OMB No. 1121-0329 Approval Expires 12/31/2018 U.S. Department of Justice 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 seeking applications for funding under the SMART Office FY 17 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 17 Support for Adam Walsh Act Implementation Grant Program Applications Due: June 29, 2017 Eligibility Eligible applicants are states, the District of Columbia, the principal U.S. territories, and federally recognized Indian tribal governments (as determined by the Secretary of the Interior) 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 demonstrate eligibility status by indicating that the tribe 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 that documents the tribe’s election to do so. The link to the Bureau of Indian Affairs’ list of federally-recognized Indian tribes is located at http://www.bia.gov/cs/groups/public/documents/text/idc1-029079.pdf. 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 and 2) Tribal applicants that have implemented SORNA, submitted a SORNA substantial implementation package to the SMART Office for review, 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 by 11:59 p.m. eastern time on June 29, 2017. To be considered timely, an application must be submitted by the application deadline using Grants.gov, and the applicant must have received a validation message from Grants.gov that indicates successful and timely submission. OJP urges applicants to submit applications at least 72 hours prior to the application due date, in order to allow time for the applicant to receive validation messages or rejection notifications from Grants.gov, and to correct in a timely fashion any problems that may have caused a rejection notification. OJP encourages all applicants to read this Important Notice: Applying for Grants in Grants.gov. For additional information, see How to Apply in Section D. Application and Submission Information. Contact Information For technical assistance with submitting an application, contact the Grants.gov Customer Support Hotline at 800-518-4726 or 606-545-5035, or via email to [email protected]. The Grants.gov Support Hotline operates 24 hours a day, 7 days a week, except on federal holidays. An applicant that experiences unforeseen Grants.gov technical issues beyond its control that prevent it from submitting its application by the deadline must email the SMART Office contact identified below within 24 hours after the application deadline in order to request approval to submit its application after the deadline. Additional information on reporting technical issues appears under “Experiencing Unforeseen Grants.gov Technical Issues” in the How to Apply section. For assistance with any other requirements of this solicitation, contact Samantha Opong, by telephone at (202) 514-9320, or by email at [email protected] or Amy Staubs at (202) 307-5762 or [email protected]. Grants.gov number assigned to this solicitation: SMART-2017-11260 Release date: May 15, 2017 2 Funding Opportunity Number: SMART-2017-11260 Contents A. Program Description Overview ................................................................................................................................ 4 Program-Specific Information ................................................................................................. 4 Goals, Objectives, and Deliverables ....................................................................................... 4 Evidence-Based Programs or Practices ................................................................................. 7 B. Federal Award Information ..................................................................................................... 7 Type of Award ........................................................................................................................ 8 Financial Management and System of Internal Controls ......................................................... 8 Budget Information ................................................................................................................. 9 Cost Sharing or Match Requirement .....................................................................................10 Pre-Agreement Costs (also known as Pre-award Costs) .......................................................10 Limitation on Use of Award Funds for Employee Compensation; Waiver ..............................10 Prior Approval, Planning, and Reporting of Conference/Meeting/Training Costs ...................11 Costs Associated with Language Assistance (if applicable) ..................................................11 C. Eligibility Information .............................................................................................................11 D. Application and Submission Information ...............................................................................12 What an Application Should Include ......................................................................................12 How to Apply .........................................................................................................................26 E. Application Review Information .............................................................................................29 Review Criteria ......................................................................................................................29 Review Process ....................................................................................................................30 F. Federal Award Administration Information ............................................................................31 Federal Award Notices ..........................................................................................................31 Administrative, National Policy, and Other Legal Requirements ............................................31 General Information about Post-Federal Award Reporting Requirements .............................32 G. Federal Awarding Agency Contact(s) ...................................................................................33 H. Other Information..................................................................................................................33 Freedom of Information Act and Privacy Act (5 U.S.C. 552 and 5 U.S.C. 552a) ....................33 Provide Feedback to OJP .....................................................................................................33 Application Checklist .............................................................................................................35 3 Funding Opportunity Number: SMART-2017-11260 SMART FY 17 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. Statutory Authority: This solicitation will be funded by funds made available pursuant to the Adam Walsh Child Protection Act, 42 U.S.C. 16901 et seq.; Pub. L. No. 114-113, 129 Stat. 2242, 2307. 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 information, duration of registration, and in-person verification of sex offender registration information, 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 substantial implementation of SORNA and access to the National Guidelines and Supplemental Guidelines on Sex Offender Registration and Notification, please visit http://www.smart.gov/pdfs/final_sornaguidelines.pdf. 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. 4 Funding Opportunity Number: SMART-2017-11260 For State and Territorial jurisdictions that have not yet substantially implemented SORNA, applicants must have received a SORNA Substantial Implementation Report from the SMART Office, or submitted materials for review,1 and must explain how the proposed project will bring the jurisdiction closer to implementation based upon SMART’s review. For tribal jurisdictions that have not yet substantially implemented SORNA, applicants must have received a SORNA Substantial Implementation Report, or submitted materials for review or requested and received a “reasonable time” extension from the SMART Office. If the jurisdiction has received a Substantial Implementation Report, the applicant must explain how the proposed project will bring the jurisdiction closer to implementation based on SMART’s review. 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, their responsibility regarding SORNA implementation, and an agenda for the group’s work during the grant period, in addition to the timeline of the applicant’s planned activities otherwise required by this solicitation. It is expected that successful grantees will complete semi-annual progress reports that include updates on their jurisdiction’s working group meetings. This requirement does not apply to jurisdictions that have already been found to have substantially implemented SORNA. For those jurisdictions that have substantially implemented SORNA, the application must explain how the proposed project will either support continued implementation of SORNA or enhance their registration/notification programs. State and Territorial applicants should link their proposed activities with non-implemented factors as identified in their most recent SORNA Substantial Implementation Report. In developing and/or enhancing efforts or programs designed to implement or maintain SORNA standards, 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 All applicants:  Developing proposed legislation and administrative materials (such as policies and procedures) that address SORNA’s requirements, including legal support.  Providing support for coordinated interagency efforts to enhance implementation of SORNA requirements.  Developing or enhancing law enforcement and other criminal justice agency information sharing within the jurisdiction as well as between jurisdictions.  Implementing records management projects, such as converting paper documents to digital format as required by SORNA.  Developing and implementing training, including safety training, for law enforcement and other criminal justice agency personnel responsible for sex offender registration, notification, monitoring, and/or management. 1 For further information on submitting materials to SMART see: www.smart.gov/sorna_tools.htm#materials 5 Funding Opportunity Number: SMART-2017-11260  Enhancing registration verification strategies, collaborating with other jurisdictions and agencies on absconder investigations, and expanding community education and prevention programs related to sex offender registration, notification, or management.  Enhancing infrastructure to assist implementation of SORNA, such as 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. Tribal applicants:  Tribes that have elected to carry out the requirements of SORNA are encouraged to apply for funding to support SORNA implementation activities that benefit 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; shared public registry website, etc.) 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 that demonstrates commitment from each member jurisdiction of the consortium.  Tribes that have been found to have substantially implemented SORNA may apply for funding to create, improve and/or sustain registration/notification activities, including but not limited to developing community education programs on sex offender topics (e.g., promoting an understanding of the tribe’s sex offender registration, notification, treatment, and community supervision strategies; safety planning; and facts and statistics about sexual offending and offenders), or collaboration 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 with tribal jurisdictions within their borders:  States may apply to support efforts of local or state units of government, or 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 NCIC/NSOR. An application to 6 Funding Opportunity Number: SMART-2017-11260 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 SORNA 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 proposed project complements the work that the jurisdiction plans to perform with that reallocation funding. Applicants shall 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. The Goals, Objectives and Deliverables are directly related to the performance measures set out in the table in Section D. Application and Submission Information, under "Program Narrative." Evidence-Based Programs or Practices OJP strongly emphasizes the use of data and evidence in policy making and program development in criminal justice, juvenile justice, and crime victim services. OJP is committed to:  Improving the quantity and quality of evidence OJP generates  Integrating evidence into program, practice, and policy decisions within OJP and the field  Improving the translation of evidence into practice OJP considers programs and practices to be evidence-based when their effectiveness has been demonstrated by causal evidence, generally obtained through one or more outcome evaluations. Causal evidence documents a relationship between an activity or intervention (including technology) and its intended outcome, including measuring the direction and size of a change, and the extent to which a change may be attributed to the activity or intervention. Causal evidence depends on the use of scientific methods to rule out, to the extent possible, alternative explanations for the documented change. The strength of causal evidence, based on the factors described above, will influence the degree to which OJP considers a program or practice to be evidence-based. The OJP CrimeSolutions.gov website is one resource that applicants may use to find information about evidence-based programs in criminal justice, juvenile justice, and crime victim services. B. Federal Award Information The SMART Office will make awards of up to $400,000 each, with an estimated total amount awarded of up to $11 million. The SMART Office expects to make awards for a 24-month period of performance, to begin on October 1, 2017. The SMART Office may, in certain cases, provide additional funding in future years to awards made under this solicitation, through supplemental awards. In making decisions regarding supplemental awards, OJP will consider, among other factors, the availability of appropriations, OJP’s strategic priorities, and OJP’s assessment of both the management of the award (for 7 Funding Opportunity Number: SMART-2017-11260 example, timeliness and quality of progress reports), and the progress of the work funded under the award. All awards are subject to the availability of appropriated funds, and to any modifications or additional requirements that may be imposed by law. Type of Award The SMART Office expects that any award under this solicitation will be made in the form of a grant. See Administrative, National Policy, and Other Legal Requirements, under Section F. Federal Award Administration Information, for a brief discussion of important statutes, regulations, and award conditions that apply to many (or in some cases, all) OJP grants. Financial Management and System of Internal Controls Award recipients and subrecipients (including recipients or subrecipients that are pass-through entities2) must, as described in the Part 200 Uniform Requirements3 as set out at 2 C.F.R. 200.303: (a) Establish and maintain effective internal control over the Federal award that provides reasonable assurance that [the recipient (and any subrecipient)] is managing the Federal award in compliance with Federal statutes, regulations, and the terms and conditions of the Federal award. These internal controls should be in compliance with guidance in “Standards for Internal Control in the Federal Government” issued by the Comptroller General of the United States and the “Internal Control Integrated Framework”, issued by the Committee of Sponsoring Organizations of the Treadway Commission (COSO). (b) Comply with Federal statutes, regulations, and the terms and conditions of the Federal awards. (c) Evaluate and monitor [the recipient’s (and any subrecipient’s)] compliance with statutes, regulations, and the terms and conditions of Federal awards. (d) Take prompt action when instances of noncompliance are identified including noncompliance identified in audit findings. (e) Take reasonable measures to safeguard protected personally identifiable information and other information the Federal awarding agency or pass-through entity designates as sensitive or [the recipient (or any subrecipient)] considers 2 For purposes of this solicitation, the phrase “pass-through entity” includes any recipient or subrecipient that provides a subaward ("subgrant”) to a subrecipient (“subgrantee”) to carry out part of the funded award or program. 3 The "Part 200 Uniform Requirements” means the DOJ regulation at 2 C.F.R Part 2800, which adopts (with certain modifications) the provisions of 2 C.F.R. Part 200. 8 Funding Opportunity Number: SMART-2017-11260 sensitive consistent with applicable Federal, state, local, and tribal laws regarding privacy and obligations of confidentiality. To help ensure that applicants understand applicable administrative requirements and cost principles, OJP encourages prospective applicants to enroll, at no charge, in the DOJ Grants Financial Management Online Training, available here. Budget Information 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. Software may be purchased with funding under this solicitation if there is a proven and justifiable need. 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. Applicant proposals may include the purchase of equipment for items such as digital fingerprint and palm print equipment, scanners to transfer existing records and documents into a digital format, computer hardware and DNA collection equipment.4 It is expected that, in this grants 4 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 the FBI Laboratory analyzes the kits and enters the data into CODIS for free. Please contact the SMART Office for additional information about utilizing this service. 9 Funding Opportunity Number: SMART-2017-11260 cycle and in future years, Adam Walsh Act implementation funding will be increasingly used for implementation activities other than the purchase of equipment, given the widespread automation of law enforcement records systems since the enactment of SORNA. 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 typically have to coordinate with the State in which they are located in order to connect to those federal databases.5 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 must document either (1) how the transmission of data will be made directly to the FBI, or (2) how data will be transmitted through the state, including any MOUs or other agreements. 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. Pre-Agreement Costs (also known as Pre-award Costs) Pre-agreement costs are costs incurred by the applicant prior to the start date of the period of performance of the federal award. OJP does not typically approve pre-agreement costs; an applicant must request and obtain the prior written approval of OJP for all such costs. All such costs incurred prior to award and prior to approval of the costs are incurred at the sole risk of the applicant. (Generally, no applicant should incur project costs before submitting an application requesting federal funding for those costs.) Should there be extenuating circumstances that make it appropriate for OJP to consider approving pre-agreement costs, the applicant may contact the point of contact listed on the title page of this solicitation for the requirements concerning written requests for approval. If approved in advance by OJP, award funds may be used for pre-agreement costs, consistent with the recipient’s approved budget and applicable cost principles. See the section on Costs Requiring Prior Approval in the DOJ Grants Financial Guide for more information. Limitation on Use of Award Funds for Employee Compensation; Waiver With respect to any award of more than $250,000 made under this solicitation, a recipient may not use federal funds to pay total cash compensation (salary plus cash bonuses) to any employee of the recipient at a rate that exceeds 110% of the maximum annual salary payable to a member of the federal government’s Senior Executive Service (SES) at an agency with a 5 This process may change in the future with the expansion of the Department’s Tribal Access Program, which is in its early stages as of the time of this solicitation. 10 Funding Opportunity Number: SMART-2017-11260