[Federal Register Volume 73, Number 94 (Wednesday, May 14, 2008)]
[Notices]
[Pages 27849-27852]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: E8-10728]


-----------------------------------------------------------------------

DEPARTMENT OF JUSTICE

National Institute of Corrections


Solicitation for a Cooperative Agreement: Identifying 
Characteristics of High Performing Correctional Organizations

AGENCY: National Institute of Corrections, Department of Justice.

ACTION: Solicitation for Cooperative Agreement.

-----------------------------------------------------------------------

SUMMARY: The National Institute of Corrections (NIC) is soliciting 
proposals from organizations, groups or individuals to enter into a 
cooperative agreement for a 12-month, developmental phase of a new 
initiative, ``Identifying the Characteristics of High Performing 
Correctional Organizations.'' This project will focus on developing a 
methodology to allow organizations to build from their strengths to 
identify and bridge gaps between current

[[Page 27850]]

performance and optimal performance in terms of efficiency, 
effectiveness and accountability.
    Project Goal: The products from this cooperative agreement will be 
to establish a model, accompanying assessment methodology, and 
appropriate performance measures that define a high performance 
correctional agency or system. The model will synthesize the literature 
about building high-performance organizations into diagnostic tools 
that can be put to practical use by organizations to understand their 
business practices and overall performance. The intended user of the 
tools are local and state operated jails, prisons and community 
corrections agencies or systems.
    The intended outcome for this project is to establish a model, 
assessment methodology, performance indicators, and practical 
strategies to (1) Develop ways to address agency inefficiencies that 
result from the lack of a ``holistic'' and integrated perspective; (2) 
establish a core set of values or guiding principles that agencies can 
apply to correctional disciplines to enhance business practices; (3) 
improve organizational performance by assessing strengths, weaknesses, 
opportunities, resources and threats; (4) prioritize goals and 
objectives; and (5) contain costs associated with operating 
correctional agencies and systems. This project will:
    Define the ``hard side'' of correctional organizations i.e. 
strategic plan, mission statement, capacity building, policy/procedure 
etc; their leadership and management philosophy; organizational 
structure; and other operational characteristics.
    Identify methods to improve the infrastructure, activities, and 
outputs of correctional organizations to be better aligned with 
operational practices, community partnerships, offender reentry and the 
best use of resources.
    Identify evidence based and/or best practices.
    Develop and test tools that can be put to practical use.
    Develop methods to measure the degree to which correctional 
organizations are functioning that comprises the actual output or 
result measured against its intended outputs or goals and objectives in 
determining performance.

DATES: Applications must be received by 4 p.m. EST on Thursday, June 
19, 2008. Selection of the successful applicant and notification of 
review results to all applicants no later than July 31, 2008 for 
projects to begin by September 1, 2008.

ADDRESSES: Mailed applications must be sent to Director, National 
Institute of Corrections, 320 First Street, NW., Room 5007, Washington, 
DC 20534. Applicants are encouraged to use Federal Express, UPS, or 
similar service to ensure delivery by the due date. Hand delivered 
applications should be brought to 500 First Street, NW., Washington, DC 
20534. At the front desk, call (202) 307-3106, extension 0 for pickup. 
Faxed applications will not be accepted. The only electronic 
applications (preferred) that will be accepted must be submitted 
through http://www.grants.gov.

FOR FURTHER INFORMATION CONTACT: A copy of this announcement and the 
required application forms can be downloaded from the NIC Web site at 
http://www.nicic.gov.
    All technical or programmatic questions concerning this 
announcement should be directed to Sherry Carroll, Correctional Program 
Specialist, National Institute of Corrections. Ms. Carroll can be 
reached by calling 1-800-995-6423 ext 0378 or by e-mail at 
[email protected].

SUPPLEMENTARY INFORMATION:
    Background: Correctional leaders receive a constant stream of 
advice on the essential elements and functions that constitute 
professional correctional management and practices. A large literature, 
much of it based on studies of private sector practices, exists on the 
best leadership, management, and organizational strategies to produce 
high performance organizations. At the same time, there are a number of 
recommended ``best practices'' being offered through training and 
technical assistance by NIC, other government agencies, and 
professional organizations or from researchers and academicians on how 
to best operate correctional agencies and systems. To date, however, 
there has been little progress in identifying which of these many 
recommendations are related to higher performance and, if related, how 
they can be measured.
    Progress to date: During 2006, NIC sponsored a workgroup of subject 
matter experts. The group identified nine categories or core guiding 
principles considered as important factors in determining criminal 
justice system performance on the State or local governance level for 
community corrections. Those principles are: (1) Leadership and 
Management Development, (2) Information and Knowledge Management; (3) 
Comprehensive Criminal Justice Planning, (4) Offender Management (5) 
Collaborative Partnerships, (6) Organizational Development, (7) 
Accurate, Fair and Timely Processes, (8) Stewardship of Public 
Resources, and (9) Public Safety.
    The applicant awarded this cooperative agreement will continue to 
draw from the literature to further define or shape those principles at 
a macro level to span across, and determine their applicability to, 
jails, prisons, and community corrections agencies at the State and 
local levels. There are several NIC products that can be found on the 
Internet (http://www.nicic.gov) that relate to core guiding principles 
such as collaborative problem solving for criminal justice, 
implementing evidence based principles in community corrections, gender 
responsivity principles and leadership/core competencies.
    Goals of Identifying Characteristics of a High Performing 
Correctional Organizations Cooperative Agreement: The goal is to 
develop a model that will synthesize the literature about building 
high-performance organizations into diagnostic tools that can be put to 
practical use by practitioners and organizations to understand their 
business practices and overall performance. The project is multi-tiered 
to include a general set of core principles then tailored to 
organizational business practices/applications specific to correctional 
disciplines (jails, prisons and community corrections).
    If an organization is under-utilizing resources then it may be 
performing at a level below its potential. The model and assessment 
tools developed under this award will allow agencies to develop and 
improve their operational infrastructure and build their capacity in a 
number of areas. In building capacity agency-wide, it may include, but 
is not limited to, operational management, organizational development 
principles, business practices, program and offender management, 
financial processes, accountability and quality assurance.
    As this project continues, it will also incorporate the ``soft 
side'' or informal characteristics of an organization's culture often 
referred to as ``the way things are really done'' and test how and to 
what degree those cultural factors can, in conjunction with the ``hard 
side'' (or formal business practices) either enhance or obstruct 
efforts to improve performance. The practitioner will have the ability 
to understand the interaction between both the operational and cultural 
aspects of an organization. The practitioner can then understand how 
and why the system operates as it does,

[[Page 27851]]

employ intervention strategies and improve performance.
    At selected points in the process, the NIC project manager will 
have sign off authority for the project to move forward and approval to 
release any information about the project. The selected sign-off points 
will be determined as the project plans are developed and approved by 
NIC.
    There are three (3) tasks to be achieved under this cooperative 
agreement: (1) Conduct Research, to identify, develop, and test 
assessment instruments, tools, and resources, (2) Engage Stakeholders 
in High Performing Correctional Organization concepts, and (3) Produce 
Deliverable Products.
    Under Task 1, Conduct Research, the project will develop an 
operational definition of a high performing correctional organization 
and what business practices/processes they should perform. The 
definition will be based on a review and synthesis of existing 
literature from both the public and private sectors on business 
practices and change strategies that can be tested in correctional 
agencies or systems. In addition, the project will synthesize previous 
work on performance measurements for jails, prisons, and community 
corrections agencies and identify new performance indicators that could 
be used for each.
    Subtasks under Task 1 will include:
    Subtask 1.1: Conduct site visits to organizations considered high 
performing.
    Subtask 1.2: Conduct research to validate characteristics and needs 
of the correctional agencies or systems.
    Subtask 1.3: Conduct research and analysis of correctional 
resources for building the framework.
    Subtask 1.4: Conduct research on strength based, evidence based and 
best practices.
    Subtask 1.5: Review current and relevant research on private and 
public sector business practices.
    Subtask 1.6: Research literature review on organizational 
structures (hierarchy, matrix, etc).
    Under Task 2, Engage stakeholders in High Performing Correctional 
Organization concepts, the project will engage the field to review and 
refine the results of Task 1. Subtasks under Task 2 will include:
    Subtask 2.1: Convene experts and thought leaders (from the 
corrections field, academia, consultant firms, NIC, and criminal 
justice system related organizations) to hold meetings and focus groups 
in contributing to the building of the framework, methodology, and 
assessment tool.
    Subtask 2.2: Assist NIC in creating partnership opportunities to 
inform and advance work.
    Under Task 3, Produce Deliverable Products, a number of 
deliverables will be produced as a result of the project's activities. 
The format of the deliverable products (reports, presentations, and 
activities) will be defined through the course of the work, but their 
content is listed below.
    Subtasks under Task 3 will include:
    Subtask 3.1: A definition of high performing correctional 
organizations.
    Subtask 3.2: A description of the principles, requirements, and 
measurements of a ``high performing'' organization for correctional 
systems (jails, prisons, and community corrections) and ``hard-side'' 
business practices.
    Subtask 3.3: A methodology for engaging agencies in using the 
framework, assessment processes, tools and resources.
    Subtask 3.4: A comparison of exiting tools and resources.
    Subtask 3.5: A set of tools and resources that correctional 
agencies can use to assess performance, prepare for performance 
improvements, and implement change efforts.
    Subtask 3.6: A methodology to test, analyze and modify tools.
    Subtask 3.7: A basic set of performance indicators appropriate for 
use in prisons, jails, and community corrections agencies.
    Subtask 3.8: A protocol for implementing a self-assessment tool.
    Subtask 3.9: A report suitable for publication on the Initiative's 
intent, concepts, and application.
    Subtask 3.10: A written strategy for marketing and increasing 
receptivity to high performing correctional organizations.
    Proposal Preparation: The successful applicant must demonstrate a 
logic model for building initially and sustaining over time the 
capacity required at state and local governance levels. The proposal 
must include a strategic plan detailing how the work will be organized 
and completed, project goals and objectives, methodologies, a list of 
involved persons and their roles, a budget, and experience working with 
organizational performance and business practices. The proposal and 
experience should address previously stated goals and objectives in 
this solicitation.
    Required Expertise: It is highly desirable for the successful 
applicant to demonstrate experience in:
    Facilitation of meetings and planning sessions of advisory 
committee, work groups and other stakeholders.
    Experience collecting documentation and communicating multi-level 
strategies, information pieces, progress, time lines, budgets, meetings 
records and surveys.
    Management of overall project organization and business processes.
    Assessing, interpreting and summarizing research in relevant 
fields.
    Acting as liaison and manager with research experts connected to 
the project.
    Conceptualization of content and process and the ability to 
translate concepts into appropriate documents and other forms of 
communication.
    Experience in guiding multiple organizations/agencies through a 
significant change process and case studies must be identified in the 
application.
    Knowledge of public administration concepts and correctional 
organization business practices.
    Display technical writing skills and can provide professional 
editing services.
    Application Requirements: The application should be concisely 
written, typed double spaced and reference the ``NIC Application 
Number'' and Title provided in this announcement. The application 
package must include: OMB Standard Form 424, Application for Federal 
Assistance, a cover letter that identifies the audit agency responsible 
for the applicant's financial accounts as well as the audit period or 
fiscal year that the applicant operates under (e.g., July 1 through 
June 30), a program narrative responding to the requirements in this 
announcement, a description of the qualifications of the applicant(s), 
an outline of projected costs, and the following forms: OMB Standard 
Form 424A, Budget Information--Non-Construction Programs, OMB Standard 
Form 424B, Assurances--Non-Construction Programs (these forms are 
available in http://www.grants.gov), DOJ/NIC Certification Regarding 
Lobbying; Debarment, Suspension and Other Responsibility Matters; and 
Drug-Free Workplace Requirements (available at http://www.nicic.gov/Downloads/PDF/certif-frm.pdf.)
    The program narrative text should be limited to 15 double spaced 
pages, exclusive of resumes and summaries of experience. Please do not 
submit full curriculum vitae. A telephone conference will be conducted 
for persons receiving this solicitation and having a serious intent to 
respond on Wednesday, June 5, 2008, at 2 p.m. EDST. Please notify 
Sherry Carroll electronically at [email protected] by close of business 
on June 3, 2008,

[[Page 27852]]

regarding your interest in participating in the conference. You will be 
provided a call-in number and instructions. Any other questions 
regarding this solicitation should also be addressed to Sherry Carroll 
at [email protected].
    Authority: Pub. L. 93-415.
    Funds Available: NIC is seeking the applicants' best ideas 
regarding accomplishment of the scope of work and the related costs for 
achieving the goals of this solicitation. The final budget and award 
amount will be negotiated between NIC and the successful applicant. 
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 governments.
    This project will be a collaborative venture with the NIC Research 
and Evaluation Division.
    Eligibility of Applicants: An eligible applicant is any public or 
private agency, educational institution, organization, individual or 
team with expertise in the described areas.
    Review Considerations: Applications received under this 
announcement will be subjected to a 3 to 7 person NIC Review Process.
    Number of Awards: One.
    NIC Application Number: 08PEI19. This number should appear as a 
reference line in the cover letter, and in box 4a of Standard Form 424 
and outside of the envelope in which the application is sent.
    Catalog of Federal Domestic Assistance Number: 16.602.
    Executive Order 12372: This program is not subject to the 
provisions of Executive Order 12372.

Morris L. Thigpen,
Director, National Institute of Corrections.
[FR Doc. E8-10728 Filed 5-13-08; 8:45 am]
BILLING CODE 4410-36-P