After-action reports for each onsite TTA engagement.

• A series of resources, such as publications, technical assistance plans, reports, webinars, and other resources, that meet the priority needs of policymakers and practitioners in responding to offender behavior.

• Protocols to help jurisdictions have a clear understanding of SCF principles, common program elements, and related issues.

• A process and materials to ensure that the SCF principles are implemented with fidelity.

• Maintaining and updating the SCF Resource Center website.

BJA expects that the TTA provider will develop the above deliverables in consultation with BJA.

Consistent with the objectives and deliverables outlined above, applicants should include in their proposals:

• A summary description of the problem to be addressed through the TTA, progress made to date, and the need for further support to respond to offender behavior.

• A description of the assistance and training activities to be deployed, which directly relate to the objectives and deliverables outlined in Category 1 of this solicitation.

• A plan to develop and disseminate a model and guide based on extant literature, experience of the sites, and other relevant sources.

• A plan to assess and approve requests from non-grantee jurisdictions requesting TTA.

The Objectives and Deliverables for both Categories 1 and 2 are directly related to the performance measures that demonstrate the results of the work completed, as discussed in Section D. Application and Submission Information, under Program Narrative.

TTA Provider Requirements for Category 2 BJA TTA providers are required to coordinate all TTA activities with BJA’s National Training and Technical Assistance Center (NTTAC). The successful applicant will be required to comply with NTTAC protocols in order to ensure coordinated delivery of services among TTA providers and effective use of BJA TTA grant funding. BJA reserves the right to reasonably modify these protocols at any time, at its discretion.

TTA providers may be required to participate in BJA’s GrantStat. Through GrantStat, BJA management and staff examine the performance of the grant programs funded by BJA by tracking grantee or program performance along several key indicators. GrantStat calls for the collection and analysis of performance data and other relevant grant-level information that enables BJA as well as its TTA partners to be held accountable for the grantee’s and program’s performance as measured against the program’s objectives. In addition, the TTA provider will be required to assist grantees in the collection of performance measurement data.

Last, BJA expects all TTA providers to make ongoing recommendations to BJA on relevant criminal justice research and ways to improve assistance delivered through this solicitation, as well as to coordinate with other BJA TTA providers working in related subject areas or in overlapping jurisdictions to ensure maximum impact of BJA-funded TTA.

Evidence-based Programs or Practices OJP strongly emphasizes the use of data and evidence in policy making and program development in criminal justice, juvenile justice, and crime victim services. OJP is committed to:

• Improving the quantity and quality of evidence OJP generates.

• Integrating evidence into program, practice, and policy decisions within OJP and the field.

• Improving the translation of evidence into practice.

OJP considers programs and practices to be evidence-based when their effectiveness has been demonstrated by causal evidence, generally obtained through one or more outcome evaluations. Causal evidence documents a relationship between an activity or intervention (including technology) and its intended outcome, including measuring the direction and size of a change, and the extent to which a change may be attributed to the activity or intervention. Causal evidence depends on the use of scientific methods to rule out, to the extent possible, alternative explanations for the documented change. The strength of causal evidence, based on the factors described above, will influence the degree to which OJP considers a program or practice to be evidence-based.

The OJP CrimeSolutions.gov website at https://www.crimesolutions.gov is one resource that applicants may use to find information about evidence-based programs in criminal justice, juvenile justice, and crime victim services.

https://www.crimesolutions.gov/

Action research partnerships between researchers and practitioners have great potential to improve practice and policy. NIJ published findings of the Research-Practitioner Partnerships Study, which documents, synthesizes, and shares what makes partnerships between researchers and practitioners successful. See “Recommendations for Collaborating Successfully With Academic Researchers, Findings from the Researcher‐Practitioner Partnerships Study (RPPS).”

For information related to implementation science, applicants may wish to refer to the National Implementation Research Network website.

Information Regarding Potential Evaluation of Programs and Activities The Department of Justice has prioritized the use of evidence-based programming and deems it critical to continue to build and expand the evidence informing criminal and juvenile justice programs to reach the highest level of rigor possible. Therefore, applicants should note that the Office of Justice Programs may conduct or support an evaluation of the programs and activities funded under this solicitation. Recipients and sub-recipients will be expected to cooperate with program-related assessments or evaluation efforts, including through the collection and provision of information or data requested by OJP (or its designee) for the assessment or evaluation of any activities and/or outcomes of those activities funded under this solicitation.

The information or data requested may be in addition to any other financial or performance data already required under this program.

B. Federal Award Information

BJA expects to make awards in each category for the following amounts:

• Category 1: up to four awards of up to $600,000 each, with an estimated total amount awarded of up to $2,400,000

• Category 2: one award of up to $865,000

All awards are for a 36-month period of performance to begin on or about October 1, 2018.

BJA may, in certain cases, provide additional funding in future years to awards made under this solicitation, through continuation awards. In making decisions regarding continuation awards, OJP will consider, among other factors, the availability of appropriations, when the program or project was last competed, OJP’s strategic priorities, and OJP’s assessment of both the management of the award (for example, timeliness and quality of progress reports), and 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

Category 1 BJA expects to make any award under this solicitation in the form of a grant. See Administrative, National Policy, and Other Legal Requirements, under Section F. Federal Award http://www.ncjrs.gov/pdffiles1/nij/grants/243911.pdf http://www.ncjrs.gov/pdffiles1/nij/grants/243911.pdf http://www.ncjrs.gov/pdffiles1/nij/grants/243911.pdf http://nirn.fpg.unc.edu/ http://nirn.fpg.unc.edu/

Administration Information, for a brief discussion of important statutes, regulations, and award conditions that apply to many (or in some cases, all) OJP grants.

Category 2 BJA expects to make any award under this solicitation in the form of a cooperative agreement, which is a type of award that provides for OJP to have substantial involvement in carrying out award activities. See Administrative, National Policy, and Other Legal Requirements, under Section F. Federal Award Administration Information, for a brief discussion of what may constitute substantial federal involvement.

Financial Management and System of Internal Controls Award recipients and subrecipients (including recipients or subrecipients that are pass-through entities13) must, as described in the Part 200 Uniform Requirements14 as set out at 2 C.F.R.

200.303:

(a) Establish and maintain effective internal control over the Federal award that provides reasonable assurance that [the recipient (and any subrecipient)] 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).

(b) Comply with Federal statutes, regulations, and the terms and conditions of the Federal awards.

(c) Evaluate and monitor [the recipient’s (and any subrecipient’s)] compliance with statutes, regulations, and the terms and conditions of Federal awards.

(d) Take prompt action when instances of noncompliance are identified including noncompliance identified in audit findings.

(e) 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 recipient (or any subrecipient)] considers sensitive consistent with applicable Federal, state, local, and tribal laws regarding privacy and obligations of confidentiality.

To help ensure that applicants understand the applicable administrative requirements and cost principles, OJP encourages prospective applicants to enroll, at no charge, in the DOJ Grants Financial Management Online Training, available at https://ojpfgm.webfirst.com/. (This training is required for all OJP award recipients.)

13 For purposes of this solicitation, the phrase “pass-through entity” includes any recipient or subrecipient that provides a subaward ("subgrant”) to a subrecipient (subgrantee) to carry out part of the funded award or program. Additional information on proposed subawards is listed under What an Application Should Include, Section 4c of this solicitation.

14 The "Part 200 Uniform Requirements” means the DOJ regulation at 2 C.F.R Part 2800, which adopts (with certain modifications) the provisions of 2 C.F.R. Part 200.

https://ojpfgm.webfirst.com/

Also, applicants should be aware that OJP collects information from applicants on their financial management and systems of internal controls (among other information) which is used to make award decisions. Under Section D. Application and Submission Information, applicants may access and review a questionnaire—the OJP Financial Management and System of Internal Controls Questionnaire—that OJP requires all applicants (other than an individual applying in his/her personal capacity) to download, complete, and submit as part of the application.

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 OJP approves the budget, the total match amount incorporated into the approved budget becomes mandatory and subject to audit.

Category 1: Award Special Condition – Withholding of Funds for BJA Action Plan Once awarded, each grant award will have in place a special condition withholding all but $200,000, which will allow grantees to establish an action plan within 180 days of receiving final approval of the project’s budget from the Office of the Chief Financial Officer (OCFO). The recipient will not be authorized to obligate, expend, or draw down funds in excess of $200,000 until BJA has reviewed and approved the action plan and a Grant Adjustment Notice has been issued and approved to remove the special condition. The action plan must include:

• A comprehensive project work plan based on a guide provided by BJA’s TTA provider—the

Swift, Certain, and Fair Resource Center—which will guide each grantee in developing the action plan that incorporates the SCF principles and meets the objectives set forth above under Category 1. A completed action plan will include:

o A description of the problem and the data that led to its identification.

o A research and evaluation model that identifies the solution(s) to be tested, intended outcomes, and evaluation metrics, including the research base for proposed strategies (See Appendix D).

o A plan to implement the model, including agencies and actors responsible for revising or developing policy and changing practice.

o An evaluation plan, to include ongoing analysis, monitoring, and assessment of the overall project impact.

• A contract, memorandum of understanding, or other agreement that clearly delineates the role and responsibilities of the research partner, if applicable. This document should establish the authority of the research partner to access agency data, interview personnel, and monitor operations that are relevant to the evaluation of the initiative.

• Letters of commitment from external agencies or organizations that are expected to participate in the project, to the extent that letters have not already been provided.

• Demonstrated executive support and commitment of agency resources to the project.

For additional information on cost sharing and match, see the DOJ Grants Financial Guide at https://ojp.gov/financialguide/DOJ/PostawardRequirements/chapter3.3b.htm.

Pre-agreement Costs (also known as Pre-award Costs) Pre-agreement costs are costs incurred by the applicant prior to the start date of the period of performance of the federal award.

https://ojp.gov/funding/Apply/Resources/FinancialCapability.pdf https://ojp.gov/financialguide/DOJ/PostawardRequirements/chapter3.3b.htm

OJP does not typically approve pre-agreement costs; an applicant must request and obtain the prior written approval of OJP for all such costs. All such costs incurred prior to award and prior to approval of the costs are incurred at the sole risk of the applicant. (Generally, no applicant should incur project costs before submitting an application requesting federal funding for those costs.) Should there be extenuating circumstances that make it appropriate for OJP to consider approving pre-agreement costs, the applicant may contact the point of contact listed on the title page of this solicitation for the requirements concerning written requests for approval. If approved in advance by OJP, award funds may be used for pre-agreement costs, consistent with the recipient’s approved budget and applicable cost principles. See the section on Costs Requiring Prior Approval in the DOJ Grants Financial Guide at https://ojp.gov/financialguide/DOJ/index.htm for more information.

Limitation on Use of Award Funds for Employee Compensation; Waiver With respect to any award of more than $250,000 made under this solicitation, a recipient may not use federal funds to pay total cash compensation (salary plus cash bonuses) to any employee of the 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.15 The 2018 salary table for SES employees is available on the Office of Personnel Management website at https://www.opm.gov/policy-data-oversight/pay-leave/salaries-wages/salary-tables/18Tables/exec/html/ES.aspx. 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. (Non-federal funds used for any such additional compensation will not be considered matching funds, where match requirements apply.) If only a portion of an employee's time is charged to an OJP award, the maximum allowable compensation is equal to the percentage of time worked times the maximum salary limitation.

The Assistant Attorney General for OJP may exercise discretion to waive, on an individual basis, this limitation on compensation rates allowable under an award. An applicant that requests a waiver should include a detailed justification in the Budget Narrative of its application. An applicant that does not submit a waiver request and justification with its application should anticipate that OJP will require the applicant to adjust and resubmit the budget.

The justification should address, in the context of the work the individual would do under the award, the particular qualifications and expertise of the individual, the uniqueness of a service the individual will provide, the individual’s specific knowledge of the proposed program or project, and a statement that explains whether and how the individual’s salary under the award would be commensurate with the regular and customary rate for an individual with his/her qualifications and expertise, and for the work he/she would do under the award.

Prior Approval, Planning, and Reporting of Conference/Meeting/Training Costs OJP strongly encourages every applicant that proposes to use award funds for any conference-, meeting-, or training-related activity (or similar event) to review carefully—before submitting an application—the OJP and DOJ policy and guidance on approval, planning, and reporting of such events, available at https://www.ojp.gov/financialguide/DOJ/PostawardRequirements/chapter3.10a.htm. OJP policy

15 OJP does not apply this limitation on the use of award funds to the nonprofit organizations listed in Appendix VIII to 2 C.F.R. Part 200.

https://ojp.gov/financialguide/DOJ/index.htm https://www.ojp.gov/financialguide/DOJ/PostawardRequirements/chapter3.10a.htm and guidance (1) encourage minimization of conference, meeting, and training costs; (2) require prior written approval (which may affect project timelines) of most conference, meeting, and training costs for cooperative agreement recipients, as well as some conference, meeting, and training costs for grant recipients; and (3) set cost limits, which include a general prohibition of all food and beverage costs.

Costs Associated with Language Assistance (if applicable) If an applicant proposes a program or activity that would deliver services or benefits to individuals, the costs of taking reasonable steps to provide meaningful access to those services or benefits for individuals with limited English proficiency may be allowable. Reasonable steps to provide meaningful access to services or benefits may include interpretation or translation services, where appropriate.

For additional information, see the "Civil Rights Compliance" section under “Overview of Legal Requirements Generally Applicable to OJP Grants and Cooperative Agreements - FY 2018 Awards” in the OJP Funding Resource Center at https://ojp.gov/funding/index.htm.

C. Eligibility Information

For eligibility information, see title page.

For information on cost sharing or match requirements, see Section B. Federal Award Information.

D. Application and Submission Information

What an Application Should Include This section describes in detail what an application should include. An applicant should anticipate that if it fails to submit an application that contains all of the specified elements, it may negatively affect the review of its application; and, should a decision be made to make an award, it may result in the inclusion of award conditions that preclude the recipient from accessing or using award funds until the recipient satisfies the conditions and OJP makes the funds available.

Moreover, an applicant should anticipate that an application that OJP determines is nonresponsive to the scope of the solicitation, or that OJP determines does not include the application elements that BJA has designated to be critical, will neither proceed to peer review, nor receive further consideration. For this solicitation, BJA has designated the following application elements as critical: Abstract, Program Narrative, Budget Detail Worksheet and Budget Narrative, and résumés/curricula vitarum of key personnel.

NOTE: OJP has combined the Budget Detail Worksheet and Budget Narrative in a single document collectively referred to as the Budget Detail Worksheet. See “Budget Information and Associated Documentation” below for more information about the Budget Detail Worksheet and where it can be accessed.

OJP strongly recommends that applicants use appropriately descriptive file names (e.g., “Program Narrative,” “Budget Detail Worksheet,” “Timelines,” “Memoranda of Understanding,” https://ojp.gov/funding/Explore/LegalOverview/index.htm https://ojp.gov/funding/Explore/LegalOverview/index.htm https://ojp.gov/funding/Explore/LegalOverview/index.htm https://ojp.gov/funding/index.htm

“Résumés”) for all attachments. Also, OJP recommends that applicants include résumés in a single file.

Please review the “Note on File Names and File Types” under How To Apply to be sure applications are submitted in permitted formats.

1. 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. Grants.gov and the OJP Grants Management System (GMS) take information from the applicant’s profile to populate the fields on this form. When selecting "type of applicant," if the applicant is a for-profit entity, select "For-Profit Organization" or "Small Business" (as applicable).

To avoid processing delays, an applicant must include an accurate legal name on its SF-

424. On the SF-424, current OJP award recipients, when completing the field for “Legal Name” (box 8a), should use the same legal name that appears on the prior year award document (which is also the legal name stored in OJP’s financial system.) Also, these recipients should enter the Employer Identification Number (EIN) in box 8b exactly as it appears on the prior year award document. An applicant with a current, active award(s) must ensure that its GMS profile is current. If the profile is not current, the applicant should submit a Grant Adjustment Notice updating the information on its GMS profile prior to applying under this solicitation.

A new applicant entity should enter its official legal name in box 8a, its address in box 8d, its EIN in box 8b, and its Data Universal Numbering System (DUNS) number in box 8c of the SF-424.