[Federal Register Volume 67, Number 81 (Friday, April 26, 2002)]
[Notices]
[Pages 20831-20833]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 02-10257]


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DEPARTMENT OF JUSTICE

National Institute of Corrections


Solicitation for a Cooperative Agreement

SUMMARY: The Department of Justice (DOJ), National Institute of 
Corrections (NIC), announces the availability of funds in FY 2002 for a 
cooperative agreement to fund the project ``Strategic Planning and 
Response''. NIC will award a one year cooperative agreement to develop 
a model for strategic planning in state prisons or state departments of 
corrections and a model or methodology for strategic response/strategic 
management in state correctional agencies. Up to $160,000 will be 
awarded in FY 2002. With satisfactory performance, additional funds may 
be added in subsequent years to implement strategic planning and 
strategic response/strategic management in state correctional agencies.
    A cooperative agreement is a form of assistance relationship where 
the National Institute of Corrections is substantially involved during 
the performance of the award. An award will be made to an organization 
that will, in collaboration with the Institute, develop a model or 
methodology for strategic planning and strategic response/strategic 
management that will benefit state departments of correction.

Background

    The National Institute of Corrections, Prisons Division, began 
offering assistance to state departments of corrections to address 
issues and concerns in their organizational climate. Work is on-going 
in the areas of Institution Mission Change, Institutional Culture 
Assessment, Workforce and Staff Sexual Misconduct. In many of the 
institutions which request NIC assistance, it is apparent that to 
address their organizational or culture issues, there needs to be a 
strategic approach to addressing their issues and concerns.
    Management scholars and practitioners have identified five major 
functions of the managerial process--planning, organizing, directing, 
motivation, and controlling. Perhaps the most critical, but least 
developed, skill in correctional management is ``planning''. This, 
despite the fact that our ultimate success largely depends on the 
management of change, recognizing and addressing areas of 
vulnerability, and the process by which managers identify alternative 
courses of action, measure their probable results, and determine the 
strategy through which they will achieve their goals. Strategic 
planning can be a practical tool for correctional agencies and 
institutions so that they are viewing the ``big picture'' as they 
develop their long and short term operational plans.
    As is true of ongoing system and operational planning, the response 
to critical events in the correctional environment is often without the 
benefit of in-depth preparation. Increasingly, decisions following 
unique events have been made intuitively, in a ``shooting from the 
hip'' manner, or based on political or economic expedience. Though 
termination of an employee for abuse of inmates or sexual misconduct 
with inmates may be appropriate, failure to examine and address the 
culture that supports, encourages, or turns a blind eye to such 
behavior will most certainly ensure repeat of such behaviors. Only 
those managers who search for and identify core issues rather than mere 
symptoms of the issue and initiate a planned, strategic response are 
successful in impacting the issue at its core.
    Most strategic planning initiatives fail during the implementation 
of the process. Additionally, organizations need to be willing to shift 
priorities and resources, promote teamwork and accountability and 
obtain internal and external ``buy-in'' if they intend to manage their 
agency strategically. Identifying a model or methodology for Strategic 
Management will assist correction agencies in improving their 
organizational capabilities.

Purpose

    The National Institute of Corrections is seeking applications for a 
cooperative agreement which will propose a strategic planning model and 
a strategic response/strategic management model or methodology that 
will be effective and useful to state departments of corrections.

Scope of Project

    1. To identify and review Strategic Planning models which are 
currently used in the state departments of corrections or other public 
sector agencies and to identify one model that appears to meet criteria 
(to be developed by the applicant) that would make them of greatest 
benefit to state departments of corrections and state prisons. The 
selected model should be fully developed with all relevant materials 
that would be required for implementation in an operating correctional 
agency. A system of measurement and accountability will be required for 
the selected model.
    2. To develop a model or methodology for Strategic Response that 
could enable state departments of corrections to have a planned 
response to critical, unique and unanticipated events. The methodology 
will include a protocol for identifying the core problem or issues, 
assessing the nature of the consequent vulnerability, determining the 
scope of it's impact, and developing specific, strategic actions to 
ameliorate the condition and lessen/eliminate the vulnerability. the 
methodology will be sufficiently flexible to lend it's applicability to 
a broad range of problems or issues (example: change of facility 
mission, excessive violence, staff sexual misconduct, chronic 
absenteeism, budget/staff reductions, etc.). The methodology will guide 
the development of the strategic response model that will usually 
include both short-and long-term interventions. It will guide the 
development of immediate actions that must be taken; intermediate 
system and facility planning that is required; and may require system 
level strategic planning to re-order operations, make programmatic 
adjustments, reallocate staff, etc.
    3. To develop a model or methodology for Strategic Management that 
will enable a state correctional agency to implement its Strategic Plan 
into the long--term and short--term management of the agency. Existing 
models or methodologies for Strategic Management should be reviewed and 
the one which is most appropriate for operating correctional agencies 
selected and developed for implementation. All relevant materials must 
be included.
    4. to document all the efforts of this project in a report to NIC, 
which will be made available on the NIC web site, which will clearly 
detail the proposed models and how they were selected and developed. 
Development of a title, description and format for the report should 
include the objectives of the project, all project outcomes and all 
relevant information concerning the project. This report will also 
include the research conducted for this project and a comprehensive 
review of all literature pertaining to the project's work.
    5. To develop a short monograph for publication, which adheres the 
NIC's

[[Page 20832]]

guidelines for publications, which would contain practical information 
for departments of corrections and other correctional agencies which 
would like to implement Strategic Planning, Strategic Response or 
Strategic Management models, with a ``Lessons Learned'' focus from any 
agencies currently utilizing the model. This should include a glossary 
of terms and definitions related to strategic planning and strategic 
response that may create a common language in the correctional 
environment. All materials that would be needed to train an agency's 
staff to implement any of the models or methodologies are to be 
included.
    6. Development of an outcome evaluation instrument through which 
the effectiveness of the models/methodologies can be measured. Linked 
to the strategic planning and response methodology, the outcome 
evaluation will inform the planning and guide development of 
alternative interventions as necessary and appropriate.
    7. Applicants who are familiar with the NIC Institutional Culture 
Initiative are welcomed to discuss this current cooperative agreement 
and its relationship to the other Initiative projects. However, there 
will be no penalty to applicants who do not discuss the relationship of 
this project to the broader Initiative.
    8. In assessing the applications, additional consideration will be 
given to applicants who provide guidance in use of the methodology, in 
an institution that may be antagonistic to examination and hostile to 
intervention. The characteristic of such a correctional culture may be 
described and strategies proposed that will enhance the success of 
change agents leaders, and managers in strategic response. Allocation 
of cooperative agreement resources to this optional task may not 
significantly detract from the primary tasks.

Specific Requirements

    1. The intent of this solicitation is not to ``reinvent the wheel'' 
by developing new models for Strategic Planning or Strategic 
Management. Rather the applicant is requested to demonstrate knowledge 
of existing Strategic Planning or Strategic Management models which are 
used in correctional agencies or other public sector agencies as well 
as knowledge of the correctional environment. Applicants are requested 
to select a model of Strategic Planning and Strategic Management which 
they believe would be useful and manageable in a correctional 
environment--or to adapt portions of existing models of Strategic 
Planning or Strategic Management to create a model for correctional 
agencies. Research, survey's, site visits, focus groups and all other 
methods for identifying existing models of Strategic Planning and 
Strategic Management as well as the criteria for selection of the 
models must be clearly explained in the proposal.
    2. The development of a model or methodology for Strategic Response 
is expected to demonstrate expertise in correctional management, 
organizational development and change management. If there is no 
existing model on which to rely, the applicant should propose a 
methodology of strategic response which can be utilized by department 
of corrections. The methodology will be sufficiently flexible to lend 
its applicability to a broad range of problems or issues (examples: 
change of institution mission, excessive violence, staff misconduct, 
absenteeism, budget/staff reductions, etc.). The strategic response 
will usually include both short-and long-term interventions: immediate 
actions that must be taken; intermediate system and facility planning 
that is required; and may require system level strategic planning to 
re-order operations, make programmatic adjustments, reallocate staff, 
etc.
    3. Development of a methodology for strategic response will enable 
rapid, planned response to critical, unique and unanticipated events. 
Strategic management provides an organization the opportunity to shift 
it's organizational priorities to implement the goals it has developed. 
The applicant should provide a conceptual understanding of Strategic 
Planning, Strategic Response and Strategic Management which provides a 
practical and useful tool to state correctional agencies.
    4. The applicant must demonstrate that their project team is 
comprised of persons with expertise in correctional administration/
management and organizational development/change.
    5. The person designated as project director is required to be the 
person who will manage the project on a day-to-day basis and who has 
full decision--making authority to work with the NIC project manager. 
This person must have enough time dedicated to the project to assure 
they are available to direct the day-to-day activities of the project 
and to be available for collaboration with the NIC project manager. 
Applicants may use whatever position titles they wish with other 
project staff, but the position of project director must be as 
described in this paragraph.
    6. Applicants should identify in the proposal specific strategies 
for assuring a collaborative effort between their project team and NIC. 
Additional credit will be given during the evaluation process to 
applicants who can demonstrate their ability to work collaboratively 
from their previous work.

Application Requirements

    Applications must be submitted using OMB Standard Form 424, Federal 
Assistance, and attachments. The applications should be concisely 
written, typed double-spaced, and referenced to the project by the 
number and title given in this cooperative agreement announcement. The 
narrative portion of this cooperative agreement application should 
include, at a minimum:
    1. A brief paragraph that indicates the applicant's understanding 
of the purpose of this cooperative agreement;
    2. One or more paragraphs to detail the applicants understanding of 
strategic planning, strategic management and strategic response;
    3. A brief paragraph that summarizes the project goals and 
objectives;
    4. A clear description of the methodology that will be used to 
complete the project and achieve its goals;
    5. A clearly developed and detailed Project Plan which demonstrates 
how the various goals and objectives of the project will be achieved 
through its various activities so as to produce the required results;
    6. A chart of measurable project milestones and time lines for the 
completion of each milestone;
    7. A description of the staffing plan for the project, including 
the role of each project staff, the time commitment for each, the 
relationship among the staff (who reports to whom), and a statement 
from individual staff that they will be available to work on this 
project;
    8. A description of the qualifications of the applicant 
organization and documentation of each project staff's knowledge, 
skills and abilities to carry out their assigned project 
responsibilities;
    9. A budget that details all costs for the project, shows 
consideration for all contingencies for this project, and notes a 
commitment to work within the budget proposed (budget should be divided 
into object class categories as shown on application Standard Form 
424A). A budget narrative must be included which explains how all costs 
were determined.
    The project must be completed within one year of its award date.

    Authority: Public Law 93-415.


[[Page 20833]]


    Funds Available: The award will be limited to a maximum of $160,000 
(direct and indirect costs). Funds may only be used for the activities 
that are linked to the desired outcome of the project. No funds are 
transferred to state or local government. This project will be a 
collaborative venture with the NIC Prisons Division.
    Application Procedures: Applications must be submitted in six 
copies to the Director, National Institute of Corrections, 320 First 
Street, NW, Room 5007, Washington, DC 20534. At least one copy of the 
application must have the applicant's original signature in blue ink. A 
cover letter must identify the responsible audit agency for the 
applicant's financial accounts.
    Deadline for Receipt of Applications: Applications must be received 
by 4:00 p.m. Eastern Daylight Time on Wednesday, June 12, 2002. They 
should be addressed to Director, National Institute of Corrections, 320 
First Street, NW., Room 5007, Washington, DC 20534. The NIC application 
number should be written on the outside of the mail or courier 
envelope. Applicants are encouraged to use Federal Express, UPS, or 
similar service to ensure delivery by due date as the mail at the 
National Institute of Corrections is still being delayed due to 
decontamination procedures implemented after recent events. 
Applications mailed or submitted by express delivery should be sent to: 
National Institute of Corrections, 320 First Street, NW., Room 5007, 
Washington, DC 20534, Attn: Director. Hand delivered applications can 
be brought to 500 First Street, NW., Washington, DC 20534. The security 
officer will call our front desk at (202) 307-3106 to come to the 
security desk for pickup. Faxed or e-mailed applications will not be 
accepted.
    Addresses and Further Information: A copy of this announcement and 
application forms may be obtained through the NIC Web site: http.//
www.nicic.org (click on ``Cooperative Agreements''). Requests for a 
hard copy of the application, forms, and announcement should be 
directed to Judy Evens, Cooperative Agreement Control Office, National 
Institute of Corrections, 320 First Street, NW, Room 5007, Washington, 
DC 20534 or by calling (800) 995-6423, extension 44222 or (202) 307-
3106, extension 44222. She can also be contacted by e-mail via 
[email protected].
    All technical and or programmatic questions concerning this 
announcement should be directed to Susan M. Hunter at the above address 
or by calling (800) 995-6423, extension 40098 or (202) 514-0098, or by 
e-mail via [email protected]. A copy of this announcement and application 
forms may also be obtained through the NIC Web site: http://www.nicic.org (click on ``Cooperative Agreements'').
    Eligibility Applicants: An eligible applicant is any state or 
general unit of local government, private agency, educational 
institution, organization, individuals or team with expertise in the 
requested areas.
    Review Considerations: Applications received under this 
announcement will be subjected to 3 to 5 member Peer Review Process.
    Number of Awards: One (1).
    NIC Application Number: 02P09. This number should appear as a 
reference line in the cover letter and also in box 11 of Standard Form 
424 and on the outside of the envelope in which the application is 
sent.

Executive Order 12372

    This program is subject to the provisions of Executive Order 12372. 
Executive Order 12372 allows States the option of setting up a system 
for reviewing applications from within their States for assistance 
under certain Federal programs. Applicants (other than Federally-
recognized Indian tribal governments) should contact their State Single 
Point of Contact (SPOC), a list of which is included in the application 
Kit, along with further instructions on proposed projects serving more 
than one State.

    The Catalog of Federal Domestic Assistance number is 16.603.

    Dated: April 18, 2002.
Morris L. Thigpen,
Director, National Institute of Corrections.
[FR Doc. 02-10257 Filed 4-25-02; 8:45 am]
BILLING CODE 4410-36-M