SMARTFY15AWA.pdf

OMB No. 1121-0329

U.S. Department of Justice Approval Expires 07/31/2016

Office of Justice Programs

Office of Sex Offender Sentencing, Monitoring, Apprehending, Registering and Tracking

The U.S. Department of Justice (DOJ), Office of Justice Programs (OJP), Office of Sex Offender Sentencing, Monitoring, Apprehending, Registering and Tracking (SMART), is pleased to announce that it is seeking applications for funding under the SMART Office FY 2015 Support for Adam Walsh Act Implementation Grant Program. This program furthers the Department’s mission by assisting states, the District of Columbia, territories and certain federally recognized Indian tribes with implementation and ongoing maintenance of requirements under the Adam Walsh Child Protection and Safety Act of 2006, specifically Subtitle A of Title I, the Sex Offender Registration and Notification Act (SORNA).

SMART FY 2015 Support for Adam Walsh Act Implementation Grant Program

Eligibility Eligible applicants are states, the District of Columbia, the principal U.S. territories, and federally recognized Indian tribes that are eligible under SORNA section 127 to carry out the functions of SORNA and have elected to do so. Jurisdictions that have not previously received funding under this program are strongly encouraged to apply.

Tribal applicants must identify eligibility status by indicating that the tribe is eligible to and has elected to carry out the requirements of SORNA under section 127 and has not delegated its duties since its election. Tribes that have elected to carry out the requirements of SORNA must submit the tribal resolution which documents the tribe’s election to do so.

Preference will be given to the following jurisdictions: 1) State and territorial applicants that have already implemented SORNA or have submitted a reallocation request to the SMART Office or

2) Tribal applicants that have already implemented SORNA or submitted a substantial implementation package to the SMART Office, or submitted a request for additional time to implement SORNA.

Deadline Applicants must register with Grants.gov prior to submitting an application. All applications are due to be submitted and in receipt of a successful validation message in Grants.gov by 11:59 p.m. eastern time on April16, 2015.

All applicants are encouraged 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.

[Funding Opportunity Number: SMART-2015-4074]

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

Applicants that experience unforeseen Grants.gov technical issues beyond their control that prevent them from submitting their application by the deadline must e-mail the SMART Office contact identified below within 24 hours after the application deadline and request approval to submit their application. Additional information on reporting technical issues is found under “Experiencing Unforeseen Grants.gov Technical Issues” in the How to Apply section.

For assistance with any other requirements of this solicitation, contact Victoria Jolicoeur, Program Specialist, by telephone at (202) 307-5134, or by e-mail at Victoria.Jolicoeur@ojp.usdoj.gov, or Faith Baker, Associate Director, by telephone at (202) 305- 2586, or by e-mail at Faith.Baker@usdoj.gov.

Grants.gov number assigned to this announcement: SMART-2015-4074

Release date: January 29, 2015

Contents A. Program Description

Overview

Program Specific Information

Goals, Objectives, and Deliverables

B. Federal Award Information

Type of Award

Budget Information

Cost Sharing or Match Requirement

Pre-Agreement Cost Approvals

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

Limit on Number of Application Submissions

D. Application and Submission Information

What an Application Should Include

How to Apply

E. Application Review Information

Selection Criteria

Review Process

F. Federal Award Administration

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

Provide Feedback to OJP

Application Checklist

SMART FY 2015 Support for Adam Walsh Act Implementation Grant Program

CFDA # 16.750

A. Program Description

Overview The Office of Sex Offender Sentencing, Monitoring, Apprehending, Registering, and Tracking (SMART) Support for Adam Walsh Act Implementation Grant Program assists jurisdictions with developing and/or enhancing programs designed to implement the Sex Offender Registration and Notification Act (SORNA). SORNA (42 U.S.C. § 16901, Title I) was enacted to protect the public by establishing a comprehensive national system of standards for the registration and notification of convicted sex offenders.

The term jurisdiction is defined in the SORNA national guidelines as any State of the United States, the District of Columbia, the principal U.S. territories and federally recognized Indian tribes to the extent provided by SORNA section 127.

Adam Walsh Act Implementation Grant Program–Specific Information The Support for Adam Walsh Act (AWA) Implementation Grant Program assists jurisdictions with developing and/or enhancing programs designed to implement requirements of SORNA. In summary, SORNA requires: (1) all States, the District of Columbia, the principal U.S. territories, and participating federally recognized Indian tribes to maintain a sex offender registry; and (2) sex offenders to register and maintain a current registration in each jurisdiction where the offender resides, is an employee, or is a student. SORNA also sets forth requirements for sex offender registries, to include: specified required information, duration of registration, and in-person verification of sex offender identity as well as participation in the National Sex Offender Public Website (NSOPW), and the utilization of the SORNA Exchange Portal. For more specific information about compliance with SORNA and access to the National Guidelines and Supplemental Guidelines on Sex Offender Registration and Notification, please visit www.smart.gov/sorna_tools.htm#sornaguidelines. For information and resources on SORNA, visit www.smart.gov.

Goals, Objectives, and Deliverables The SMART Office is interested in proposals that facilitate, enhance and maintain jurisdictional implementation of SORNA.

For jurisdictions that have not yet substantially implemented SORNA, applicants must explain how the proposed project will bring the jurisdiction closer to implementation. Discussion of a jurisdiction’s planned activities should include information regarding the jurisdiction’s SORNA implementation working group. The working group plan should include a list of the working group members and their responsibility regarding SORNA implementation. It is expected that successful grantees will report on their jurisdiction’s working group meetings in their quarterly progress reports. This requirement does not apply to jurisdictions that have already been found to be substantially implementing SORNA.

For those jurisdictions that have already substantially implemented, the application must explain how the proposed project will either support continued compliance with SORNA or enhance their registration/notification program.

In developing and/or enhancing efforts or programs designed to implement or maintain compliance with SORNA, applicants may propose specific strategies and projects including, but not limited to, the following examples:

Examples of strategies and projects to develop or enhance jurisdiction-wide SORNA implementation programs or functions:

All applicants:

Enhancing infrastructure to assist implementation of SORNA, such as for the collection, storage, submission or analysis of sex offender biometric data (finger and palm prints) and DNA. See budget information on page 6 including referenced footnote for more information.

Developing or enhancing law enforcement and other criminal justice agency information sharing at the jurisdiction level as well as between and among jurisdiction level agencies and local level agencies.

Implementing records management projects, such as converting documents to digital format as required by SORNA.

Providing support for coordinated interagency efforts to enhance implementation of SORNA requirements.

Developing and implementing training for law enforcement and other criminal justice agency personnel responsible for sex offender registration, notification, monitoring, or management, Enhancing address verification tactics, collaborating with other jurisdictions and agencies on absconder investigations, and expanding community education and prevention programs related to sex offender registration, notification, or management.

Tribal applicants:

Tribes that have elected to carry out the requirements of SORNA are encouraged to apply for funding to support SORNA implementation activities carried out by a consortium of tribes that have elected to implement SORNA. Several tribes may choose to form a consortium to share resources (e.g., hardware, digital fingerprint equipment, kiosks; joint staff or shared registry office space; , share a public website; or collaborate on enforcement activities or other facilities used for registration. An application to fund such a collaborative approach or project must include supporting documentation, such as an interagency agreement, a memorandum of understanding, or a letter of cooperation, which demonstrates the collaborative endeavor from each member jurisdiction of the consortium.

Tribes that have been found to have substantially implemented SORNA may apply for funding to create and improve sustainment strategies, including but not limited to developing community education programs on sex offender topics or collaborations with intra–tribal organizations including victim service agencies, courts, probation, schools and other entities. An application to fund such a collaborative approach or project must include supporting documentation from the included tribal organizations detailing how the collaboration will be effectuated. The application should also detail how such strategies will sustain and support the tribe’s sex offender registration and notification program.

Tribes that have been found to have substantially implemented SORNA may apply for funding to develop or enhance their inter-jurisdictional cooperation, including but not limited to information-sharing infrastructure improvement.

States, Territories and the District of Columbia:

According to the SORNA national guidelines, jurisdictions may carry out sex offender registration and notification functions through their political subdivisions, to include units of local government. Previous state recipients of AWA Implementation grants that have delegated sex offender registration and notification functions to political subdivisions are encouraged to include support for local units of government in their project activities.

States may apply to support efforts of local or state units of government (including P.L.

280 tribes) to develop or enhance their sex offender registration and notification functions as they pertain to tribal nations that have been delegated to the state for the purpose of substantial implementation of SORNA.

State jurisdictions that include P.L. 280 tribes are encouraged to design projects that address SORNA implementation as it relates to these tribes.

State jurisdictions that have Tribal SORNA Jurisdictions within their borders may apply for funding to enhance their collaboration with SORNA tribes including but not limited to enhancing information sharing such as tribal access to data input into NCIC/NSOR . An application to fund such a collaborative approach or project must include supporting documentation, such as an interagency agreement, a memorandum of understanding, or a letter of cooperation, which demonstrates the collaborative endeavor from each member jurisdiction involved in the collaboration.

Additional Information Required State and territory applicants that are eligible to receive Byrne/JAG reallocation funding should describe how the project complements the work that the jurisdiction plans to perform with that reallocation funding. Applicants should ensure that the project involves activities that are separate from or complement the tasks being performed with the SORNA reallocation funding, so as to avoid receiving duplicate funds for the same activity.

B. Federal Award Information

The SMART Office anticipates that it will make awards of up to $400,000, for a period of up to 24 months. Thirty percent of the total amount awarded under this solicitation will be set aside for tribal jurisdictions. It is anticipated that any award that may be made under this solicitation should be awarded no later than September 30, 2015.

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 Award1 SMART expects that it will make awards from this solicitation in the form of a grant.

Financial Management and System of Internal Controls

If selected for funding, the award recipient must:

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

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

(c) Evaluate and monitor the non-Federal entity's compliance with statute, 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 non-Federal entity considers sensitive consistent with applicable Federal, state and local laws regarding privacy and obligations of confidentiality.

In order to better understand administrative requirements and cost principles, award applicants are encouraged to enroll, at no charge, in the Department of Justice Grants Financial Management Online Training available here.

Budget Information Applicant proposals may include the purchase of equipment for items such as digital fingerprint and palm print technology, scanners to transfer existing records and documents into a digital format, computer hardware and DNA collection.2

1 See generally 31 U.S.C. §§ 6301-6305 (defines and describes various forms of federal assistance relationships, including grants and cooperative agreements (a type of grant)).

2 Tribes that propose to utilize grant funds to support the collection, storage, and submission of DNA must document that costs are necessary and verifiable. Examples of verified and validated costs include fees that a state or its political subdivision charges the tribe for collection, storage, or submission of DNA.

Please note that contracting with a private lab does not facilitate submission of DNA to the Combined DNA Index System (CODIS), and thus does not meet SORNA requirements. As a result, private lab fees are considered unallowable costs. The FBI Laboratory permits SORNA tribes to receive free DNA collection kits and analyzes the kits and enters the data into CODIS for free. Please contact the SMART Office for additional information about utilizing this service.

Applicants should be aware that the SMART Office has developed information technology resources that have been made available to all SORNA jurisdictions for the purpose of meeting requirements of participation in the Dru Sjodin National Sex Offender Public Website. These resources include software such as: mapping technology, geographic radius and email address search applications, and community notification and email notification applications. Additionally, the SMART Office provides the Tribe and Territory Sex Offender Registry System (TTSORS) free of charge to tribes and territories. TTSORS assists the tribes and territories with implementing SORNA registry system requirements. It functions as the administrative registry system and as the public sex offender registry website system for jurisdictions. Additional information about TTSORS is available at www.smart.gov/pdfs/TTSORSFactSheet.pdf. It is therefore recommended that applicants avoid proposals that include similar software expenditures.

In addition, the Sex Offender Registry Tool (SORT) is available to states at no cost to assist with implementing SORNA registry system requirements. It was designed to improve information sharing capabilities and make the sex offender registry system setup and maintenance process as efficient and effective as possible. SORT functions as the state-level administrative registry system and provides local registration agencies with their own specialized public sex offender registry website. Additional information about SORT is available at www.ojp.usdoj.gov/smart/pdfs/SORT_Fact_Sheet.pdf.

Allowable software purchases include: software needed by the jurisdiction to support kiosks or facilitate information sharing between a jurisdiction’s sex offender registry and other law enforcement-operated electronic systems or databases and sex offender tracking systems within the jurisdiction (including local law enforcement); software that facilitates sex offender tracking and management throughout the jurisdiction; and software or technical assistance necessary to facilitate use of SMART-provided software resources.

Grant funds to tribes can be used to purchase an electronic scanner or Live Scan device for scanning finger and palm prints for upload to the FBI databases IAFIS and Next Gen. However, tribes will have to coordinate with the State in which they are located in order to connect to those federal databases. NOTE: A Tribe can purchase a scanner without working with the State, but if no connection is effectuated the tribe will have to print the scanned prints and mail them to the FBI utilizing mailers provided by the FBI. Information on this process is available on the SMART Office website, www.smart.gov.

States will need to agree to accept and facilitate a connection to a tribe that wishes to use such devices for the upload. Further, States will need to provide to the tribe information on what hardware or device will interface with their system. [Tribal applicants should provide documentation of their agreement with the state for submission and relay to federal databases].

Cost Sharing or Match 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 cost sharing and match information, see Section C. Eligibility Information.

Pre-Agreement Cost Approvals OJP does not typically approve pre-agreement costs; an applicant must request and obtain the prior written approval of OJP for all such costs. If approved, pre-agreement costs could be paid from grant funds consistent with a grantee’s approved budget, and under applicable cost standards. However, all such costs prior to award and prior to approval of the costs are incurred at the sole risk of an applicant. Generally, no applicant should incur project costs before submitting an application requesting federal funding for those costs. Should there be extenuating circumstances that appear to be appropriate for OJP’s consideration as pre-agreement costs, the applicant should contact the point of contact listed on the title page of this announcement for details on the requirements for submitting a written request for approval. See the section on Costs Requiring Prior Approval in the Financial Guide, 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, recipients may not use federal funds to pay total cash compensation (salary plus cash bonuses) to any employee of the award recipient at a rate that exceeds 110% of the maximum annual salary payable to a member of the Federal Government’s Senior Executive Service (SES) at an agency with a Certified SES Performance Appraisal System for that year. The 2015 salary table for SES employees is available at the Office of Personnel Management website. Note: A recipient may compensate an employee at a greater rate, provided the amount in excess of this compensation limitation is paid with non-federal funds. (Any such additional compensation will not be considered matching funds where match requirements apply.)

The Assistant Attorney General for OJP may exercise discretion to waive, on an individual basis, the limitation on compensation rates allowable under an award. An applicant requesting a waiver should include a detailed justification in the budget narrative of the application. Unless the applicant submits a waiver request and justification with the application, the applicant should anticipate that OJP will request the applicant to adjust and resubmit the budget.

The justification should include the particular qualifications and expertise of the individual, the uniqueness of the service the individual will provide, the individual’s specific knowledge of the program or project being undertaken with award funds, and a statement explaining that the individual’s salary is commensurate with the regular and customary rate for an individual with his/her qualifications and expertise, and for the work to be done.

Prior Approval, Planning, and Reporting of Conference/Meeting/Training Costs OJP strongly encourages applicants that propose to use award funds for any conference-, meeting-, or training-related activity to review carefully – before submitting an application – the OJP policy and guidance on conference approval, planning, and reporting available at http://www.ojp.gov/financialguide/PostawardRequirements/chapter15page1.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 such costs for cooperative agreement recipients and of some such costs for grant recipients; and (3) set cost limits, including 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 “Solicitation Requirements” in the OJP Funding Resource Center.

C. Eligibility Information For additional eligibility information, see Title page.

Cost Sharing or Match Requirement For additional information on cost sharing and match requirement, see Section B. Federal Award Information.

Limit on Number of Application Submissions If an applicant submits multiple versions of the same application, SMART will review only the most recent system-validated version submitted. For more information on system-validated versions, see How to Apply.

D. Application and Submission Information

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

Moreover, applicants should anticipate that applications that are determined to be nonresponsive to the scope of the solicitation, or that do not include the application elements that the SMART Office has designated to be critical, will neither proceed to peer review nor receive further consideration. Under this solicitation, the SMART Office has designated the following application elements as critical: Program Narrative, Budget Detail Worksheet and Budget Narrative, and a requested funding amount that does not exceed the maximum amount allowable. Applicants may combine the Budget Narrative and the Budget Detail Worksheet in one document. However, if an applicant submits only one budget document, it must contain both narrative and detail information. Please review the “Note on File Names and File Types” under How to Apply to be sure applications are submitted in permitted formats.

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

For examples of successful FY 2014 applications, go to: www.ojp.usdoj.gov/smart/funding.htm.

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 OJP’s 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).

Intergovernmental Review: This funding opportunity is eligible for coverage under Executive Order 12372. Applicants may find the names and addresses of their state’s Single Point of Contact (SPOC) at the following website: www.whitehouse.gov/omb/grants_spoc/. Applicants whose state appears on the SPOC list must contact their state’s SPOC to find out about, and comply with, the state’s process under Executive Order 12372. In completing the SF-424, applicants whose state appears on the SPOC list are to make the appropriate selection in response to question 19 once the applicant has complied with their state’s E.O. 12372 process. (Applicants whose state does not appear on the SPOC list are to make the appropriate selection in response to question 19 to indicate 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 less. Project abstracts should be—

Written for a general public audience Submitted as a separate attachment with “Project Abstract” as part of its file name Single-spaced, using a standard 12-point font (Times New Roman) with 1-inch margins

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

All project abstracts should follow the detailed template available at ojp.gov/funding/Apply/Resources/ProjectAbstractTemplate.pdf.

Permission to Share Project Abstract with the Public: It is unlikely that the SMART Office will be able to fund all promising applications submitted under this solicitation, but it may have the opportunity to share information with the public regarding promising but unfunded applications, for example, through a listing on a webpage available to the public.

The intent of this public posting would be to allow other possible funders to become aware of such proposals.

In the project abstract template, applicants are asked to indicate whether they give OJP permission to share their project abstract (including contact information) with the public.

Granting (or failing to grant) this permission will not affect OJP’s funding decisions, and, if the application is not funded, granting permission will not guarantee that abstract information will be shared, nor will it guarantee funding from any other source.

Note: OJP may choose not to list a project that otherwise would have been included in a listing of promising but unfunded applications, should the abstract fail to meet the format and content requirements noted above and outlined in the project abstract template.

3. Program Narrative The program narrative should respond to the solicitation and present a detailed description of the purpose, scope, goals and objectives of the proposed project. The program narrative should be double-spaced, using a standard 12-point font (Times New Roman is preferred) with 1-inch margins, and should not exceed 25 pages. Please number pages “1 of 25,” “2 of 25,” etc. Submissions that do not adhere to the format will be deemed ineligible. Information required under the “Budget and Budget Narrative” and “Other Attachments” sections will not count toward the program narrative page count.

If the program narrative fails to comply with these length-related restrictions, the SMART Office may consider such noncompliance in peer review and in final award decisions.

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

a. Statement of the Problem

Applicants should describe the challenges the jurisdiction faces in implementing or maintaining ongoing compliance with the Sex Offender Registration and Notification Act (SORNA) and the strategy for addressing those challenges, should grant funds be awarded. . Applicants should describe steps taken to assess and analyze their current sex offender registration and notification systems in relation to SORNA implementation or ongoing compliance. This section should also detail ongoing jurisdiction efforts to address implementation or maintain compliance. Applicants should discuss the jurisdiction’s strategy to implement SORNA and identify deficits or problems encountered as well as needs identified in order to substantially implement or maintain compliance.

b. Project Design and Implementation

Project Goals and Objectives: Applicants should describe the goals of the proposed project and identify its objectives and outcomes. Goals: Applicants should provide a broad statement, written in general terms, that conveys the project’s intent to change, reduce, or eliminate the problem described. Objectives: Applicants should explain how the program will accomplish its goals. The objectives should be quantifiable and describe the steps necessary to accomplish project goals. When formulating the project’s goals and objectives, applicants should be cognizant of the performance measures that will be required of successful applicants.

Applicants should detail how the project will operate during the funding period and describe the strategy that will be used to implement the proposed project. This section should illustrate what activities are proposed for the project and describe how the strategy will support the goals and objectives. Applicants should outline how the proposed project will move the jurisdiction closer to substantial implementation of SORNA or enhance ongoing SORNA compliance, help to sustain the efficacy and viability of the jurisdiction’s sex offender registration and notification program and assist with enhancing the jurisdiction’s over-all sex offender management strategy including their registration and notification program. In addition, applicants should specifically identify each SORNA requirement that will be implemented or enhanced as a result of the proposed project.

Project timeline: Submit as an attachment a project timeline with each project goal, related objective, activity, expected completion date, and responsible person or organization. Please do not use actual calendar months in the timeline; instead prepare the timeline using “Month 1”, etc.

SORNA Working Group Plan (for jurisdictions that have not already implemented SORNA): Discussion of a jurisdiction’s planned activities should include information regarding the jurisdiction’s SORNA implementation working group. The working group plan should include a list of the working group members and their responsibility regarding SORNA implementation. It is expected that successful grantees will report on their jurisdiction’s working group meetings in their quarterly progress reports. This requirement does not apply to jurisdictions that have already been found to be substantially implementing SORNA.

In addition, state and territory applicants that are eligible to receive the Byrne/JAG penalty funding reallocation should describe how the project complements the work that the jurisdiction plans to perform with that reallocation funding. Applicants should take care to ensure that the project involves activities that are separate from or complement the tasks being performed with the reallocation funding, so as to avoid receiving duplicate funds for the same activity

c. Capabilities and Competencies

Applicants should describe the management structure and staffing of the project and include information describing the roles and responsibility of key organizational and functional components and personnel. This section should describe the experience and capability of the applicant and any contractors that will be used to implement the project and highlight any previous experience implementing projects of similar design or magnitude. The management and organizational structure described should match the staff needs necessary to accomplish the tasks outlined in the project work plan.

Position descriptions and/or resumes for key positions/personnel should be submitted as an attachment.

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

Applicants should describe how performance will be documented, monitored, and evaluated, including how the impact of the strategy implemented and/or enhancement will be determined. It should also discuss plans for sustainability, i.e., how the program will continue to operate beyond the period of the grant award. If personnel costs are supported by grant funds, specific discussion of how these positions will be maintained beyond the period of the grant award must be included.

To assist the Department with fulfilling its responsibilities under the Government Performance and Results Act of 1993 (GPRA), Public Law 103-62, and the GPRA Modernization Act of 2010, Public Law 111–352, applicants that receive funding under this solicitation must provide data that measure the results of their work done under this solicitation. OJP will require any award recipient, post award, to provide the data requested in the “Data Grantee Provides” column so that OJP can calculate values for the “Performance Measures” column. Performance measures for this solicitation are as follows:

Objective

Performance Measure(s)

Data Grantee Provides

Improve public sex offender registry systems to support and maintain SORNA compliance

Number of SORNA requirements implemented during the reporting period

Number of policies/procedures and/or programs established/ amended to comply with SORNA during the reporting period (if applicable)

Number of staff trained (if applicable)

Number of jurisdiction personnel trained on SORNA compliance during the reporting period

Percentage of records/data made electronically accessible for inclusion in SORNA jurisdiction sex offender registries (if applicable)

Number of updated sex offender registration records electronically transmitted (intra and inter-jurisdictionally) through the SORNA Exchange Portal during each month of the reporting period

Number of records that are automated (if applicable)

Number of records/data (including sex offender case files; sex offender registration information; finger/palm print cards, DNA) captured and/or automated during the reporting period

Increase in information exchange between State/Tribal/Territory sex offender registration agencies and other SORNA jurisdictions or federal, state or local agencies

Number of information exchanges between State/Tribal/Territory sex offender registration agencies and other SORNA jurisdictions or federal, state or local agencies, by type, through the SORNA Exchange Portal

Enhance jurisdiction efforts to address victim and public safety

Percentage of registered sex offenders in compliance with jurisdiction registry requirements

Number of sex offenders who are in compliance with jurisdiction registry requirements each month during the project period

Number of sex offenders who are registered in the jurisdiction each month during the project period

Percentage of registered sex offenders in non-compliance with jurisdiction registry requirements

Number of sex offenders identified as non-compliant with jurisdiction registry requirements during each month of the project period

Number of sex offenders who are registered in the jurisdiction each month during the project period

Number of sex offenders newly registered (tribal jurisdictions only)

Number of sex offenders newly registered each month in the jurisdiction during the reporting period (tribal jurisdictions only)

Number of partnerships maintained Number of partnerships maintained with other jurisdictions and agencies on absconder investigations

Number of partnerships maintained with victims’ service providers on community education and prevention programs related to sex offender registration, notification, and management

Number of partnerships established Number of partnerships established with other jurisdictions and agencies on absconder investigations

Number of partnerships established with victims’ service providers on community education and prevention programs related to sex offender registration, notification, and management

Develop SORNA implementation training for law enforcement and other criminal justice agency personnel (if applicable)

Number of education/training modules developed (if applicable)

Number of education/training modules developed related to SORNA implementation in the jurisdiction

Number of participants who complete training (if applicable)

Number of law enforcement and other criminal justice agency personnel who complete training related to SORNA implementation in the jurisdiction

Number of participants who reported that the training provided information that could be utilized in their job (if applicable)

Number of law enforcement and other criminal justice agency personnel who reported that the training provided information on SORNA implementation that could be utilized in their job

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

Note on Project Evaluations Applicants that propose to use funds awarded 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.” Applicants should provide sufficient information for OJP to determine whether the particular project they propose would either intentionally or unintentionally collect and/or use information in such a way that it meets the DOJ regulatory definition of research.

Research, for the purposes of human subjects protections 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, see the decision tree to assist applicants on the “Research and the Protection of Human Subjects” section of the OJP Funding Resource Center Web page (www.ojp.gov/funding/Explore/SolicitationRequirements/EvidenceResearchEvaluationRequirem ents.htm). Applicants whose proposals may involve a research or statistical component also should review the “Data Privacy and Confidentiality Requirements” section on that Web page.

4. Budget Detail Worksheet and Budget Narrative

a. Budget Detail Worksheet A sample Budget Detail Worksheet can be found at www.ojp.gov/funding/Apply/Resources/BudgetDetailWorksheet.pdf. Applicants that submit their budget in a different format should include the budget categories listed in the sample budget worksheet.

For questions pertaining to budget and examples of allowable and unallowable costs, see the Financial Guide at www.ojp.gov/financialguide/index.htm.

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

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

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

c. Non-Competitive Procurement Contracts In Excess of Simplified Acquisition Threshold If an applicant proposes to make one or more non-competitive procurements of products or services, where the non-competitive procurement will exceed the simplified acquisition threshold (also known as the small purchase threshold), which is currently set at $150,000, the application should address the considerations outlined in the Financial Guide.

d. Pre-Agreement Cost Approvals For information on pre-agreement costs, see Section B. Federal Award Information.

5. Indirect Cost Rate Agreement (if applicable)

Indirect costs are allowed only if the applicant has a current federally approved indirect cost rate. (This requirement does not apply to units of local government.) Attach a copy of the federally approved indirect cost rate agreement to the application. Applicants that do not have an approved rate may request one through their cognizant federal agency, which will review all documentation and approve a rate for the applicant organization, or, if the applicant’s accounting system permits, costs may be allocated in the direct cost categories.

For the definition of Cognizant Federal Agency, see the “Glossary of Terms” in the Financial Guide. For assistance with identifying your cognizant agency, please contact the Customer Service Center at 1-800-458-0786 or at ask.ocfo@usdoj.gov. If DOJ is the cognizant federal agency, applicants may obtain information needed to submit an indirect cost rate proposal at http://www.ojp.gov/funding/Apply/Resources/IndirectCosts.pdf.

6. Tribal Authorizing Resolution (if applicable)

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

Applicants unable to submit an application that includes a fully-executed (i.e., signed) copy of appropriate legal documentation, as described above, consistent with the applicable tribe’s governance structure, should, at a minimum, submit an unsigned, draft version of such legal documentation as part of its application (except for cases in which, with respect to a tribal consortium applicant, consortium bylaws allow action without the support of all consortium member tribes). If selected for funding, SMART will make use of and access to funds contingent on receipt of the fully-executed legal documentation.

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

OJPComplianceReporting@usdoj.gov at the time of application submission:

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

Date the applicant was designated high risk;

The high risk point of contact name, phone number, and email address, from that federal agency; and Reasons for the high risk status;

OJP seeks this information to ensure appropriate federal oversight of any grant award.

Unlike the Excluded Parties List, this high risk information does not disqualify any organization from receiving an OJP award. However, additional grant oversight may be included, if necessary, in award documentation.

8. Additional Attachments Applicants should submit the following information as attachments to their application:

Project Timeline Position descriptions and resumes Indirect Cost Rate Agreement (if applicable) For tribal applicants:

o Tribal resolution filed with the SMART Office that documents the tribe’s election to carry out the requirements of SORNA.

o Tribal Authorizing Resolution

Applicants proposing a collaborative effort should provide:

Letter of cooperation, memorandum of understanding, or interagency agreement that documents the collaborative work of all involved agencies.

Applicants who have not already substantially implemented SORNA should provide:

SORNA Working Group plan, which should include working group structure, working group members and discussion of jurisdiction’s planned activities.

Jurisdictions that have been previously funded and are proposing to support local units of government (including P.L. 280 tribes) to develop or enhance their sex offender registration and notification functions should provide:

Letter of support or cooperation and/or a MOU that indicates that the local jurisdiction or Tribe is in agreement with and supportive of the proposed activities.

Applicant Disclosure of Pending Applications

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

SAMPLE

OJP seeks this information to help avoid any inappropriate duplication of funding.

Leveraging multiple funding sources in a complementary manner to implement comprehensive programs or projects is encouraged and is not seen as inappropriate duplication.

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

The Federal or State funding agency The solicitation name/project name The point of contact information at the applicable funding agency.

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