oppBJA-2018-14652-cfda16.827-cidBJA-2018-14660-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 to (1) develop and implement automated risk prediction tools and needs assessments to determine who may reoffend; and (2) to build or improve integrated data-sharing and data-analysis capacity and notification systems. This program furthers the Department’s mission in preventing and responding to crime and other public safety-related problems.

Justice Accountability Initiative (JAI): Pilot Projects Using Data-driven Systems To Reduce

Crime and Recidivism

FY 2018 Competitive Grant Announcement

Applications Due: July 30, 2018

Eligibility

Eligible applicants are tribal, state, and local jails, prisons, and law enforcement agencies, 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).

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 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 appropriations.

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

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

Application and Submission Information.

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

BJA-2018-14652

In addition, as discussed below, to the extent the applicant is a state or local government entity, in order to validly accept this award, the chief legal officer of that jurisdiction must properly execute, and the applicant must submit, the specific certifications regarding compliance with certain federal laws. (Note: this requirement does not apply to Indian tribal governments.) (See Appendices D and E)

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 5:00 p.m. eastern time on July 30, 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.

This deadline does not apply to the receipt of certifications regarding compliance with certain federal laws (See Appendices D and E). As explained below, an applicant that is either a state or local government entity may not validly accept an award unless those certifications are submitted to the Office of Justice Programs (OJP) on or before the day the applicant submits the signed award acceptance documents.

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://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. 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-2018-14652

Release date: June 28, 2018 https://webcontact.ncjrs.gov/ncjchat/chat.jsp

Contents A. Program Description

Overview

Program-specific Information

Objectives and Deliverables

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 Table

Appendix B: Application Checklist

Appendix C: Information regarding Communication with DHS and/or ICE

Appendix D: State or Local Government Certification of Compliance with 8 U.S.C. §§ 1373 and 1644

Appendix E: State or Local Government Certification of Compliance with 8 U.S.C. §§ 1226(a) & (c), 1231(a)(4), 1324(a), 1357(a), & 1366(1) & (3) Appendix F: Certain relevant federal laws

Justice Accountability Initiative: Pilot Projects Using Data-driven Systems To Reduce Crime and Recidivism

CFDA # 16.827

A. Program Description

Overview To reduce recidivism and crime, BJA seeks to support innovative and comprehensive approaches to develop and implement improved, more scientifically rigorous, and automated risk prediction tools2 (based on a computer learning algorithm or comparable algorithm), needs assessments, and criminal justice capabilities to determine who may reoffend and to apply the appropriate supervisory supports for prevention (Category 1); and to build or improve integrated and data-sharing capacity and notification systems (e.g., between law enforcement agencies and corrections authorities) (Category 2).

Notice on Priority Consideration and New Special Conditions: There is a new priority consideration for this solicitation (See page 18 for more information). In addition, recipients of awards under this program will be required to comply with several new grant special conditions (See pages 35–36 for more information).

Statutory Authority Awards under this solicitation will be made under statutory authority provided by the Consolidated Appropriations Act, 2018, Public Law No. 115-141, 132 Stat 348, 422.

Program-specific Information By the end of 2016, there were over 6.8 million people under the supervision of adult correctional systems, with nearly 4.6 million on probation or parole.

In the past, probation caseloads dealt with relatively low risk offenders who posed little threat to public safety and had few criminogenic needs, whereas today, caseloads include high risk individuals who pose a greater threat to public safety and have more criminogenic needs that may require additional services and increased supervision. Further, a large proportion of these offenders will recidivate when they return to their communities. According to a 2018 Bureau of Justice Statistics study, 83 percent of offenders recidivate within 9 years.3 While the use of risk assessments has become wider spread, the effectiveness and objectivity of these tools could be improved, updated, or better utilized. The Justice Accountability Initiative (JAI) aims to improve the effectiveness and efficacy of existing risk assessments to become more

2 For purposes of this solicitation, the phrase “risk prediction tool” refers to tools that are automated, computerized, and use a learning algorithm or random forest modeling or another algorithm that is of comparable rigor, and not a linear regression model or actuarial methods. “Risk prediction tool” is not to be mistaken with more commonly used “risk assessment tools,” including COMPAS, ORAS, IORNS, WRN, STRONG, etc.

3 2018 Update on Prisoner Recidivism: A 9-Year Follow-up Period (2005-2014) http://www.bjs.gov/index.cfm?ty=pbdetail&iid=6266 http://www.bjs.gov/index.cfm?ty=pbdetail&iid=6266 scientifically accurate. More comprehensive, scientifically driven, and algorithm-driven risk prediction tools (based on learning models) can improve the accuracy of prediction rates and inform more targeted and customized supervision plans. In addition, it is possible to deter and prevent crime and reduce recidivism by supporting the development and implementation of more rigorous risk prediction tools and needs assessments to inform supervision plans that move away from a one-size-fits-all approach to more stratified and targeted supervision strategies. Successful applications should provide evidence concerning the inter-rater reliability, accuracy measured “out-of-sample” for both classification accuracy and forecasting accuracy, and the predictive validity of the risk prediction tool. BJA expects that successful applicants will provide clear evidence of how these tools can be used to guide the supervision strategies of individuals.

Furthermore, data-sharing systems that are developed and implemented to reduce crime and recidivism, and are integrated across criminal justice stakeholders (i.e., law enforcement, courts, probation, and corrections), may increase cost effectiveness and promote the reinvestment of resources from one sector to another. This approach includes multiple stakeholders in the criminal justice system, and is not limited to data-sharing alone, but is an infrastructure shift that prioritizes programmatic and personnel coordination.

This will achieve improved outcomes with regard to reducing crime and recidivism and enhancing public safety.

Objectives and Deliverables Under the enacted appropriations language, the Justice Reinvestment Initiative (JRI), is to fund “activities related to criminal justice reform and recidivism reduction.” The Justice Accountability Initiative has been developed to meet the JRI goals to reduce recidivism and reform the criminal justice system by improving the effectiveness of risk assessments and to be more data-driven system-wide.

JAI’s objective, in part, is to increase communication, data sharing, and cooperative efforts among corrections, probation, and local law enforcement to better identify and monitor the behavior of released violent offenders. JAI will also help grantees to build data analysis capacity; diagnose and address problems as they arise or share dashboards; conduct social network analysis; and consistently gather and validate intelligence collected in jails and prisons (e.g., security threat groups). Additionally, the proactive sharing of this information will serve to augment the value of predictive policing models and intelligence gathering, and ultimately aid in the reduction of violent crime.

Through this solicitation, BJA is seeking applications under the following two categories:

Category 1: Reduce crime by reducing the risk of recidivism, particularly violent recidivism, by developing, improving, and implementing automated risk prediction tools (algorithms) and capabilities (needs assessments and supervision plans). Automated risk prediction tools will also save in costs and operational efficiency by augmenting both law enforcement’s and probation’s capacities to monitor and prevent violent crime from re-occurring.

Category 2: Develop comprehensive and integrated data-sharing and notification systems about violent offenders being released into their communities (e.g., between law enforcement and corrections authorities).

Both categories have specific objectives and deliverables described under their respective category headings.

Recipients of funding in both categories above, will receive training and technical assistance awarded through a separate FY 2018 competitive grant announcement.

JAI requires results-driven accountability in that award recipients must report back to BJA on the program and its effect(s) on their communities’ safety.

Five-step Process

Applicants should use existing data to explain the problem and propose to meet the objectives and deliverables described below through the following five-step process:

1. Engage stakeholders. The project team includes all agencies and individuals necessary to understand and address the problem.

2. Analyze data and the current landscape (current risk assessment tools used, data systems, policies). The project team uses data to determine the cause(s), symptoms, and scope of the problem, as well as the impediments to addressing the problem. The lead and other stakeholder agencies provide relevant data.

3. Develop a plan, procedures, and strategies. The project team devises a comprehensive set of strategies. The team documents planned activities, including the parties responsible and timelines, and secures buy-in from stakeholders.

4. Implement responses. The project team implements the policies, plans, and strategies, testing for results and incorporating feedback into the implementation process.

5. Measure outcomes. The project team identifies existing and/or potential data sources that are required to conduct outcome evaluations of the proposed project strategies. It assesses the effectiveness of the implemented strategies and activities to address crime and recidivism reduction.

Category 1: Developing, improving, and implementing risk prediction tools and capabilities, and aligning needs assessments, supervision policies, and plans with these systems to reduce recidivism and violent crime. Competition ID: BJA-2018-14660

The objectives and deliverables include the following:

Risk prediction tool (50 percent of the overall project)

• Conduct a review and evaluation of existing risk assessment tools and uses of the tools, evaluating their effectiveness and impact on the reduction of crime and recidivism.

• Develop a new, or improve an existing, risk assessment tool, moving it to a more scientifically rigorous and objective risk prediction tool (based on a computer-driven algorithm) and develop aligned offender monitoring and supervision plans and policies.

• Work with a research partner on both risk assessment tool development and data analysis to add more comprehensive data inputs, rigor, and scientific objectivity into the algorithms.

Data input for the tool development should be comprehensive and include data provided from probation, parole, sheriff’s departments, law enforcement agencies, and corrections

1. Engage stakeholders 2. Analyze data 3. Develop strategies

4. Implement responses

5. Measure outcomes departments. Applicants may consider partnering with an information technology subject matter expert.

• Provide a plan for how agencies will fully develop and implement the automated risk prediction tool, and provide the necessary process and policy changes to support the updated system.

• Provide empirical evidence about the inter-rater reliability and predictive validity of the risk assessment tool selected for development and/or improvement. Risk assessment accuracy should be measured “out-of-sample” for both classification accuracy and forecasting accuracy.

Needs assessment (25 percent of the overall project)

• Develop and/or align existing offender monitoring and supervision assessments to a more comprehensive, objective, evidence-based risk prediction tool to determine the level of risk posed to communities by offenders placed on supervised release. Provide empirical evidence about the inter-rater reliability and predictive validity of the needs assessment tool selected for development and/or improvement.

• Conduct a review of existing needs assessment tools and processes, to evaluate their impact on crime and recidivism.

• Work with a research partner to adopt or improve the needs assessment tool and processes.

• Provide a plan for how agencies will fully update and implement the needs assessment tool, and provide the necessary process and policy changes to support the updated system.

Supervision Plans improvement (25 percent of the overall project)

• Identify and assess current supervision strategies and their impact on crime and recidivism, and train staff in supervision strategies.

• Develop training for staff use of the tool, ensuring optimal implementation of the new or updated tool and capabilities.

• Work with a research partner on at least one assessment of the risk prediction tool, needs assessment tool, and supervision plans to measure their effect on public safety and recidivism.4

Stakeholder Engagement – Work with governmental and nongovernmental stakeholders of the applicant city’s, state’s, or tribe’s criminal justice system to: orient them to JAI; seek input on understanding justice system data and processes, the importance of developing and/or updating a risk prediction tool, and developing a plan in tandem with these stakeholders; involve and inform them of implementation activities; and set up processes for continued stakeholder engagement. Such stakeholders typically include judges, corrections executives (both institutional and community supervision), prosecutors, defense counsel, law enforcement, parole board members, victims’ advocates, business leaders, nonprofit service providers, local private foundations, and leadership from agencies that provide behavioral health treatment and recovery services.

Data Analysis – A comprehensive data analysis and evaluation should include analysis of the following:

4 Examples of such assessments include Mandatory Reentry Supervision: Evaluating the Kentucky Experience and Reducing Incarceration for Technical Violations in Louisiana.

http://www.pewtrusts.org/%7E/media/Assets/2014/06/PSPP_Kentucky_brief.pdf http://www.pewtrusts.org/%7E/media/Assets/2014/06/PSPP_Kentucky_brief.pdf http://www.pewtrusts.org/%7E/media/assets/2014/11/psppreducingincarcerationfortechnicalviolationsinlouisiana.pdf

• Reported crime, arrest, and other data types (e.g., conviction, probation, prison, and jail data) across crime types, including violent crime, and based on up-to-date local data, as available.

• Recidivism rates and how the development and use of the risk prediction tool has affected these rates.

• The capacity and effectiveness of probation strategies to ensure moderate to high risk offenders receive rigorous levels of supervision.

• The analysis and evaluation will be done in consultation with BJA and OJP to provide evidence-based best practices feedback. Award recipients will be expected to submit progress reports and performance measures on a regular basis and publish a final report.

There is a new priority consideration for this solicitation (See page 18 for more information). In addition, recipients of awards under this program will be required to comply with several new grant special conditions (See pages 35–36 for more information). Funds under awards made pursuant to this solicitation may be used to comply with the new grant conditions.

Category 2: Developing comprehensive and integrated data-sharing and notification systems about violent offenders being released into local law enforcement jurisdictions.

Competition ID: BJA-2018-14661

Data-sharing and notification system (50 percent of the overall project)

• Conduct an assessment that indicates the need for a comprehensive and integrated data-sharing system that would focus on crime and recidivism among offenders released into their communities.

• Provide a plan for how the participating agencies will use the integrated data-sharing system to determine an appropriate and accountable offender notification system, monitoring, and supervision case plan.

• Work with a research partner to develop the data-sharing system and data analysis. Data input support for data-sharing system development should be comprehensive and include required data from law enforcement agencies, probation, parole, sheriff’s departments, corrections departments, and court systems.

• Develop training protocols and procedures for staff use of the data-sharing system to ensure optimal implementation of the system’s capabilities.

• Work with a research partner on an offender notification, monitoring, and supervision strategy to assess how the impact of the data-sharing system on crime, recidivism, and public safety will be evaluated.

Build data analysis and criminal justice agencies integration capacity (50 percent of the overall project)

• Improve justice system partners’ abilities to produce a cross-system analysis that provides a better understanding of the contributions of pretrial, probation, parole, reentry, and other services to crime trends. Diagnose and address problems as they arise or share dashboards, and conduct social network analysis.

• Implement and test approaches to consistently gather and validate intelligence collected in jails and prisons (e.g., security threat groups). Develop and implement plans to respond to this intelligence.

• Evaluate the impact of information and intelligence sharing and response strategies.

• Stress the importance of an integrated law enforcement and system-based data-sharing approach that includes multiple stakeholders in the criminal justice system, which is not limited to data-sharing alone, but programmatic and personnel coordination. Comprehensive approaches to reduce crime and recidivism and enhance public safety through the integration of data systems should include proactive policing and officer safety, delivery of appropriate social services, and offender supervision.

• Gather or link multiple data systems to improve implementation of risk and other assessments; identify individuals at high risk of committing, or being victimized by, violent crime.

• Develop and maintain up-to-date Initiative-wide statistics and presentations showing progress of JAI.

There is a new priority consideration for this solicitation (See page 18 for more information). In addition, recipients of awards under this program will be required to comply with several new grant special conditions (See pages 35–36 for more information). Funds under awards made pursuant to this solicitation may be used to comply with the new grant conditions.

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 that 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.

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.

https://www.crimesolutions.gov/

B. Federal Award Information

Category 1 BJA expects to make five awards of up to $2,000,000 each, with an estimated total amount awarded of up to $10,000,000. The period of performance for Category 1 awards will be 24 months, to begin on or about October 1, 2018.

Category 2 BJA expects to make three awards of up to $3,300,000 each, with an estimated total amount awarded of up to $10,000,000. The period of performance for Category 2 awards will be 36 months, 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, BJA will consider, among other factors, the availability of appropriations, when the program or project was last competed, BJA’s strategic priorities, and BJA’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 BJA expects to make any award under this solicitation in the form of a cooperative agreement.

See Administrative, National Policy, and Other Legal Requirements, under Section F. Federal Award Administration Information, for a brief discussion of important statutes, regulations, and award conditions that apply to many (or in some cases, all) OJP grants.

Financial Management and System of Internal Controls Award recipients and sub-recipients (including recipients or subrecipients that are pass-through entities5) must, as described in the Part 200 Uniform Requirements6 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.

5 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.

6 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.

(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.)

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 the OJP Financial Management and System of Internal Controls Questionnaire that OJP requires all applicants 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.

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

Award Special Condition – Withholding of Funds for Action Plan Once awarded, each grant award will have in place a special condition withholding all but $150,000, which will allow award recipients to further establish and refine their comprehensive action plans. Each recipient will not be authorized to obligate, expend, or draw down funds in excess of $150,000 until: (1) the recipient submits the comprehensive action plan no later than 180 days after the final OJP budget approval; (2) BJA approves the action plan; and (3) a Grant Adjustment Notice (GAN) has been issued to remove this condition. Awardees will receive technical assistance directly from BJA and other subject experts to assist with this action plan.

The comprehensive action plan should include:

1. A program plan, including:

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

b) A program and research model that links the problem to the solution(s) to be tested, intended outcomes, and evaluation metrics.

c) The research base or theory of change for proposed strategies and solutions.

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

d) Category 2 only: An evaluation plan, to include ongoing analysis, monitoring, and assessment of the overall project impact.

2. 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.

3. Any additional letters of commitment from external agencies or organizations that are expected to participate in the project. In developing the action plan, it may be necessary to secure additional letters of commitment.

4. Documentation of executive support and commitment of agency resources to the project.

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.

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.7 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

7 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.opm.gov/policy-data-oversight/pay-leave/salaries-wages/salary-tables/18Tables/exec/html/ES.aspx https://www.opm.gov/policy-data-oversight/pay-leave/salaries-wages/salary-tables/18Tables/exec/html/ES.aspx 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 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.

In addition, as discussed in more detail below, to the extent the applicant is a state or local government entity, in order to validly accept this award, the chief legal officer of that jurisdiction must properly execute, and the applicant must submit, the specific certifications regarding compliance with certain federal laws (See Appendices D and E).

(Note: this requirement does not apply to Indian tribal governments.)

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

https://www.ojp.gov/financialguide/DOJ/PostawardRequirements/chapter3.10a.htm 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

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: Program Narrative, Budget Detail Worksheet and Budget Narrative, Position Descriptions for Key Roles, and Letters of Support.

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,” “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. A new applicant entity should attach official legal documents to its application (e.g., articles of incorporation, 501(c)(3) status documentation, organizational letterhead, etc.) to confirm the legal name, address, and EIN entered into the SF-424. OJP will use the System for Award Management (SAM) to confirm the legal name and DUNS number entered in the SF-424; therefore, an applicant should ensure that the information entered in the SF-424 matches its current registration in SAM. See the How To Apply section for more information on SAM and DUNS numbers.

Intergovernmental Review:

This solicitation ("funding opportunity") is subject to Executive Order 12372. An applicant may find the names and addresses of State Single Points of Contact (SPOCs) at the following website: https://www.whitehouse.gov/wp-content/uploads/2017/11/Intergovernmental_-Review-_SPOC_01_2018_OFFM.pdf. If the State appears on the SPOC list, the applicant must contact the State SPOC to find out about, and comply with, the State’s process under E.O. 12372. In completing the SF-424, an applicant whose State appears on the SPOC list is to make the appropriate selection in response to question 19 once the applicant has complied with its State E.O. 12372 process.

(An applicant whose State does not appear on the SPOC list should answer question 19 by selecting the response that the: “Program is subject to E.O. 12372 but has not been selected by the State for review.”)

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

• Written for a general public audience.

• Submitted as a separate attachment with “Project Abstract” as part of its file name.

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

• Include the legal name of the applicant and the project’s title, objectives, design elements, and proposed deliverables

As a separate attachment, the project abstract will not count against the page limit for the program narrative. BJA requests that the abstract be submitted as a text file, such as the Word .doc format.

3. Program Narrative The program narrative should be double-spaced, using a standard 12-point font (Times New Roman preferred); have no less than 1-inch margins; and should not exceed 20 pages.

Pages should be numbered “1 of 20,” “2 of 20,” etc. If the program narrative fails to comply with the length restriction, BJA may consider such noncompliance in peer review and in final award decisions.

The following sections should be included as part of the program narrative8:

8 For information on subawards (including the details on proposed subawards that should be included in the application), see "Budget and Associated Documentation" under Section D. Application and Submission Information.

https://www.archives.gov/federal-register/codification/executive-order/12372.html https://www.whitehouse.gov/wp-content/uploads/2017/11/Intergovernmental_-Review-_SPOC_01_2018_OFFM.pdf https://www.whitehouse.gov/wp-content/uploads/2017/11/Intergovernmental_-Review-_SPOC_01_2018_OFFM.pdf

a. Statement of the Problem

b. Project Design and Implementation

c. Capabilities and Competencies

d. Plan for Collecting the Data Required for this Solicitation’s Performance Measures

OJP will require each successful applicant to submit regular performance data that demonstrate the results of the work carried out under the award (see “General Information about Post-Federal Award Reporting Requirements” in Section F. Federal Award Administration Information). The performance data directly relate to the objectives and deliverables identified under "Objectives and Deliverables" in Section A. Program Description.

Performance measures for this solicitation are listed in Appendix A: Performance Measures Table.

More information on performance measurement at OJP is provided at www.ojp.gov/performance.

The application should demonstrate the applicant’s understanding of the performance data reporting requirements for this grant program and detail how the applicant will gather the required data should it receive funding.

Please note that applicants are not required to submit performance data with the application. Performance measures information is included as an alert that successful applicants will be required to submit performance data as part of the reporting requirements under an award.

Note on Priority Consideration An applicant may receive priority consideration in the review process by explaining how it would address the problem area identified in its application through cooperation with federal immigration authorities, including compliance with 8 USC §§ 1373, 1644, and 1324, participation in a 287 (g) or other cooperation program, honoring requests for notice of release, transfers of custody, and/or short term extensions of custody, and providing access to detention centers so federal immigration authorities may conduct interviews.

If you choose to seek this priority consideration, please explain specifically how you believe these forms of cooperation will address the problem area you have identified, and how you will use these grants funds to achieve this end.

Note on Project Evaluations An applicant that proposes to use award funds through this solicitation to conduct project evaluations should be aware that certain project evaluations (such as systematic investigations designed to develop or contribute to generalizable knowledge) may constitute “research” for purposes of applicable DOJ human subjects protection regulations. However, project evaluations that are intended only to generate internal improvements to a program or service, or are conducted only to meet OJP’s performance measure data reporting requirements, likely do not constitute “research.”

https://www.ojp.gov/performance

Each applicant should provide sufficient information for OJP to determine whether the particular project it proposes would either intentionally or unintentionally collect and/or use information in such a way that it meets the DOJ definition of research that appears at 28 C.F.R. Part 46 (“Protection of Human Subjects”).

“Research,” for purposes of human subjects protection for OJP-funded programs, is defined as “a systematic investigation, including research development, testing and evaluation, designed to develop or contribute to generalizable knowledge.” 28 C.F.R.

46.102(d).

For additional information on determining whether a proposed activity would constitute research for purposes of human subjects protection, applicants should consult the decision tree in the “Research and the protection of human subjects” section of the “Requirements related to Research” webpage of the "Overview of Legal Requirements Generally Applicable to OJP Grants and Cooperative Agreements - FY 2018 Awards," available through the OJP Funding Resource Center at https://ojp.gov/funding/index.htm. Every prospective applicant whose application may propose a research or statistical component also should review the “Data Privacy and Confidentiality Requirements” section on that webpage.

4. Budget and Associated Documentation The Budget Detail Worksheet and the Budget Narrative are now combined…