[Federal Register Volume 67, Number 84 (Wednesday, May 1, 2002)]
[Notices]
[Pages 21734-21736]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 02-10697]


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DEPARTMENT OF JUSTICE

National Institution of Corrections


Solicitation for a Cooperative Agreement: Implementing Effective 
Correctional Management of Offenders in the Community

AGENCY: National Institute of Corrections, Department of Justice.

ACTION: Solicitation for a Cooperative Agreement.

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[The National Institute of Corrections awards cooperative agreements 
to fund the planning, development and implementation of its 
strategic plan. Unlike grants and other types of funding, 
cooperative agreements require that NIC work closely with awardee to 
achieve the stated goals. Announcements for cooperative agreements 
are posted in the Federal Register and on the NIC Web site: 
www.nicic.org.]

    Overview: Since the mid 1990's the National Institute of 
Corrections (NIC) has promoted an awareness of evidence-based 
correctional practices that promote pro-social behavior by offenders 
and reduce victimization. These practices, based on cognitive 
behavioral and social learning theories, have become adopted 
internationally under the terminology of ``What Works''.
    NIC is seeking an organization (awardee) to work with the Institute 
to implement effective interventions in selected statewide correctional 
systems over a four federal fiscal-year period, based on availability 
of funds and the awardee's satisfactory performance. For the purpose of 
this document, statewide systems are defined as state agency(s) or 
organization of county government agencies covering all geographic 
regions of the state with continuous custody and supervision of 
offenders for the full term of their legal disposition. The project 
will also include appropriate external stakeholders involved with 
offenders during the period of legal disposition. The awardee must 
possess a working knowledge of the research, principles and practices 
associated with effective interventions (including special needs and 
various responsivity issues), and organizational change.
    Working jointly with the NIC--Community Corrections Division, the 
awardee will help market the program to all 50 states and the District 
of Columbia, assist with the development of criteria for selection, 
assess organizational readiness based on each state's application, and 
recommend the statewide systems that can be assisted at one time given 
the available resources. Once the target jurisdictions have been 
selected, the awardee will assist the state systems in conducting an 
in-depth self-assessment of their current status and readiness to 
change regarding evidence based practice. The awardee will assist the 
state system in preparing an organizational change and development plan 
for the implementation of effective strategies for the management of 
offenders. The implementation strategy will include leadership 
identification, role definition, a full continuum of program components 
and staff competency development at all levels of the organization. NIC 
and the awardee will work with selected systems for up to three years 
as long as they are making progress with their planned implementation.
    Background: The elements of responsible, informed and effective 
correctional practice are no longer regarded as opinion but are 
grounded in evidence. In recent years, a large body of research, 
referred to as the ``What Works'' literature has identified the common 
characteristics of successful intervention. The characteristics of 
effective interventions include:
    1. Support by community and policymaker partnerships.
    2. Support by qualified and involved leadership who understand 
program objectives.
    3. Design and implementation based on proven theoretical models 
beginning with assessment and continuing through aftercare.
    4. Use of standardized and objective assessments of risk and need 
factors to make appropriate program assignment for offenders.
    5. Targeting of crime-producing attributes and use of proven 
treatment

[[Page 21735]]

models to prepare offenders for return into the community.
    6. Delivery in a manner consistent with the ability and learning 
style of the individuals being treated.
    7. Implementation by well-trained employees or contractors who 
deliver proven programs as designed.
    8. Evaluations to ensure quality.
    9. Targeting high-risk offenders.
    It is worthy to note in regard to evidence based practice that 
`evidence based' means a process of testing theories and practice, 
never intended to be a closed body of knowledge and always open to new 
information.
    Success in offender change requires an agency infrastructure with 
an informed, supportive leadership and culture that models the 
principles and practices of the research based, data driven service 
approaches. Optimum outcomes are dependent upon the full range of staff 
competency; knowledge, skill, experience, aptitude, and attitude in 
service delivery. An organization's decision making, personnel 
practices, problem solving, and all other functions related to 
intervention must be evaluated and measured against evidence based 
standards. Administration must understand, serve, and support the 
vision, principles, and practices of evidence-based programming if it 
is to be successful. Similarly, criminal justice partners entrusted 
with autonomous authority and/or control, i.e., paroling authorities, 
law enforcement agencies, the judiciary, and independent service 
providers both public and private must also understand the 
responsibilities and boundaries appropriate to evidence-based practice 
and their respective roles in successful offender change. Although 
there are many aspects of offender change that are now clearly based on 
evidence, the successful awardee must demonstrate the process by which 
they will build consensus within statewide systems. This is 
particularly important in regard to the various stakeholders and 
autonomous bodies associated with the full process of offender change.
    Many local jurisdictions have come to accept the elements of 
effective intervention, while they remain frustrated in their ability 
to combine these ``best practices'' into an integrated system of 
services that form a continuum from assessment through aftercare. 
Systematically integrating the various elements of effective offender 
intervention requires many non-traditional approaches to service 
delivery. The successful awardee will be required to demonstrate an 
understanding of the process and problems associated with assisting 
agencies to move from traditional to non-traditional approaches. 
Particularly those non-traditional approaches associated with custody 
and administrative involvement in offender intervention practices. The 
successful awardee will work with the NIC to insure that appropriate 
non-traditional approaches are identified and addressed.
    Purpose: Because correctional administrators are increasingly 
expected to reduce, not just control, risk they must introduce the wide 
range of correctional practices already mentioned. The purpose of the 
project is to allow jurisdictions committed to the principles of 
effective intervention but facing challenges in initiating and 
sustaining corresponding systematic change to receive the assistance 
they need to produce intended results. The overriding goal of the 
agreement is to implement evidence-based program and management 
practices, and to develop an organizational culture that promote pro-
social behavior in offenders and reduces victimization. This project 
will provide technical assistance to address the variety of complex 
needs inherent in developing and implementing research based approaches 
to effective intervention. The project will support the type of multi 
disciplinary and collaborative effort shown to be most effective in 
enhancing and sustaining the desired changes in practices. In that 
these intervention strategies are in many cases non-traditional this 
project will also address issues that develop as individual program 
elements and are then to be integrated into the system.
    Application Requirements: Applicants must submit using OMB Standard 
Form 424, Federal Assistance and attachments. The applications must be 
concisely written, typed double spaced and referenced to the project by 
the numbered title given in this announcement. Applicants must prepare 
a proposal that describes their plan to address the project purpose and 
objectives. The plan must include methodology, deliverables, management 
plan, and an overall project budget for the full duration of the 
project. The management plan and budget for the initial 15 months 
should be extensively detailed. The management plans and budgets for 
subsequent 12 month periods are expected to be less detailed given the 
greater the lead time projected. Applicants must identify their key 
project staff, the amount of time projected for this initiative and the 
relevant expertise and experience of each, as well as the manner in 
which they would perform all tasks in collaboration with an NIC Project 
Manager.
    The proposal must include the following six elements;
    1. A description of the process and content of the applicants 
approach to a comprehensive assessment of a jurisdiction that will 
obtain a clear understanding of the current status of the organization 
in regard to the principles of effective intervention including the 
steps necessary for development, implementation and program evaluation 
and assessment of the organizational culture in relationship to 
supporting change;
    2. A description of the process to be used in assisting the 
selected state systems in developing a plan for creating and/or further 
developing system-wide delivery of essential evidence based principles 
and practices including; offender assessment, cognitive-behavioral/
social learning curriculums, and quality assurance as well as 
management processes and leadership initiatives that support such 
practices (Each of these items should be addressed separately and with 
sufficient detail to effectively communicate both content and 
process.);
    3. A description of the process for ongoing development and program 
modifications, include content and process for system evaluation;
    4. A description of the process and methods to be used to build 
workgroups and leadership teams, include process and methods to be used 
to ensure the organizational culture supports the principles and 
practices of intervention;
    5. A description of a reporting process for both the selected state 
systems and the awardee; and
    6. An estimated budget based on the above elements. Given the 
estimated budget and appropriation parameters outlined below 
applications will also include an estimated number of state systems 
that should be able to receive assistance.

    Authority: Public Law 93-415

    Funds Available: The award will be limited to $100,000 from Fiscal 
Year 2002. In addition there will be a $300,000 per year from Fiscal 
year 2003 thru 2005 for an anticipated total of $1 million over the 
full term of the initiative, dependent upon yearly funding received by 
NIC and the performance of the awardee. This funding will cover both 
direct and indirect costs. NIC plans to make an initial award in the 
Fiscal Year 2002 followed by supplemental awards for year 2003-2005. 
Funds may only be used for activities that are linked to the desired 
objectives and outcomes of the

[[Page 21736]]

project. This project will be a collaborative venture with the selected 
state systems, the awardee and the NIC--Community Corrections Division. 
All products from this funding effort will be in the public domain and 
available to interested agencies through the NIC. No funds are 
transferred to state or local governments. Nothing contained herein 
shall be construed to obligate the parties to any expenditure or 
obligation of funds in excess or in advance of appropriation in 
accordance with the Antideficiency Act, 31 U.S.C. 1341.
    Deadline for Receipt of Applications: All applications should be 
submitted in one original and 5 copies and must be received no later 
than 4 p.m., Friday, June 21, 2002. At least one copy 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. The NIC application number should be written on the outside 
of the mail or courier envelop. Applicants are encouraged to use 
Federal Express, UPS, or similar service to ensure delivery by the due 
date as mail at the national Institute of Corrections is still being 
delayed due to 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 office 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 
the required application forms can be downloaded from the NIC web page 
at www.nicic.org (Click on Cooperative Agreements). Any specific 
questions regarding the application process or a request for a hard 
copy of the 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 
ext. 44222, metro area 202-307-3106, ext. 44222, or e-mail: 
[email protected]. All technical and/or programmatic questions concerning 
this announcement should be directed to Mark Gornik at National 
Institute of Corrections, 320 First Street, NW., Room 5007, Washington, 
DC 20534 or by calling 800-995-6423 ext 43066 metro area 202-514-3066 
or by e-mail: [email protected].
    Eligible Applicants: An eligible applicant is any private group of 
individuals, company, organization, educational institution, individual 
or team with the requisite skills necessary to successfully meet the 
outcome objectives of the project. Such requisite skills must include 
but are not limited to expertise in the principles of effective 
intervention for offenders as referenced in ``What Works'' literature. 
Requisite skills must also include knowledge of correctional operations 
with particular attention to offender assessment, cognitive-behavioral/
social learning, and evaluation methods and the application of such 
elements into a coordinated management process. The ability to promote 
organizational development and readiness to change within a ``What 
Works'' context is also required.
    Review Considerations: Applications received under this 
announcement will be subjected to an NIC Peer Review Process.
    Number of Awards: One (1).
    NIC Application Number 02C05: 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: 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 (and the web page) along with further 
instructions on proposed projects serving more than one State.

Catalog of Federal Domestic Assistance Number: 16.603

    Technical Assistance/Clearinghouse.

    Dated: April 24, 2002.
Morris L. Thigpen,
Director, National Institute of Corrections.
[FR Doc. 02-10697 Filed 4-30-02; 8:45 am]
BILLING CODE 4410-36-M