U.S. Department of Justice

Office of Justice Programs

810 Seventh Street, NW

Washington, DC 20531

U.S. Department of Health and Human Services

Substance Abuse and Mental Health Services Administration

Center for Substance Abuse Treatment

Center for Mental Health Services

5600 Fishers Lane 

Rockville, MD 20857

U.S. Department of Labor

Employment and Training Administration

200 Constitution Avenue, NW

Washington, DC 20210

For information contact

Ask Reentry

1-800-848-6325 ext. 46661

Fax: 202-307-2019

E-mail: jonesn@ojp.usdoj.gov

World Wide Web Homepages

http://www.ojp.usdoj.gov

http://www.samhsa.gov

http://www.doleta.gov
Table of Contents

Application Checklist ............................................................. iii

Overview ....................................................................... 1

Challenges to Reentry .............................................................. 2

The Link Between Substance Abuse and Crime .................................... 3

The Stigma of Mental Illness and a Criminal Record ................................ 3

Mental Illness Among Adult Offenders .......................................... 4

Mental Illness Among Youth Offenders .......................................... 4

Education and Employment Among Offenders .................................... 4

Promising Practices in Reentry ....................................................... 5

Supervision and Substance Abuse Treatment Initiatives ............................. 5

Mental Health Treatment for Adults ............................................. 5

Mental Health Treatment for Youth ............................................ 6

Focus on Workforce Investment ............................................... 7

Federal Bonding Program .................................................... 8

Current Federal Reentry Efforts ................................................ 8

Eligibility Requirements ............................................................ 9

Key Partners ............................................................... 9

Additional Partners ......................................................... 10

Guidelines for Developing Applications ............................................... 10

Principles of Reentry ....................................................... 10

Required Elements of Reentry Programs ........................................ 11

What to Include in the Application ................................................... 19

Project Narrative .......................................................... 19

Budget Narrative and Budget Worksheet ........................................ 21

Project Abstract ........................................................... 22

Project Timeline ........................................................... 22

Administrative Requirements ................................................. 22

Where to Submit Applications ...................................................... 25

Whom to Contact for Assistance .................................................... 25

Postaward Requirements .......................................................... 25

Reporting Requirements ..................................................... 25

Technical Assistance and Best Practices ......................................... 26

Suspension or Termination of Funding ................................................ 26

Appendix
Application Checklist

This checklist is provided as a guide for making sure your submission is complete. Please organize

your application following the order of items on the checklist. Failure to submit any of the checklist

items by the October 1, 2001 deadline may disqualify your application from consideration for funding. 

G Standard Form (SF) 424, Application for Federal Assistance. A copy is included in the

Solicitation’s Appendix. The Catalog of Federal Domestic Assistance (CFDA) number

is16.202.

G Project narratives may not exceed 50 double-spaced single-sided pages, using 12-point

standard type and one-inch margins. (The page limit excludes budget material, the project

abstract and timeline, supporting documentation, and the signature page.)

G Budget material. Submit a Budget Detail Worksheet and Budget Narrative . A sample

Worksheet is included in the Solicitation’s Appendix.

G Project abstracts may not exceed one page, using12-point type and one-inch margins.

G Timeline

G Assurances must be signed by an authorizing official of the applicant organization.

G Certifications Regarding Lobbying; Debarment, Suspension, and Other Responsibility

Matters; and Drug-Free Workplace Requirements must be signed by an authorizing official of

the applicant organization.

G Letter of nonsupplanting addressed to Acting Assistant Attorney General Mary Lou Leary. 

G Proof of 501(c)(3) status of nonprofit entities (if applicable).

G Licenses, accreditation, and certifications (if applicable).

G Documentation from substance abuse and mental health agencies of being in operation at least

2 years.

G OJP Accounting System and Financial Capability Questionnaire (if applicable).

G Optional Supporting Documentation

G Memoranda of understanding

G Letters of commitment and support

G Signature Page

Send an original application and three copies to the Corrections Program Office, Office of Justice

Programs, U.S. Department of Justice, 810 7 th Street, NW, Washington, DC 20531-0001, attention:

Young Offender Initiative: Reentry Grant Program . Applications hand-carried or sent by Federal

Express or other private carrier must be received by 5:30 p.m. EST, October 1, 2001, at the Office of

Justice Programs Mailroom, Lower Level, 810 7 th Street, NW, Washington, DC 20001 (202-
307-5881).

Overview

The U.S. Departments of Labor, Justice, and

Health and Human Services are pleased to offer

this joint solicitation for the Young Offender

Initiative: Reentry Grant Program. This Program

is unique because it represents the first time in

which these three federal departments have come

together to share funding and decisionmaking

around common goals. It reflects the realization,

reached early in the planning and development of

this joint venture, that any solution to the

recalcitrant social problem of reintegrating

ex-offenders into the community requires the

collaborative contributions of agencies charged

with ensuring public safety, public health, and

employment opportunity. 

The Department of Labor through its Employment

and Training Administration, the Department of

Justice through its Office of Justice Programs,

Corrections Program Office, and the Department of

Health and Human Services through its Center for

Substance Abuse Treatment and Center for Mental

Health Services have forged such a collaboration,

which we hope will serve as a model for state and

local governments as they work to resolve the

pressing problem of returning ex-offenders to

society. Additional offices involved in this effort

include the Department of Justice Executive Office

for Weed and Seed, National Institute of Justice,

and Office of Juvenile Justice and Delinquency

Prevention.

The Reentry Grant Program will provide funding

to design, implement, and evaluate reentry

programs for offenders ages 14 to 35 that combine

criminal justice supervision with job training,

mental health care, and substance abuse services.

The goal of the Program is to protect public safety

by successfully reintegrating young offenders into

the community. By combining supervision and

services, the Reentry Grant Program will help

offenders to achieve the following:

Become productive, responsible, and

law-abiding citizens.

Obtain and retain long-term

employment.

Maintain stable residences.

Successfully address substance abuse

issues and mental health needs.

Achieving this goal means being able to meet the

public-safety needs of our communities, as well

as the reentry needs of returning offenders. To

promote public safety and effective reentry,

communities must focus simultaneously on

offender supervision, self-sufficiency, mental

health, and related issues.

Addressing the safety needs of our communities

requires creating public-private partnerships to tap

the diverse expertise and resources of key

stakeholders. Reentry programs are highly

collaborative efforts that require broad-based

community support for success. Support may

include the leveraging of nonfederal funds and

resources to build permanent partnerships for the

continuation of services.

To encourage applicants to proposal innovative

reentry approaches, the Program allows them as

much flexibility as possible in structuring their

programs. Information about what must be

included in an application is provided in the

Program Narrative section of this Solicitation.

However, applicants should note that as reentry

programs are implemented, grantees will be

expected to document their activities, evaluate

their progress, and identify best practices for

disseminating to other communities. Therefore

applicants must propose program designs that are

data driven and outcome oriented and have

measurable goals and objectives.
2

Decisions about awards will be based on points

assigned to applications during a peer review

process. The Program Narrative section of the

Solicitation provides the points for each section.

Approximately $79 million is available for the

Reentry Grant Program (subject to Congressional

appropriations) to support as many as 25 grants for

up to $3.1 million each for a 24-month period, with

an additional 12-month period of award contingent

on funding availability, grantee performance, and

need for the program. 

The deadline for applying is October 1, 2001.

Applicants must meet all of the following criteria:

Is a state, local, or tribal agency or unit of

government; a public or private nonprofit

entity designated by the IRS as a 501(c)(3)

organization; or a local Workforce

Investment Board (WIB) that has formed a

partnership with state and local agencies.

Has demonstrated the community’s broadbased support for the project by

establishing partnerships with state and

local criminal justice, mental health,

substance abuse, and employment-related

agencies serving the communities in

which the target population of offenders

will reside.

Has described in the application the

nature of the partnership and role of each

partner in the application and included

signatures of all of the partners to indicate

their commitment to participate fully in all

aspects of the project.

Can identify and reach offenders from

among the target population of adults who

have been confined for a minimum of 12

consecutive months and are 35 years old

or younger when entering the program

and youth who have been confined for at

least 6 consecutive months and are at least

14 years old when they enter the program.

Challenges to Reentry

The challenges to meeting the employment,

education, and mental health care needs of exoffenders is the focus of this section and is

followed by a review of reentry strategies and

programs that hold some promise for success.

Sources of further information, in particular about

the complex correlation linking crime to poverty,

substance abuse, undereducation, and joblessness,

are provided in the Appendix. 

During the 1990s, the rate of incarceration of

offenders in state and federal prisons and local

jails rose sharply throughout the country, climbing

from 292 inmates for every 100,000 residents in

December 1990 to 481 inmates for every 100,000

residents in June 2000. In absolute numbers these

rates represent an increase from 1.1 million men

and women held in 1990 to 1.9 million in June

2000. By far the most dramatic growth was in the

Young Offender Reentry: Demonstration 

Grant Program

This solicitation is one of two released as part of the

Young Offender Initiative. A second solicitation,

Young Offender Initiative: Demonstration Grant

Program, is available to communities seeking funding

for reentry programs for offenders ages 14 to 24 who

are already in the criminal justice system, are gang

members, or are at risk of gang or criminal

involvement. The $11.5 million Demonstration Grant

Program targets an age-related subset of the Young

Offender Initiative’s target population and retains the

goal of providing reentering offenders with job training

and employment opportunities, education, substance

abuse treatment and rehabilitation, mental health care

and aftercare, housing assistance, family support

services, and criminal justice supervision. Potential

applicants may apply to both programs but are eligible

to receive only one award for programs targeting the

same or similar populations. For more information

about the Young Offender Initiative: Demonstration

Grant Program or for a copy of the solicitation, see the

Department of Labor’s web site at wdsc.doleta.gov/sga/.
3

number of women inmates, which increased 110

percent over the 10 years to 92,688 in midyear

2000 and which now constitutes 6.7 percent of the

total inmate population.

The long-term consequences of such

unprecedented growth have implications for

thousands of communities across the country, since

most offenders complete their sentences and are

released from prison, currently at the rate of

600,000 a year. Moreover, although in the last

decade more public funding became available for

prison construction and operation to keep pace with

the growing number of inmates, fewer dollars were

directed to rehabilitative services for prisoners,

such as job-skills training, mental health treatment,

and substance abuse counseling. As a result,

inmates leaving prison will be increasingly less

likely to have first addressed their work, education,

housing, or health care needs.

Many offenders leaving prison will return to

communities where resources may not be

organized in ways best suited to successful

reintegration. Studies of offenders making the

transition to communities have found that the

existence of multiple and organized services,

combined with criminal justice supervision, can

reduce the recidivism rate, which at its current level

means nearly two-thirds of ex-offenders fail to

successfully reenter society. According to the

Bureau of Justice Statistics, 62 percent of

ex-offenders are rearrested within 3 years of their

release and 41 percent return to prison.

The barriers to successful reentry are multiple and

include reductions in personnel to supervise

parolees; less funding for transitional support

programs, including education programs and jobskills training; and high rates of substance abuse

and undiagnosed and untreated mental illnesses.

The Link Between Substance 

Abuse and Crime

The relationship between substance abuse and

crime has been clearly established by studies

conducted over the course of more than three

decades. More recently, in 1999, the Department

of Justice published a study of drug use among

arrestees detained for all crimes in 35 cities and

found 68 percent tested positive for one or more

illegal drugs, arrestees ages 21 and older were

more likely to test positive for most drugs, and

arrestees ages 31 to 35 were the most likely to test

positive for all drugs. Despite such evidence

linking substance abuse and crime most prisons

do not provide adequate treatment for inmates.

According to a recent study by the Department of

Health and Human Services, Substance Abuse and

Mental Health Services Administration

(SAMSHA), 45 percent of state prisons and 68

percent of jails do not have treatment programs.

In many cases where treatment is provided, it is

minimal. And although research shows that

treatment in segregated settings is most effective,

fewer than 22 percent of all prisons that do have

services use this approach.

The Stigma of Mental Illness

and a Criminal Record

There is always a dynamic tension between the

community’s need for safety and the ex-offender’s

need to return to society. Although protecting

public safety and social order are paramount,

significant investment also must be made in the

successful reentry of the offender. In this sense,

"good reentry is good public safety."

People who suffer with mental illness are greatly

stigmatized, which hinders both their treatment

and social adjustment. Likewise, there is a

recognized stigma for individuals who have

encountered the criminal justice system through

arrest, detention, and incarceration. When

someone has both a criminal record and mental

illness, this stigma grows exponentially and

becomes a way of excluding the offender from the

social group.
4

Without opportunities to be socially reintegrated

and accepted, ex-offenders with mental illness will

continue to be stigmatized, in some cases for life.

In response to the feelings of shame and rejection

associated with being stigmatized, the offender may

become angry and defiant and end up again in the

prison system. If reentry programs are to succeed

they must address the stigma ex-offenders

experience, especially offenders who suffer from

mental illness.

Mental Illness Among Adult 

Offenders

Nearly 1 in 5 inmates in U.S. prisons reports having

a mental illness, according to the National Institute

of Justice, and an estimated 60 to 70 percent of

them suffer from co-occurring mental illness and

substance abuse disorders. 

Untreated substance abuse and mental illness can

make it almost impossible for an ex-offender to

establish a full and productive life in the

community. Nonetheless, as a result of the social

stigma associated with mental illness, many

offenders will not seek treatment; and those who do

often find it is not available.

For a significant number of offenders, their

conditions are so disabling they must rely on Social

Security Disability and Supplemental Security

benefits as their main sources of income. Many

others exist with no income at all. Studies of

individuals who suffer from mental illness have

consistently found an 85 percent unemployment

rate and, in most communities, more than 30

percent of homeless people have a mental illness.

Mental Illness Among Youth 

Offenders

In the Surgeon General’s 2000 National Action

Agenda for Children’s Mental Health, he suggests

that the country is experiencing a public crisis in

mental health for infants, children, and youth.

Recent estimates place the rate of serious mental

illness among youth at between 9 and 13 percent.

If not identified and treated early youth with

mental health problems are at greatly increased

risk of ending up in the criminal justice system.

Studies estimate that 80 percent of young

offenders in the juvenile justice system have a

diagnosable mental health disorder and many also

suffer with a co-occurring substance abuse

disorder.

Education and Employment 

Among Offenders

Ex-offenders offer a pool of potential workers for

the millions of high technology, health care, and

other jobs that go unfilled because businesses

cannot find enough qualified workers. But

because of their lack of marketable skills and

education, ex-offenders remain an untapped

resource and instead tend to be underemployed or

jobless. Although employment data on exoffenders are limited, a study of adult offenders

entering Job Training Partnership Act (JTPA)

programs in 1997 found the employment rate was

high at 71 percent but more than half of these

workers were earning less than $7.50 per hour.

Underemployment or joblessness can trigger a

downward spiral for the ex-offender, cycling him

or her back into the prison system. In its 1999

report on drug use among arrestees, the Justice

Department noted that unemployed arrestees were

much more likely than employed arrestees to test

positive for a range of drugs. The only exceptions

were marijuana and amphetamine uses, for which

no significant difference was found between the

two groups.

In addition, many offenders return to communities

struggling economically. And communities with

the highest poverty levels also have the highest

rates of school drop out, joblessness, and crime.
5

Large, inner-city public schools typically have

drop-out rates of 50 percent compared to rates of

10 percent or lower in middle-class suburban

schools. Sixty percent of state prison inmates are

high-school dropouts, posing further barriers to

reentry.

Promising Practices in Reentry

Many coordinated multisystem programs have been

implemented to achieve the results sought by this

solicitation. Some of the more promising programs

and approaches are reviewed in this section. The

discussion focuses on reentry practices that

combine intensive supervision with transitional

community services, including drug testing,

substance abuse treatment, mental health care, and

job-readiness training and placement, which are far

more likely to reduce recidivism and increase

employment and abstinence from drugs than is

intensive supervision alone.

Supervision and Substance Abuse

Treatment Initiatives

Several studies point to the positive impact of

programs that combine substance abuse treatment

and postrelease supervision. In particular prisonbased treatment and follow-up residential treatment

(or residential transitional facilities in the

community) that are followed by outpatient

treatment, aftercare, and effective supervision can

reduce recidivism substantially. 

Recent studies of programs for offenders in

California, Delaware, and Texas underscore the

effectiveness of this approach. A study of the

Therapeutic Community in California’s Amity

Prison found that 3 years after release from prison,

27 percent of offenders who received in-prison and

after-prison treatment had recidivated, but 75

percent of offenders in the comparison group were

returned to prison. Another study looked at

offenders who received therapeutic community

treatment in the Kyle Prison in Texas, then spent 3

months in a community-based residential aftercare

program, which was followed by 12 months of

outpatient counseling. The recidivism rate for

offenders who completed the in-prison program

and community treatment was significantly lower

(20 percent) than the rate of recidivism among the

untreated comparison group (42 percent). 

A Delaware study of ex-offenders found that 3

years after release from prison, 31 percent of

offenders who had community-based treatment

and aftercare had recidivated compared with 71

percent of those in the comparison group.

Mental Health Treatment 

for Adults

The Surgeon General’s Report on Mental Health

(1999) discusses advances in several types of

treatment interventions for adults. For example,

antidepressants and antipsychotic medications can

reduce psychiatric symptoms dramatically and,

with proper management, the most debilitating

side effects of treatment with medication can be

reduced or eliminated. In addition, several types

of interpersonal therapies, notably cognitivebehavioral therapy and group-treatment

modalities, have proven effective and often are

used in combination with medication.

Other approaches are working well in providing

the social and personal supports individuals need

to function productively. Supportive employment

interventions and education help people with

mental illness obtain and hold jobs. Housing

services help them live safely in independent

housing and avoid the problems often found in

group living arrangements. When combined with

medications and treatment, these supports increase

the likelihood that an individual can remain a

functioning member of the community. 

Effective treatments must be tailored to individual

needs. For example, offenders with histories of

physical or sexual abuse will need treatment that
6

includes trauma intervention. Female offenders

will have different treatment needs than males. 

The different developmental needs of youth and

adults call for different kinds of services. 

The emergence of a model for treating people with

co-occurring mental illness and substance abuse is

of special relevance to offender reentry programs.

It has been well-established in the literature and in

practice that integrated services offer far better

outcomes than parallel or serial services delivered

by separate mental health and substance abuse

systems and treatment teams.

Most of the advances in mental health treatment

discussed in the Surgeon General’s 1999 report

involve interventions that can be delivered in

community settings, which is preferred.

Mental Health Treatment for Youth

Increased awareness of the extent of mental illness

among children and youth and new research

findings have led to the development of many

promising policies and practices, such as the

following:

Development of MAYSI, a screening tool

designed for identifying mental health and

substance abuse disorders among youth in

contact with the justice system.

Treatment interventions and approaches,

such as the Multi-Systemic Therapy and

Functional Family Therapy, which support

the belief that these youth can be 

treated and managed successfully in

community-based settings.

Development of the systems of care model,

which provides a community framework

for treating children and youth with serious

emotional disorders. Wrap-Around

Milwaukee is an example of a model that

incorporates individualized, communitybased treatment, family services, and

supports for youth involved with the

juvenile justice system.

Less emphasis has been placed on developing

reentry or aftercare initiatives for young offenders

with mental health disorders. Compared with

information about reentry adult offenders, little is

known in general about reentry issues affecting

youth and even less research and knowledge exist

about effective principles and practice for young

reentry offenders with mental health disorders.

When focused on young offenders in general, and

not specifically on offenders with mental health

disorders, experts on reentry and aftercare have

found that successful reentry strategies for highrisk youth leaving secure confinement must

include coordinated and comprehensive planning,

information exchange, continuity and consistency

in service provision and referral, and ongoing

monitoring. Brokering services with community

resources and links to social networks and

supports are critical.

One of the few studies to examine reentry

strategies for youth with mental health disorders

echos what experts and the literature suggest

about effective reentry approaches for offenders in

general—offenders provided with a structured

postrelease treatment plan do better in the

community and recidivate less than those not

given a reentry plan.

Focus on Workforce Investment

The Workforce Investment Act (WIA) of 1998

establishes comprehensive reform of federal job

training programs, with amendments affecting

service delivery under the Wagner-Peyser Act, the

Adult Education and Literacy Act, and the

Rehabilitation Act. WIA, which supersedes the

Job Training and Placement Act (JTPA),

provides a framework for a national workforce

development system to meet the needs of both

businesses and job seekers who want to further

their careers.
7

Central to implementation of WIA is America’s

Workforce Network (AWN), a nationwide system

of workforce development organizations that

provides information and services to help youth and

adults manage their careers and employers find

skilled workers. Services include skills training and

job placement for adults, dislocated workers, and

youth; employee locator and certification; income

maintenance; and employer incentive programs.

AWN resources are available to offenders even

before they reenter the community. Partners in

AWN include all levels of government, business,

labor, and local communities. Linking these

partners gives job seekers and employers easier

access to a range of services. 

One-Stop Centers

Under WIA, local areas are required to establish

one-stop delivery systems to help youth and adults

negotiate their way into the world of work. OneStop Centers provide young people and adults with

access to information, resources, core services, and

intensive training for developing age- and situationappropriate career strategies. Community

organizations refer youth to One-Stop Centers, the

Youth Opportunity Grant (YOG) Program, as well

as other service providers. Youth offenders who

will be assisted by reentry programs funded

through this solicitation can use their local OneStop Centers to access AWN services.

Adult Services

Adult offenders may obtain both core and intensive

services, depending on their need. Core services

would include assessments of individual skills,

abilities, aptitudes, and need; assistance with

unemployment compensation; access to WagnerPeyser Act-funded employment services, such as

the state’s public labor exchange and labor market

information; career counseling; job search and

placement assistance; and information on training,

education, and related support, for example, child

care and transportation. Eligible adults (ages 18

and older) may obtain more intensive services and

training, including Individual Training Accounts,

through approved local providers.

Youth Services

WIA emphasizes serving young people ages 14 to

21, with a more systematic, comprehensive range

of coordinated programs and strategies that are

available year round. Because WIA requires local

areas to spend at least 30 percent of their youth

funds on out-of-school youth, court-involved and

reentry youth may constitute a significant

population who can benefit from WIA services.

WIA also requires local areas to conduct at least

a year of follow-up after a youth completes the

program and secures a job or returns to school.

Through One-Stop Centers, young offenders will

have access to an array of support services that

includes occupational training, internships,

summer employment, job placements, counseling,

mentoring, tutoring, vocational and academic

education, as well as leadership development.

Depending on their needs, youth also may be

referred to other Department of Labor-funded

initiatives, such as Job Corps, YOG programs, and

continuing local school-to-work partnerships.

WIA emphasizes a comprehensive and integrated

approach to helping young people prepare for the

workplace by requiring all of its youth programs

to take a “youth-development” focus. Several

model employment programs for youth offenders,

including programs recognized by the Promising

and Effective Practices Network (PEPNet), are

supported at the local level with WIA funds and

incorporate mentoring, community and service

learning, leadership training, and similar strategies.

Youth Councils

WIA establishes state and local Workforce

Investment Boards (WIBs) to focus on strategic

planning, policy development, and oversight of the
8

workforce system. Youth Councils are subgroups

of local WIBs and are required to develop sections

of the local plan relating to youth, to recommend

providers of youth services, and to coordinate local

youth programs and initiatives. WIA and the Youth

Councils allow local areas to see how services for

in-school and out-of-school youth are blended and

deployed. The Councils provide the framework that

local areas can use to realign, enhance, and

improve youth services to ensure they are closely

coordinated, better used, and more effective.

Youth Opportunity Grants

In 2000, the Department of Labor awarded Youth

Opportunity Grants (YOGs) to 36 communities.

The YOG Program is part of a discretionary effort

that provides comprehensive services to primarily

out-of-school youth ages 14 to 21 in high poverty

areas. Funds are used to address school drop-out

rates, joblessness, skills and youth development,

and similar other issues. An initial investment of

$250 million authorized under WIA represents the

Department of Labor’s efforts to improve youth

programs in underserved Empowerment

Zone/Enterprise Communities nationwide. Sites

develop partnerships with the juvenile-court and

corrections systems to identify young ex-offenders

who may return to YOG communities and could

benefit from the program.

Federal Bonding Program

Through its innovative Federal Bonding Program

the Labor Department helps offenders overcome

barriers to joining the workforce by providing

insurance policies to businesses to protect them in

case of loss of money or property as a result of

employee dishonesty.

Current Federal Reentry Efforts

Several other national initiatives have focused on

supervision of and services for both adults and

youths in the community, and their designs can also

inform the design and development of reentry

programs. These include the Center for Substance

Abuse Treatment’s Criminal and Juvenile Justice

Treatment Networks, the Drug Courts Program,

and Treatment Alternatives for Safer

Communities (TASC), a model that combines

accountability with clinical case management and

has demonstrated success for 20 years.

In a joint federal effort, the Departments of Labor

and Justice formed an interagency team to oversee

the rapidly growing number of Youth Offender

Demonstration projects. The projects include

community-wide and small community capacitybuilding demonstrations, as well as school-towork models. 

The Department of Justice is sponsoring programs

particularly relevant to this joint federal initiative,

the Breaking the Cycle program for adolescents

and adults and an initiative to create Reentry

Partnerships and Reentry Courts in seventeen

jurisdictions. The Reentry Partnerships involve

representatives from institutional and community

corrections agencies, community policing

departments, and community-based organizations

responsible for services that would impact an exoffender’s return to the community (coordinated

surveillance, drug testing and treatment, job

training and placement, health and mental health

services, education, family services, and

transitional housing). Reentry Courts use their

authority to apply graduated sanctions and

incentives to promote positive behavior and

marshal the resources needed to support

prisoners’ successful reintegration. Internet

addresses to information about the programs

described here are listed in the Appendix. 

Eligibility Requirements

Applicants must have established and described in

their application a partnership that includes all of

the following eight entities: the state and local

corrections or juvenile justice agencies, the state
9

and local mental health and substance abuse

agencies, and the state and local Workforce

Investment Boards (WIB). This section lists who

specifically from each agency must be involved. In

addition applicants are encouraged to include other

public sector and community- or faith-based

organizations as project partners. Multiple

applications from states are encouraged. 

The partnership must select the lead agency to

serve as the applicant and the fiscal agent or

grantee. If the lead agency designates another to

serve as fiscal agent, the lead will remain as grantee

with ultimate responsibility for the grant.

The lead agency and/or fiscal agent must be a state,

local, or tribal agency or unit of government;

public or private nonprofit entity with 501(c)(3)

status as designated by the IRS (e.g., communityor faith-based organization); or local WIB that has

formed a partnership with state and local agencies.

Key Partners

In addition to a description of their partnership

applicants must submit a signature page (found in

the Appendix) with their application signed by all

eight partners. The signed page should be attached

as the last page to the application. 

The following are required partners from the state:

Commissioner of corrections and/or head

of the juvenile justice agency

Chair of the state WIB

Director of state substance abuse agency

Director of state mental health agency

The required local partners are

Official of the chief law enforcement

agency

Chair of the WIB

Head of the governmental substance

abuse agency

Head of the governmental mental health

agency

The application should describe each partner’s

role and responsibilities and indicate that the

partners agree at a minimum to do the following:

Appoint someone with decisionmaking

authority to serve on the Reentry Steering

Committee (RSC) (see Multisystem

Partnerships for information on the RSC).

Participate fully in the project planning

and implementation period.

Commit the necessary resources and

support to carry out the project.

Consistent with laws and regulations

governing participant protection provide

client and systems information necessary

to conduct program evaluations.

Agree to share resources and information

necessary for the successful reentry of exoffenders.

Work to continue the program after

federal funding ends.

Additional Partners

Other stakeholders will play significant roles in the

proposed reentry program and may include the

chief elected officials in the geographic areas

being served; community corrections supervisor

(e.g., chief of local community corrections or the

judicial agency with supervisory authority over

returning young offenders) or supervisor of youth

offenders; prison administrators; district attorney

or prosecutor; public defender; or victims’
10

advocate. Applicants may demonstrate the level of

the stakeholder’s commitment to the project in

several ways, for example, through memoranda of

understanding or letters of commitment or support.

All direct service providers, including the applicant,

must be in compliance with state and local

licensing, accreditation, and certification

requirements. Copies of the applicant’s license,

accreditation, and certification documentation must

be included in the application, if applicable.

Substance abuse or mental health service agencies

must submit documentation that they have been

providing services for at least 2 years.

Guidelines for Developing

Applications

Principles of Reentry

The federal partners funding this initiative believe

that reentry programs should reflect certain

principles and expect applicants’ program plans to

incorporate the following principles of reentry:

The community’s interest and public

safety are the primary program goals.

Program success is measured by the

successful reintegration of young

offenders into their communities.

Promoting healthy development and

responsibility in young persons helps

secure public safety.

Effective cross-agency partnerships are

essential for successful reentry and

sharing resources and authority.

Reentry is a community goal and reentry

programs should use community strengths

and resources.

Individualized reentry plans are a 

prerequisite for successful programs.

Reentry efforts begin with prerelease

assessment and planning and end with

employment, permanent housing, absence

of rearrest over the long term, and success

in addressing substance abuse issues and

mental health needs. Reentry programs

reflect a seamless process of reintegration

from institution to community.

A continuum of supervision and services

must be provided beginning during

incarceration and continuing in the

community following release.

Case management is a key ingredient

that serves coordination by linking and

brokering functions.

Required Elements of Reentry Programs

The goal of the Reentry Grant Program is to

enhance community safety through the successful

reintegration of young offenders ages 14 to 35 into

the community by helping them become

productive, responsible, and law abiding citizens;

maintain long-term employment and a stable

residence; and successfully address their substance

abuse issues and mental health needs. 

The primary operational goal of the program is to

protect public safety and support the successful

return of offenders to the community by making

sure they have timely access to a complete

continuum of supervision, programs, and services.

It is expected that the grantee will provide this

continuum through funds awarded under this grant

program and by other community resources,

including existing programs and services, and the

funding of any new programs and services needed.

Twelve required elements of reentry programs

must be incorporated into the design and
11

development of any strategies or programs

supported by Reentry Program grants. The federal

partners believe that how adult and youth exoffenders are reintegrated into the community is

primarily a state and community decision and

state-level and community stakeholders must

provide the final design for the approach. 

Applicants will have considerable flexibility in

incorporating the program elements. If state or

local laws or conditions require substantial

deviation from a required element, applicants may

propose that deviation. However, applicants must

provide adequate justification for any deviation

from the required program elements and

demonstrate that it is consistent with the overall

purpose of this solicitation. The twelve required

elements, which must be addressed in the program

narrative section of the application, are as follows:

1. Planning Phase

2. Multisystem Partnerships

3. Staff for Multisystem Management and

Case Management

4. Identification of Target Population

5. Assessment

6. Offender Reentry Plan

7. Team Case Management Beginning in the

Institution

8. Continuum of Supervision and Services

9. Victim Involvement

10. Family Involvement

11. Integrated Information Management

12. Participation in Evaluation

1. Planning Phase

Because of the complexity of this project, a

planning phase of approximately three to six

months is required. During this phase grantees will

develop

The Reentry Steering Committee (RSC)

(See Multisystem Partnerships.)

A Program Operation Plan approved by

the government project officer and statelevel project stakeholders: the Workforce

Investment Board (WIB) chair, the

corrections commissioner or juvenile

justice agency head, the substance abuse

agency director, and the mental health

agency director.

All procedures, forms, and instruments

for program operation with the written

approval of all procedures, forms, and

instruments from all necessary agencies.

2. Multisystem Partnerships

Reentry Steering Committee

The Reentry Steering Committee (RSC) will be

composed of representatives from the partner

organizations that will be instrumental to the

project’s implementation. The representatives

must have decisionmaking authority for the

organizations they represent. The RSC will advise

the project on all aspects of implementation and

operation. The lead agency and its staff will

report regularly to the RSC. Collaboration will be

key. A successful reentry program must have the

complete support of all participating stakeholders

from the staff level to top managers of each

organization. The RSC should include

appropriate representatives from the following:

Applicant agency

WIBs and WIA Youth Councils

Law enforcement agencies

Elected officials in service areas
12

Parole and probation agencies

Judiciary

Prosecutor or district attorney’s office

Primary incarceration centers

Defense bar

Substance abuse agency

Mental health agency

Public health agency

Housing agency

Major service providers

Rehabilitated ex-offender not currently

under supervision

Victim advocacy organization

Community- and faith-based organizations

If the proposed RSC does not include all of the

above representatives, applicant should provide a

justification. RSC membership also may include

representatives from state-level stakeholders and

agencies, foundations, key private partners such as

employers and unions, child welfare agencies and

child-support enforcement agencies, and

disability-serving agencies.

3. Staff for Multisystem Management and

Case Management

Applicants should design their programs to ensure

there are sufficient staff for system development

and management and case management for

individuals. 

Multisystem Management

The design, implementation, and operation of

multisystem programs require significant amounts

of time. Furthermore, developing and maintaining

working relationships among several agencies and

systems with different priorities and cultures are

difficult feats, especially if key management staff

are viewed as working for one agency or system

rather than the project team.

The management plan must demonstrates as much

as possible how key project managers will work

for the entire initiative. They should ensure

sufficient management staffing to accomplish the

time-consuming and vital activities of developing

and maintaining effective partnerships while

attending to the daily operations of a complex,

multisystem initiative.

Case Managers

When designing the Reentry Case Management

Team, applicants should determine what case

management services already exist and how they

should be changed or augmented to meet the

needs of the program. Applicants are expected to

increase staffing levels to provide the intensity and

quality of case management needed for young

offenders in the program. Applicants should

determine whether they will use an existing

organizational structure to provide the case

management services or develop a separate case

management unit reporting to the project director.

Applicants are expected to expand capacity by

employing sufficient new staff to handle system

development, quality case management, and local

sustainability without supplanting existing

resources. Applicants are encouraged to use

ex-offenders as staff and those with a history of

substance abuse or mental illness. Having some

staff with these backgrounds helps the therapeutic

process and builds the community’s capacity to

continue services after the grant ends.

4. Identification of Target Population

Applicants must identify and describe the target

offender population whom the program will serve.

Selection should be based on the needs of the

community, analysis of offender risks and assets,

the logic of the program design, and where

resources will have the most significant impact on

public safety. Selection criteria also may include

gender and geographic location. Programs may be

implemented statewide or at the community level.
13

The target population must be within the overall

age range of 14 to 35 when entering the program.

Targeted offenders must be returning from secure

confinement to the community. For state inmates,

the period of secure confinement must be at least

12 consecutive months. For young persons in the

juvenile system, the period of secure confinement

must be at least 6 consecutive months. Although

applicants have wide latitude in selecting their

target population, one of the priorities of this grant

program is to provide services to young offenders

who face multiple challenges to reentering their

communities. 

Applicants must demonstrate that the population

they propose to target poses a risk to community

safety and faces barriers to achieving the

following:

Becoming productive, responsible, and

law-abiding citizens.

Obtaining and retaining long-term

employment.

Maintaining stable residences.

Successfully addressing substance abuse

issues and mental health needs.

Applicants must submit a plan for how they will

comprehensively serve the targeted offenders. Any

offender who fits the criteria for the target

population but is not admitted to the program must

be referred to other services.

Applicants must submit an analysis of how many

young offenders would be eligible for the program

and how many would be served. Barriers to serving

young offenders should be identified and

appropriate solutions suggested. 

The analysis must include the number of eligible

persons leaving each institution every year, where

they go (by ZIP code or other similar data), and

how many the applicant expects to serve.

Applicants should base their analyses on historical

and current quantifiable data, such as

demographics, crime patterns and mapping, intake

mapping, release mapping, release mechanisms,

prior remedial efforts and failure rates, the number

and types of offenders, and other measurable data

relative to the community or population to be

served. Applicants must establish measurable

goals for the program, community, and offenders.

Applicants are required to establish pre- and

postintervention measurements that include crime

and recidivism reduction, offender training and

employment, reductions in the illicit use of drugs

and alcohol, and improved mental health services.

Applicants must detail the characteristics of the

population to be served and demonstrate how the

interventions proposed will respond to their needs.

Research demonstrating that the interventions are

appropriate and likely to be successful should be

cited. Great importance should be placed on

providing supervision and services to the target

population efficiently and cost-effectively. 

5. Assessment

An assessment of the offender’s needs for housing

and employment-related services, substance abuse

treatment, and mental health care must be

conducted well before his or her release from

prison. An individualized risk assessment also

must be completed to categorize an offender’s

likelihood of recidivism and level of risk to the

community and to identify the appropriate level of

community surveillance and support required.

Comprehensive assessment is needed to ensure

offenders are placed at appropriate levels of

supervision and receive appropriate services.

Reassessments should be conducted regularly to

measure progress and determine whether services

are working or the offender’s needs have changed.
14

6. Offender Reentry Plan

Reentry planning ideally should begin as soon after

confinement as practical to ensure that offenders

receive the programs and services for a smooth

transition. Case managers in correctional or

juvenile detention facilities must work with

community-based service providers and the

offender to develop a reentry plan that ensures

critical support services are provided during and 

after confinement. In addition to ensuring that core

self-sufficiency issues such as employment,

housing, and health-related issues are addressed,

case managers should work with offenders to

discuss issues regarding family, parenting, and

other fundamental life maintenance issues.

All offenders targeted to participate in the program

must have an Offender Reentry Plan developed

before their release date. The plan should be based

on a comprehensive assessment conducted initially

in the institution, developed jointly by the offender

and the Reentry Case Management Team, and

coordinated by the Team leader. The Team should

meet with the young offender in person at least

once.

After the inmate’s release from confinement, the

management team is responsible for regularly

updating the reentry plan. The offender should be

actively involved in all aspects of the plan and share

accountability for its success with the Team. Team

professionals are responsible for providing

appropriate supervision and services in a timely

fashion and the young offender is responsible for

complying with all terms of the plan. The plan

will remain in effect for as long as the offender

participates in the program. A Reentry Plan

could include the following elements:

Substance abuse treatment

Drug testing

Education 

Improving job skills

Employment or other means of support

Restorative justice plan, for example, 

performing community service and

responding to victims’ concerns when

appropriate.

Aftercare programs, including peer

support groups following initial

treatment

Avoidance of criminal behavior and 

behavior triggers

Compliance with all terms of probation or

parole

Consequences of noncompliance with

terms of the plan

Involvement of family and other natural

support systems, including reunification

plans when appropriate

Mandatory v. Voluntary Participation

Applicants may serve all ex-offenders, regardless

of whether they are under supervised release. For

those under formal supervision, such as parole or

probation, however, participation in the program

should be a mandatory condition of release.

Reentry offenders who will not be under formal

supervision, should have a signed Offender

Reentry Plan to participate in the program. The

plan should state clearly that failure to participate

in all elements of the program may result in

termination from the program.

Offenders who are eligible for services through a

program may vary in their legal status in ways
15

which will influence their participation and success.

For example, offenders required to participate as a

condition of their release may face legal sanctions,

including reincarceration, if they break program

rules or disrupt its operation. A detailed evaluation

of the degree and nature of the supervision the

proposed target population will be receiving and

the legal sanctions which may be available to

require participation should be presented as

part of the applicant’s proposal. In addition,

applicants should describe their plans 

for reaching, recruiting, and retaining targeted

offenders who are not under supervision. 

7. Team Case Management Beginning 

in the Institution 

Team management will begin when the offender’s

Reentry Plan is developed and continue until the

offender leaves the program. Team membership

may change as the focus of reentry moves from the

institution to the community and as different needs

are identified.

Team case management is essential for ensuring

continuity in the provision of appropriate services

and supervision particularly as changes in the

offender’s needs and behavior move him or her

along the continuum of services.

One member of the team will serve as the "case

lead" for each offender and will be responsible for

coordinating the offender’s reentry plan and

ensuring the offender’s compliance with case

management goals and objectives. The case lead

will arrange for regular meetings of the team to

staff each case and emergency team meetings to

respond to sudden changes in offenders’ needs or

their behaviors. Professionals who would make

appropriate members of a case management team

include

Institutional and community case

manager

Institutional and community social

worker

Institutional and community substance

abuse and mental health treatment

providers

School or other educational institution

representative

WIA service providers, One-Stop

Center partner

Institutional correctional prerelease

manager and community parole or

probation officer

Judge’s designee for Reentry Courts.

8. Continuum of Supervision and

Services

When coordinated properly through case

management, supervision and services will

become synergistic, increasing the chances of

positive outcomes for the offenders. Effective

coordination means that services and supervision

are available without interruption to offenders

when they are needed and in the quantities and

types necessary. For example, at least one year of

followup is needed to ensure success and should

be planned well in advance. Coordinated case

management would make this possible. 

The following are examples of supervision

practices and services the applicant may use.

Supervision: Surveillance, Monitoring,

Sanctions, Incentives

Enhanced community supervision

partnerships in which police, probation or

parole officers, and other case managers

working a targeted neighborhood have

access to information about the offender’s
16

reentry status, including the case

management plan and related information

on his or her community adjustment.

Supervision is intensified or reduced based

on the offender’s behavior.

Judicial or administrative authority to

impose safety-specific conditions of

release, such as curfews, restraining

orders, "live at" orders, civil protection

orders, and drug testing. 

Liaison between law enforcement and the

community to report illegal behavior.

Focus on behavior modification and

economic stability rather than solely on

compliance. This requires a long-range

view of success and the judicious use of

graduated sanctions and incentives.

Appropriate low-level sanctions that can be

swiftly and predictably applied should be

developed along with incentives that will

acknowledge successes throughout the

reentry process. 

Intermediate responses to technical

violations of supervision and minor

offenses to help reduce the use of detention

as a sanction.

Community safety units in which police

and corrections agencies collaborate to

locate and apprehend persons who have

absconded from probation or parole

supervision.

Skills Development and Job Placement 

Services

A WIA objective assessment will include a

review of the academic and occupational

skill levels, as well as the service needs of

each youth or adult. An individual service

strategy will be completed for each

offender. This assessment leads to links

with education, training, and employers.

Workforce Investment Services in the

institution include service delivery or

reentry orientation (e.g., job readiness

assessments and other employment

services).

Assessment of offenders’ skills, abilities

and interests, and job readiness.

Individualized training.

Development of an education and

employment plan.

Substance Abuse Services

Appropriate treatment calls for regular 

assessments and reassessments, with

changing treatment modalities and

clinical interventions as needed.

Treatment modalities should include

outpatient, intensive outpatient, day

treatment, and residential treatment.

Effective treatment requires a wide range

of clinical interventions within treatment

modalities.

Substance abuse education for young

offenders who are not abusers of or

dependent on alcohol or drugs.

Participation in support groups, such as

Alcoholics Anonymous, Narcotics

Anonymous, Women for Sobriety, and

Secular Organization for Sobriety.

Because substance dependence is a

relapsing disease, protocols should be

developed to retain participants in the

program when participants test positive
17

for drug or alcohol use.

Integrated treatment with mental health for

those with co-occurring disorders.

Mental Health Services for Adults

As is true for anyone with a serious mental illness

for offenders the fundamentals of effective service

delivery are integrated community-based services,

continuity of service providers and treatment, and

culturally sensitive and high-quality empowering

services. Models of treatment that are most

effective include the following components:

Regular screening and assessment with

appropriate referrals and followup.

Case management through approaches

such as Assertive Community Treatment

and psychosocial rehabilitation services.

Crisis intervention, often carried out by

mobile crisis teams trained in mental

health.

Short-term inpatient treatment and

community alternatives for crisis care.

Appropriate medication and medication

management.

Consumer-operated and peer-support

groups.

Integrated treatment with substance

abuse for those with co-occurring

disorders.

Supported employment and housing.

Because the organization of services for adults with

severe mental disorders is the linchpin of effective

treatment, it is having a holistic delivery system that

will determine the success of the treatment.

Mental Health Services for Youth

Standard mental health treatment for youth with

serious emotional disturbances would include

Regular screening and assessment

Appropriate medication and medication

management

"Wraparound" services

Family support

Respite

Short-term residential treatment

Support Services and Resources

Reentry offenders need a broad base of support

services that must include assistance with locating

employment and affordable housing along with

the following:

Family preservation and reunification,

services, including family and child

support and restoration of custody

Child and dependent care

Transportation services

Medical care and welfare

Schools, including alternative and

postsecondary

9. Victim Involvement

The rights and privacy of victims must be

respected and programs must be sensitive to the

needs of victims. Appropriate victim and

community notification should occur when
18

offenders return to the community. 

10. Family Involvement

Family relationships can determine whether an

offender’s reentry will succeed or fail. Programs

should involve family members whenever it is

practical and appropriate. One option to address

victims rights is to include a restorative justice

component to the program.

11. Integrated Information Management

A management information system should be

developed to facilitate the identification, referral,

assessment, supervision, treatment, and tracking of

released offenders. This system should build upon

existing systems whenever possible and be

automated when feasible. Information collected

should include institution plans and services

received, tracking information, sanctions and

incentives used, and progress. The management

information system must be able to collect all data

needed for the national evaluations and federal

reporting requirements.

Applicants must describe how they will develop

and implement accurate and reliable data collection

systems that they will find useful in informing

program decisions and improving the effectiveness

of their services.

12. Participation in Evaluation

Successful applicants will be required to participate

in a national evaluation. Participation will include

collection of data consistent with a core minimum

data set and protocol established for all sites, a

cross-site evaluation of the overall

accomplishments of the program, and additional

evaluation focusing on selected sites. Additional

evaluations involving selected sites will occur on a

voluntary basis and be announced in a separate

solicitation.

A minimum core data set will be developed with

the input of site representatives shortly after grant

awards are made. The core data set will likely

contain 10 to 20 data elements that address the

following key program outcomes:

Rearrest/recidivism

School entry and retention

Housing stability

Entry/retention in needed mental health

and substance abuse treatment

Alcohol and illicit drug use

Employment and earnings

Client demographics

In addition to being part of a national evaluation,

applicants are expected to develop goals and

objectives for their programs and to regularly

monitor and evaluate progress achieving them.

Program monitoring and evaluation provide a

critical feedback mechanism for assessing the

effectiveness and efficiency of the program and

making corrections and improvements on an ongoing basis. 

What to Include in the Application

Project Narrative

Applicants should describe their proposal in detail

in their project narrative. Project narratives may

not exceed 50 double-spaced single-sided pages

using 12- point typeface and one-inch margins. A

peer review committee will evaluate applications,

assigning each a point value based on how well

the application addresses each of the following

sections. For example, a perfect score for Section

A will result in a rating of 10 points. Applicants

should refer to the Required Elements of Reentry

Programs and address them in their project
19

narratives.

A. Identifying Target Populations 

(Reentry Element 4) (10 points)

Describe the target population and the risks they

pose to specific communities to which they return.

Since the project should be data-driven, include

data to support the rationale for the selection of the

target population. Document the risks to the

community.

Describe the offender population selected in terms

of supervision, substance abuse treatment, mental

health, and employment needs.

Describe where there are gaps in needed services.

For the chosen population, compare the need for

supervision and services with the availability of

services.

B. Project Design and Description 

(40 points)

Discuss and justify the project approach for the

planning phase (3 to 6 months) (Element 1). 

Describe the components of the Young Offender

Reentry Plan and planning process (Element 6).

Describe and justify the project approach for the

operational phase.

Describe how you will conduct comprehensive

needs assessments of the target population,

including the need for mental health, substance

abuse, risk level, and employment-related services

(Element 5).

Describe how applicant will ensure continuity of

services between the institution and the community

(Element 7).

Describe the proposed continuum of supervision

and services for the target population (Element 8).

Discuss the number of persons expected to be

served during the period of the grant. State the

number of persons expected to receive each of the

various services proposed in the application. 

Describe if and how family members will be

involved in the reentry process (Element 10).

For all services to be provided, document that they

are best practices based on research and the

relevant field’s literature on previous successful

outcomes experienced by the applicant or on

identifiable models or programs.

C. Partnerships and Project

Sustainability (20 points)

Describe the level of commitment and partnership

the key stakeholders have in working closely

together on this project and give examples of how

this commitment will be made operational. Be

explicit about the nature of public-private

partnerships. Refer to the memoranda of

understanding, letters of commitment or support,

or other documentation from key partners and

other stakeholders that demonstrate the

development of partnerships in your project and

include these with your application.

Describe how victims’ rights will be addressed by

the partnership (Element 9).

Although grantees will not be required to match

the federal funds, the funding partners are very

much interested in and committed to project

sustainability. Applicants are encouraged but not

required to leverage and align with other funds or

resources to build permanent partnerships for the

continuation of services. If leveraged funds or

resources are brought to this project, discuss the

nature of these leveraged resources (e.g., federal,

nonfederal, cash or in-kind, state and county,

foundation, capital equipment). Any voluntary

cost sharing/leveraging of funds will become part

of the grant, and such funds must support the
20

goals of the project. Please note that the total of

these funds should be included in the budget

worksheet and described in the budget narrative.

Describe how this program will continue after

federal funding ends. Provide a plan to secure

resources or obtain support to continue services

after the grant project period has ended, including

resources and support from private sources. 

D. Management, Organizational, and

Information Management Capability

(20 points)

Present a realistic management plan for the project

that describes the organizations that will be

involved, their roles in the project, and their

 relevant experience. Justify why the lead agency

(applicant) has that responsibility.

Describe who will be on the Reentry Steering

Committee (RSC), who will chair it, and what

decision-making authority the RSC members will

have. Describe how RSC decisions will be accepted

and implemented by the participating agencies and

how the lead agency and the RSC will ensure

stakeholders will meet the commitments made by

them in this application and letters of support

(Element 2).

Discuss how the applicant will be accountable to

the RSC for project planning and implementation.

Provide a staffing plan, including the level of effort

and qualifications of the project director and other

key personnel. Provide an organizational chart

exhibiting the staff positions related to the project

and their relationships to one another. Identify and

include staff positions that are provided for the

project through other funding. Include specific

numbers of staff by position title that will be used,

identifying both existing staff and new hires.

Describe how key project managers will engage in

multisystem management and case management

(Element 3).

Show evidence of the appropriateness of the

proposed staff based on the language, age, gender,

sexual orientation, disability, and ethnic, racial,

and cultural factors of the target population.

Detail a staff training plan for all persons who will

be providing services.

Discuss the capability and experience of the

applicant organization with similar projects and

populations.

Provide a separate timeline for the project and

attach this behind the project abstract. The

timeline should indicate the planning and

implementation of the project.

Describe the resources available (e.g., facilities,

equipment) and provide evidence that services

will be provided in locations and facilities that are

adequate and accessible and that the environment

is conducive to the target population.

E. Program Outcomes, Performance

Measures, and Continuous Quality

Improvement (Elements 11 and 12)

(10 points)

Describe expected outcomes for the offenders as

the result of being served by the project. For each

outcome, provide number of persons expected to

be served and discuss what performance measures

and indicators will be used to determine whether

these outcomes are being achieved. Define what

will be considered the successful attainment of

each outcome in terms of these performance

measures and indicators.

Describe the expected impact of your intervention

on public safety by reintegrating young offenders.

Address the impact in light of the project’s stated

goals (see Overview). Describe how information

and data will be organized, collected, and shared

with the independent evaluators for the national
21

evaluation. 

Explain in detail how project activities will be

regularly compared to expected project outcomes

and then modified as needed to improve the

probability of achieving project outcomes.

Budget Narrative and Budget 

Worksheet

Funding Restrictions

Generally, all funds provided under this program

may be used for the purposes of this solicitation.

The funding agencies intend to be as flexible as law

allows in the use of their respective funds.

However, there are specific statutory limitations to

the use of funds received. These include the

following:

Department of Labor: Grant funds under

Section 171 of WIA shall be used to

address employment and training needs.

Projects shall include the provision of

direct services to individuals to enhance

employment opportunities and an

evaluation component and may include

other related employment and training

activities set forth in Subsection (b).

Specifically, grant funds may not be used

for construction.

Department of Justice: Grant funds shall

be used for law enforcement participation

and coordination of offender reentry

programs. Funds may not be used for

substance abuse or mental health treatment

or job training. 

Department of Health and Human

Services (CSAT and CMHS): Funds may

not be used to provide substance abuse or

mental health services in prisons, jails, or

juvenile detention centers; or to fund

involuntary civil commitment for mental

health treatment or compelled

administration of medication; or for

construction. This restriction does not

apply to conditions of probation or parole.

Funding Criteria

Applications will be reviewed for technical merit

in accordance with review procedures established

for this Program. Eligible applications that meet

all submission requirements will be evaluated and

rated by an Interagency Peer Review Panel

representing each federal funding agency using

criteria included in this solicitation.

Decisions to fund a grant are based on the quality

and soundness of the application, availability of

funds, and evidence of nonsupplanting of funds.

Funding decisions also will be made to achieve

diversity in the distribution of awards by

geographic areas (that is, rural, suburban. or

urban), program sizes, and characteristics of the

target populations, for example, gender, age, race,

ethnicity, disability, and education level. A

minimum of two awards may be granted to Tribal

governments.

Preparing Your Budget Narrative 

and Budget Worksheet

The application must include a detailed budget

and budget narrative for the project (see the

Appendix for a sample budget). The budget must

be complete, reasonable and cost-effective in

relation to the proposed project and must clearly

describe the proposed amount and uses of grant

funds over the grant period and how the amounts

of the specific budget items were determined.

The budget should provide the basis for the

computation of all project-related costs and cover

the cost of all components of the project. There

must be a clear link between the proposed

activities and the proposed budget items.

Applicants should carefully consider the resources

needed for the project and present a realistic

budget that accurately reflects project costs. 
22

Because this is a multiagency-funded project with

restrictions on allowable activities for each funding

source, please refer to the section titled Funding

Restrictions when preparing your budget and

accounting for federal funds. The sample budget in

the Appendix reflects allowable costs for each

funding source. 

Project Abstract

The application must include an abstract not to

exceed one page summarizing the project and

addressing in particular the target population;

project design and description; project partnership

and sustainability; the project’s management,

organizational, and information-management

capability; project outcomes and performance

measures; and continuous quality improvements

that will be undertaken.

Project Timeline

Applicants must submit a separate timeline that

indicates all phases of the project.

Administrative Requirements

Application for Federal Assistance

Standard Form (SF) 424

The Application for Federal Assistance form (SF424) is a cover sheet that must be submitted with

all applications. A copy is in the Appendix. The

Catalog of Federal Domestic Assistance (CFDA)

number is 16.202 and the title is Young Offender

Initiative: Reentry Grant Program. List the federal

cognizant audit agency and fiscal year of the

applicant organization in block 11.

Assurances

A signed Assurances form must be submitted with

the application. A copy of the form is included in

the Appendix. The Assurances form contains a list

of assurances that the applicant must comply with

in order to receive federal funds under this

program. It is the responsibility of the recipient of

the federal funds to fully understand and comply

with these requirements. Failure to comply may

result in the withholding of funds, termination of

the award, or other sanctions. 

Certification Regarding Lobbying;

Debarment, Suspension, and Other

Responsibility Matters; and Drug-Free

Workplace Requirements

The Certifications form must be signed by and

submitted with the application. A copy of the

form is included in the Appendix. In signing and

submitting the Certification Regarding Lobbying,

Debarment, Suspension, and Other Responsibility

Matters; and Drug-Free Workplace Requirements

form, the applicant agrees to comply with the

following:

Lobbying: The applicant and its subgrantees,

contractors, and subcontractors will not use

federal funds for lobbying and will disclose any

lobbying activities.

Debarment: The applicant and its principals have

not been debarred or suspended from federal

benefits and/or no such proceedings have been

initiated against them; have not been convicted of,

indicted for, or criminally or civilly charged by a

government entity for fraud, violation of antitrust

statutes, embezzlement, theft, forgery, bribery,

falsification or destruction of records, making

false statements, or receiving stolen property; and

have not had a public transaction terminated for

cause or default.

Drug-Free Workplace: The applicant will or will

continue to provide a drug-free workplace. 

Signing and submitting the Certifications form

commits the applicant to compliance with

certification requirements under 28 CFR Part 69,
23

New Restrictions on Lobbying, and 28 CFR 67,

Government-Wide Debarment and Suspension

(Nonprocurement) and Government-Wide

Requirements for Drug-Free Workplace (Grants).

The certification will be treated as a material

representation of the fact on which the Justice

Department will rely in making awards.

Civil Rights Compliance

Applicants must submit the name and contact

information for the person responsible for ensuring

compliance with all civil rights related matters.

Please use the form contained in the Appendix. 

All recipients of federal grant funds must comply

with nondiscrimination requirements contained in

federal laws. Should a court or administrative

agency make a finding of discrimination on

grounds of race, color, religion, national origin,

gender, disability, or age against a recipient of

funds after a due process hearing, the recipient

must agree to forward a copy of the finding to the

Office for Civil Rights, OJP. Applicants should

consult the Assurances understand the applicable

legal and administrative requirements.

Human Subject Research and 

Confidentiality Compliance

For information about research conducted with

federal funds, applicants for discretionary funds

should refer to 28 CFR Part 22 and Part 46

regarding confidentiality of personally identifiable

information and human subject research,

respectively. Applicants should review their

activities in light of the terms and definitions

contained in these parts.

National Environmental 

Policy Act Compliance

All federal grant recipients are required to assist the

sponsoring federal agency with complying with the

National Environmental Policy Act (NEPA) and

other related federal environmental impact

analysis requirements. Applicants are required to

inform OJP if the applicant must perform an

environmental impact analysis under a state or

local requirement for any of its proposed

activities or if a federal agency is conducting an

environment impact analysis. If the If the applicant

anticipates any related new construction,

renovation, or remodeling of a property that (1) is

used as part of the Reentry Program for which the

applicant is requesting funds, (2) is listed on or

eligible for listing on the National Register of

Historic Places, (3) is located within a 100-year

flood plain, or (4) would undergo a change in its

basic prior use or a significant change in size, then

the applicant should contact the Corrections

Program Office.

Letter of Nonsupplanting

Applications must include a letter from the

applicant certifying that the federal funds will be

used to supplement and not replace (supplant)

nonfederal funds should a grant award be made.

The letter should be addressed to Ms. Mary Lou

Leary, Acting Assistant Attorney General, Office

of Justice Programs, U.S. Department of Justice,

810 Seventh Street, NW, Washington, DC 20531.

Federal funds must be used to supplement existing

funds for program activities and may not replace

(supplant) nonfederal funds that have been

appropriated for the same purpose. Potential

supplanting will be the subject of monitoring and

audit. Violations can result in a range of penalties,

including suspension of future funds under this

Program, suspension or debarment from federal

grants, recoupment of monies provided under this

grant, and civil and/or criminal penalties.

Purchase of American-Made 

Equipment and Products
24

To the greatest extent practical, all equipment and

products purchased with grant funds should be

American made.

Single Point of Contact Review

Executive Order 12372 requires applicants from

state and local units of government or other

organizations providing services within a state to

submit a copy of the application to the state Single

Point of Contact (SPOC), if one exists and if this 

program has been selected for review by the state.

Applicants must contact the state SPOC to

determine if the program has been selected for state

review. The date that the application was sent to

the SPOC or the reason such submission is not

required should be entered in block 16 on the

Application for Federal Assistance, SF-424.

IRS Designation of Nonprofit Status 

and Other Required Documentation

Applicants must submit evidence of nonprofit

501(c)(3) designation by the IRS, license (if

applicable), documentation of accreditation or

certification (if applicable), and for substance abuse

and mental health treatment providers proof that

they have been operating for at least 2 years.

OJP Form 7120, Accounting 

System and Financial Capability 

Questionnaire

Nonprofit applicants that have not received funds

previously from the Office of Justice Programs

must complete OJP Form 7120, Accounting

System and Financial Capability Questionnaire. A

copy can be found in the Appendix.

Supporting Documentation

Applicants may submit supporting documentation,

such as memoranda of understanding, letters of

commitment, or letters of support to demonstrate

the level of the stakeholders’ commitment to the

project.

Signature Page

The signature page found in the Solicitation’s

Appendix should be signed by all of the required

key partners, with the lead agency first, and

submitted as the last page of the application.

Where to Submit Applications

An original and three copies of your application

should be submitted by regular mail or by

overnight mail to the Corrections Program Office,

Office of Justice Programs, 810 7th Street, NW,

Washington, DC 20531-0001. Attention: Young

Offender Initiative: Reentry Grant Program.

Applications hand-carried or sent by Federal

Express or other private carriers must be delivered

by 5:30 p.m. EST, October 1, 2001, to the Office

of Justice Programs Mailroom, 810 7th Street,

NW, Washington, DC 20001 202-307-5881. 

NOTE: Faxed and e-mailed applications will not be

accepted. Applications must be received by October

1, 2001. Late submissions will not be accepted.

Whom to Contact for Assistance

All questions including technical ones about

criminal justice, substance abuse, mental health,

and employment or workforce issues should be

submitted by fax or e-mail to Ask Reentry at 202-

307-2019( fax) or jonesn@ojp.usdoj.gov (e-mail).

Answers will be posted on the Office of Justice

Programs web site: www.ojp.usdoj.gov.

Applicants are encouraged to visit the web sites of

all three funding agencies:

http://www.samhsa.gov
25

http://www.doleta.gov

http://www.ojp.usdoj.gov

Postaward Requirements

Reporting Requirements

Successful applicants will be required to submit the

following reports in formats to be provided:

Financial Status Report: Financial Status Reports

are due quarterly on the 45th day following the end

of each calendar quarter. A report must be

submitted every quarter the award is active even if

there has been no financial activity during the

reporting period. The final report is due 120 days

after the end date of the award. Future awards and

fund drawdowns will be withheld if the financial

status reports are delinquent.

Single Audit Report: Recipients who expend

$300,000 or more of federal funds during their

fiscal year must submit an organizationwide

financial and compliance audit report. The audit

must be performed in accordance with the U.S.

General Accounting Office Government Auditing

Standards. The audit report is due to the Federal

Audit Clearinghouse no later than 9 months after

the close of the recipient’s fiscal year.

Semiannual Narrative Progress Report: The

semiannual progress reports must describe

activities during the reporting period and the status

or accomplishment of objectives as set forth in the

approved application for funding. Progress reports

must be submitted within 30 days after the end of

the reporting periods, which are January 1 through

June 30 and July 1 through December 31 for the

life of the award. In addition, a final report

summarizing progress meeting project goals and

objectives, significant results, and any products

developed is due 120 days after the project end

date. Report formats are included in the award

package. Future awards and fund drawdowns may

be withheld if reports are delinquent.

Quarterly performance reports providing

quantitative information about progress in meeting

specified performance objectives.

Technical Assistance and Best Practices

The federal partners will select a technical

assistance provider to help the funding agencies

and the grantees define the core data elements.

The technical assistance provider will guide

grantees in collecting and analyzing the data and

monitoring its quality. Under contract with the

funding agencies the provider also will organize

and facilitate technical assistance meetings and

provide other support as needed.

Grantees will be required to attend two technical

assistance meetings in the first year of the grant

and two meetings in each of the remaining years.

A minimum of ten persons are expected to attend,

including the program director. These meetings

are expected to be held in the Washington, DC,

will average 2 1⁄2 days in duration, and should be

included in the application budget.

Grantees also will be expected to monitor

developments in research on offender reentry

models and interventions and incorporate the

findings in their projects when appropriate.

Suspension or Termination of

Funding

The Office of Justice Programs may suspend

funding in whole or in part, terminate funding, or

impose another sanction on a recipient for the

following reasons:

• Failure to comply substantially with the

requirements or statutory objectives of

federal law.
• Failure to make satisfactory progress

toward the goals and strategies set forth in

the application.

• Failure to adhere to the agreement’s

requirements, standard conditions, and

special conditions of a grant award.

• Proposing or implementing substantial plan

changes that if originally submitted they

would have made the application not

qualified for funding.

• Filing a false certification in this

application or other report or document.

• Other good cause shown.

Before imposing sanctions, the Office of Justice

Programs will provide reasonable notice to the

recipient of its intent to impose sanctions and will

attempt informally to resolve the problem.

Hearing and appeal procedures will follow those

in Department of Justice regulations described in

29 CFR Part 18.

Appendix

# List of Resources

# Civil Rights Information

# Signature Page

# Budget Detail Worksheet 

# Sample Budget Detail Worksheet 

# Application for Federal Assistance

# Assurances Form 

# Certifications Regarding Lobbying; Debarment, Suspension, and Other Responsibility

Matters; and Drug-Free Workplace Requirements

# Disclosure of Lobbying Activities Form

# Accounting System and Financial Capability Questionnaire (for nonprofit organizations

that have not previously received federal funds from the Office of Justice Programs).
List of Resources

U.S. Department of Justice Office of Justice 

Programs

For information on crime control and prevention, 

adult and juvenile justice systems, criminal-justice 

research, statistics and programs:

Reentry Programs www.ojp.usdoj.gov/reentry

Bureau of Justice Assistance www.ojp.usdoj.gov/bja

Bureau of Justice Statistics www.ojp.usdoj.gov/bjs

Corrections Program Office www.ojp.usdoj.gov/cpo

www.csom.org

National Criminal Justice

Reference Center www.ncjrs.org

National Institute of Justice www.ojp.usdoj.gov/nij

Office of Juvenile Justice

and Delinquency Prevention www.ojp.usdoj.gov/ojjdp

The Urban Institute www.urbaninstitute.org

U.S. Department of Labor Employment 

and Training Administration

For information on youth and adult workforce 

programs, apprenticeship, the Workforce 

Investment Act (WIA), and the One-Stop 

Career System:

Employment and Training Administration www.doleta.gov

www.doleta.gov/etainfo.asp

Office of Workforce Security Research workforcesecurity.doleta.gov

Office of Policy and Research wdr.doleta.gov/opr/FULLTEXT/default.asp

Office of Youth Services www.doleta.gov/youth_services

Office of Adult Services www.doleta.gov/programs/adtrain.asp

Federal Bonding Program (Assists youth and adult 

offenders. Provides insurance policies to businesses 

for protection from loss of money or property 

due to employee dishonesty.) www.wtw.doleta.gov/docum

ents/fedbonding.asp

Employer Services www.doleta.gov/employ.asp

Work Opportunity Tax Credit www.workforcesecurity.doleta.gov/
-2-

employ/wotc.asp

Information on WIA implementation, One Stop

Delivery System, and resources for public- and

private-sector partnerships and programs. www.usworkforce.org

America’s Job Bank (On-line 

“job market” with more than 

1.5 million job listings from all 50 state 

and 500,000 resumes. Access is free.) www.ajb.org

America's Career InfoNet (Information

and resources to help jobs seekers make

"smart" career decisions. Access to national, 

state, and metro labor-market data not available 

elsewhere: employment trends, wages and more.) www.acinet.org

America's Learning eXchange (Offers training 

and education resources for career advancement 

and a more productive workforce. Access to more 

than 300,000 courses and 6,000 training providers. 

Database searches are free.) www.alx.org

America's Service Locator (Helps job seekers 

locate public service offices with information 

on finding a job, planning a career, locating 

training, dealing with job loss, and recruiting 

employees. Provides directions to the nearest 

location of services being sought.) www.servicelocator.org

O*NET Interest and Work Importance 

Tools, a powerful, up-to-date occupational 

database with descriptions and skills sets for 

specific occupations, helps workers evaluate 

skills needed in their current occupations, 

how to transfer skills to other occupations, and 

what new skills will make the transition to a new 

occupation. www.onetcenter.org

School to Work Program www.stw.ed.gov

Office of Job Corps www.jobcorps.org/main.htm

American Youth Policy Forum www.aypf.org
-3-

National Youth Employment Coalition and

Promising and Effective Practices Network www.nyec.org

National Information Center for Children 

and Youth with Disabilities www.nichey.org

Job Accommodation Network (An international 

toll-free consulting service providing information

about job accommodations and the employability 

of people with disabilities.) www.jan.wvu.edu

National Association of Workforce Boards www.nawb.org

Corporation for National Service www.cns.org

Public/Private Ventures www.ppv.org

National Association of State Workforce Agencies www.icesa.org

U.S. Department of Health and Human Services

Substance Abuse and Mental Health Services

Administration

For information about prevention, treatment, and 

rehabilitative services to reduce illness, death,

disability, and cost of substance abuse and 

mental illness. www.samhsa.gov

Center for Substance Abuse Treatment

Publications, e.g., Criminal and Juvenile

Justice Treatment Networks and Treatment

Alternatives for Safer Communities. www.treatment.org/topics/justi

ce.html

For information on screening, treatment, 

service integration, policy and planning:

Bazelon Center for Mental Health Law www.bazelon.org

The National Alliance for the Mentally Ill www.nami.org

National Association of State 

Mental Health Program Directors www.nasmhpd.org

The National GAINS Center for People with 

Co-Occurring Disorders in the Criminal 

Justice System www.prainc.com/gains
-4-

National Mental Health Association www.nmha.org
(Detach and Submit with Application)

CIVIL RIGHTS INFORMATION

List below the name, title, address, and telephone number of the civil rights contact person

who has lead responsibility for ensuring that all applicable civil rights requirements are

met and who will act as liaison in civil rights matters with the Office for Civil Rights of the

Office of Justice Programs, U.S. Department of Justice.

Name

Title

Address

City, State, and Zip Code

Telephone Number
Signatures of Partners

We, the undersigned, with authority to commit the support and resources of the organizations

we represent, agree to participate as full partners in the Young Offender Initiative: Reentry

Grant Project and to engage in all aspects of the design, implementation, and evaluation of the

project.

Name Date

Title and Organization (Lead)

Name Date

Title and Organization

Name Date

Title and Organization

Name Date

Title and Organization
-2-

Name Date

Title and Organization

Name Date

Title and Organization

Name Date

Title and Organization

Name Date

Title and Organization
OMB Approval No. 1121-0188

Expires 5-98(Rev. 12/97)

Budget Detail Worksheet

The following budget reflects a 24 month budget period.

Purpose: The Budget Detail Worksheet may be used as a guide for preparing your budget and budget

narrative. You may submit the budget and budget narrative using this form or a format of your choice

(e.g., plain sheets, your own form, or a variation of this form). However, all required information

(including the budget narrative) must be provided. Any category of expense not applicable to your

budget may be deleted.

A. Personnel - List each position by title and name of employee, if available. Show annual salary rate and

percentage of time dedicated to the project. Compensation paid for employees engaged in grant activities

must be consistent with that paid for similar work within the applicant organization.

Name/Position Computation Cost

TOTAL ___________

B. Fringe Benefits - Fringe benefits should be based on actual known costs or established formula.
-2-

Fringe benefits are for personnel listed in budget category (A) and for only the percentage of time devoted

to the project. Fringe benefits on overtime hours are limited to FICA, Workman’s Compensation, and

Unemployment Compensation.

Name/Position Computation Cost

TOTAL ___________

Total Personnel & Fringe Benefits ___________

C. Travel - Itemize the travel expenses of project personnel according to the purpose for the travel (e.g.,

staff to training, field interviews, advisory group meeting). Show the basis of computation (e.g., six people

to three-day training at $ airfare, $ lodging, $ subsistence). For training projects, the travel and meals

costs for trainees should be listed separately. Show the number of trainees and unit costs involved.

Identify the travel destination, if known. Indicate whether the travel costs are based on federal regulations

or the applicant’s travel policies.

Travel Purpose Location Item Computation Cost

TOTAL ___________

D. Equipment - List nonexpendable items to be purchased. (Note: Use Applicant organization’s 
-3-

capitalization policy for classification of equipment.) List expendable items in the Supplies category.

Analyze the cost benefits of purchasing versus leasing equipment, especially high cost items and those

subject to rapid technical advances. Rented or leased equipment costs should be listed in the “Contractual”

category. Explain how the equipment is necessary for the success of the project. Attach a narrative

describing the procurement method to be used.

Item Computation Cost

TOTAL ___________

E. Supplies - List items by type (office supplies, postage, training materials, copying paper, and other

expendable items such as books, hand-held tape recorders) and show the basis for computation. 

Generally, supplies include any materials that are expendable or consumed during the course of the project.

 Items Computation Cost

TOTAL __________

F. Construction - As a rule, construction costs are not allowable. In some cases, minor repairs or

renovations may be allowable. Consult with the program office before budgeting funds in this category.
-4-

Purpose Description of Work Cost

TOTAL ____________

G. Consultants/Contracts - Indicate whether applicant’s formal, written procurement policy or the

Federal Acquisition Regulations are followed.

Consultant Fees - For each consultant enter the name, if known, service to be provided, hourly or daily

fee (8-hour day), and estimated time on the project. Consultant fees in excess of $450 per day require

additional justification and prior approval from OJP.

Consultant Service Provided Computation Cost

SUBTOTAL ____________

Consultant Expenses - List all expenses to be paid from the grant to the individual consultant in addition

to their fees (e.g., travel, meals, lodging).
-5-

Item Location Computation Cost

SUBTOTAL ____________

Contracts - Describe the product or services to be procured by contract and estimate the cost. Applicants

are encouraged to promote free and open competition in awarding contracts. A separate justification must

be provided for sole source contracts in excess of $100,000.

Item Cost

SUBTOTAL ____________

TOTAL ____________

H. Other Costs - List items (e.g., rent, reproduction, telephone, janitorial or security services, and

investigative or confidential funds) by major type and the basis of the computation. For example, provide

the square footage and the cost per square foot for rent, and provide a monthly rental cost and how many
-6-

months to rent.

Description Computation Cost

TOTAL __________

I. Indirect Costs - Indirect costs are allowed only if the applicant has a federally approved indirect cost

rate. A copy of the rate approval (fully executed, negotiated agreement) must be attached to your budget.

If you do not have an approved rate, one can be requested by contacting the your organization’s cognizant

federal agency, which will review all documentation and approve a rate for your organization or, if the your

organization’s accounting system permits, costs may be allocated in the direct costs categories.

Description Computation Cost

TOTAL ___________
-7-

BUDGET SUMMARY

Budget Category Training Treatment Mental Health Criminal Justice Total

A. Personnel

B. Fringe Benefits

C. Travel

D. Equipment 

E. Supplies 

F. Construction

G. Consultants/Contracts

H. Other 

Total Direct Costs 

I. Indirect Costs 

Total Project Costs 

Federal Request

Estimated Nonfederal Contribution

OMB Approval No. 1121-0188

Expires 5-98 (Rev. 12/97)
SAMPLE

Budget Detail Worksheet

The following budget reflects a 24 month budget period.

Purpose: The Budget Detail Worksheet may be used as a guide for preparing your budget and budget narrative. You may submit the budget and

budget narrative using this form or in the format of your choice (plain sheets, your own form, or a variation of this form). However, all required

information (including the budget narrative) must be provided. Any category of expense not applicable to your budget may be deleted.

A. Personnel - List each employee by name and title, if available. Show annual salary rates and percentage of time dedicated to the project.

Compensation paid for project staff must be consistent with that paid for similar work within the applicant organization.

Name/Position Computation Cost

Project Director $70,000 x 100% $70,000

$71,400 x 100% $71,400*

Case Management Team Leader $55,000 x 100% $55,000

$56,100 x 100% $56,100*

5 Case Managers $35,000 x 100% x 5 $175,000

$35,700 x 100% x 5 $178,500*

2 Probation Officers $37,000 x 75% x 2 $74,000

$37,740 x 75% x 2 $75,480*

The project director will develop, plan, and oversee all aspects of the program. The Reentry Case Management Team Leader will coordinate the

development of the reentry plan. The case managers will be responsible for the providing the necessary services to the offenders in the program.

The probation officers will provide supervision once the offender is released.

*A 2% cost of living adjustment is scheduled for all full-time personnel for the second year of the grant.

TOTAL $755,480

B. Fringe Benefits - Fringe benefits should be based on actual known costs or an established formula. Fringe benefits are for the personnel listed

in budget category (A) and only for the percentage of time devoted to the project. Fringe benefits on overtime hours are limited to FICA,

Workman’s Compensation, and Unemployment Compensation.
SAMPLE

-2-

Name/Position Computation Cost

Fringe Benefits $755,480 x 24.65% $186,226

Fringe benefits are calculated at 24.65% of salaries and include employer’s FICA, retirement, workman’s compensation, unemployment

compensation and health insurance.

TOTAL $186,226

Total Personnel & Fringe Benefits $941,706

C. Travel - Itemize travel expenses of project personnel by purpose (e.g., staff to training, field interviews, advisory group meeting, etc.). Show

the basis of computation (e.g., six people to 3-day training at $X airfare, $X lodging, $X subsistence). In training projects, travel and meals for

trainees should be listed separately. Show the number of trainees and unit costs involved. Identify the location of travel, if known. Indicate source

of Travel Policies applied, Applicant or Federal Travel Regulations.

Purpose of Travel Location Item Computation Cost

4 TA Meetings Wash, DC Airfare 10 people x $500 x 4 $20,000

Hotel 10 people x $119/night

x 4 nights x 4 $19,040

Meals 10 people x $46/day

x 5 days x 4 $ 9,200

Local Travel Varies Mileage 2000 miles x .3 $ 690

Ten people will travel twice a year to technical assistance meetings in Washington, D.C. Local travel is for members of the Reentry Steering

Committee. Travel estimates are based upon applicant’s formal written travel policy.

TOTAL $48,930

 

D. Equipment - List nonexpendable items to be purchased. (Note: Use applicant organization’s capitalization policy for classification of

equipment.) List expendable items in the “Supplies” category. Analyze the cost benefits of purchasing versus leasing equipment, especially high

cost items and those subject to rapid technical advances. Rented or leased equipment costs should be listed in the “Contractual” category. Explain

how the equipment is necessary for the success of the project. Attach a narrative describing the procurement method to be used.
SAMPLE

-3-

Item Computation Cost

7 - Desktop Computers w/CD ROM $2,500 x 7 $17,500

Management Information System $10,000

The computers will be used by the project director, reentry case management team leader, and the case workers to assess, supervise and track the

offenders. The Management Information System will be developed to collect the necessary data for reporting requirements and national evaluation.

TOTAL $27,500

E. Supplies - List items by type (office supplies, postage, training materials, books, hand-held tape recorders) and show the basis for computation.

 Generally, supplies include any materials that are expendable or consumed during the course of the project.

Supply Items Computation Cost

Office Supplies $150/mo. x 24 mo. $3,600

Postage $75/mo. x 24 mo. $1,800

Office supplies and postage are needed for the general operations of the program.

TOTAL $5,400

F. Construction - As a rule, construction costs are not allowable. In some cases, minor repairs or renovations may be allowable. Consult with

the program office before budgeting funds in this category.

Purpose Description of Work Cost

TOTAL _____________

G. Consultants/Contracts - Indicate whether applicant’s formal, written Procurement Policy or the Federal Acquisition Regulations are followed.
SAMPLE

-4-

Consultant Fees: For each consultant enter the name, if known, service to be provided, hourly or daily fee (8-hour day), and estimated time on

the project. Consultant fees in excess of $450 per day require additional justification and prior approval from OJP.

 

Name of Consultant Service Provided Computation Cost

John Doe, M.D. assessments; crisis 1,040 hours 

Psychologist intervention; and treatment x $55/hr.x 2 year $114,400

Dr. Doe will provide mental assessments of offenders; crisis intervention; and treatment, including medication, if necessary.

Subtotal $114,400

Consultant Expenses - List all expenses to be paid from the grant to the individual consultant in addition to their fees (e.g., travel, meals, lodging).

Item Location Computation Cost

Subtotal__________

Contracts - Describe the product or services to be procured by contract and an estimate of the cost. Applicants are encouraged to promote free

and open competition in awarding contracts. A separate justification must be provided for sole source contracts in excess of $100,000.

Item Cost

Workforce Investment Board (WIB) Assessments $100,000

TBD - High School Equivalent Training 25 offenders x $1500/class $37,500

TBD - Parenting Classes 20 offenders x $500/class $10,000

TBD - Specialized Training 100 offenders x $2,500 $250,000

Employment Agency Job Placement $250,000

TBD - Substance Abuse Treatment Center:

Outpatient Services 50 offenders x $2,500 $125,000

Day Treatment 25 offenders x 30 days

x $75/day $56,250
SAMPLE

-5-

Residential Treatment 20 offenders x 90 days

x $150/day $270,000

Substance Abuse Education 25 offenders x $40/class $1,000

 

WIB will assess academic levels and job readiness of offenders. Specialized training costs will allow offenders to obtain job skills (e.g., auto

mechanic, computer specialist). The employment agency will help trained offenders find employment. The Substance Abuse Treatment Center

will provide assessments and reassessments of offenders, treatment, clinical interventions, AA and NA meetings; and substance abuse education

for young offenders.

Subtotal $1,099,750

TOTAL $1,214,150

H. Other Costs - List items (e.g., rent, reproduction, telephone, janitorial or security services, and investigative or confidential funds) by major

type and the basis of the computation. For example, provide the square footage and the cost per square foot for rent, and provide a monthly rental

cost and how many months to rent.

Description Computation Cost

Rent 700 sq. ft. x $15/sq. ft.

$875/mo. x 24 mo. $21,000

Telephone $150/mo. x 24 mo. $3,600

Printing/Reproduction $225/mo. x 24 mo. $5,400

Steering Committee Meetings 8 meetings x $300/meeting $2,400

Housing 50 offenders x 6 mo.

x $350/mo. $105,000

Transportation 50 offenders x 6 mo.

x $25/mo. $7,500

Child Care 50 offenders x 6 mo.
SAMPLE

-6-

x $75/mo. $22,500

Medical Services 50 offenders x 6 mo.

x $50/mo. $15,000

The rent will pay for the space for the reentry case management team leader and the case managers. The Steering Committee meeting costs are

for the room rental and necessary printed materials. The housing costs are to provide offenders with a place to live while participating in the Reentry

Program. The transportation costs are to assist offenders with attending daily training, substance abuse support meetings and medical appointments.

The child care costs will provide the necessary day care services for offenders with children. The medical cost will cover costs incurred by the

offender for routine health services. Please Note: The housing, transportation, child care and medical services costs are estimates based on the

assumption that not all offenders participating in the program will need these services.

TOTAL $182,400

I. Indirect Costs - Indirect costs are allowed only if the applicant has a federally approved indirect cost rate. A copy of the rate approval (a fully

executed, negotiated agreement) must be attached. If the applicant does not have an approved rate, the applicant should request one from its

cognizant federal agency, which will review all documentation and approve a rate; or if the applicant’s accounting system permits, costs may be

allocated in the direct costs categories.

Description Computation Cost

10% of personnel and fringe benefits $941,706 x 10% $94,170

The indirect cost rate was approved by the Department of Transportation, the applicant’s cognizant federal agency, on January 1, 2001. (A copy

of the fully executed, negotiated agreement is attached.)

TOTAL $94,170
SAMPLE

-7-

BUDGET SUMMARY

Budget Category Training Treatment Mental Health Criminal Justice Total

A. Personnel $464,600 $0 $0 $290,880 $755,480

B. Fringe Benefits $114,524 $0 $0 $ 71,702 $186,226

C. Travel $ 6,202 $0 $0 $ 42,728 $ 48,930

D. Equipment $ 6,875 $0 $0 $ 20,625 $ 27,500

E. Supplies $ 1,350 $0 $0 $ 4,050 $ 5,400

F. Construction $ 0 $0 $0 $ 0 $ 0

G. Consultants/Contracts $647,500 $ 452,250 $114,400 $ 0 $1,214,150

H. Other $ 45,600 $0 $0 $136,800 $182,400

Total Direct Costs $1,286,651 $452,250 $114,400 $566,785 $2,420,086

I. Indirect Costs $23,543 $0 $0 $70,627 $94,170

Total Project Costs $1,310,194 $452,250 $114,400 $637,412 $2,514,256

Federal Request $1,207,300 $435,150 $110,000 $580,087 $2,332,537

Estimated Nonfederal $102,894 $17,100 $4,400 $56,325 $181,719

Contribution
2. DATE SUBMITTED

3. DATE RECEIVED BY STATE

4. DATE RECEIVED BY FEDERAL AGENCY

Applicant Identifier

State Application Identifier

Federal Identifier

OMB Approval No. 0348-0043

Preapplication

 Construction

 Non-Construction

1. TYPE OF SUBMISSION:

 Application

 Construction

 Non-Construction

APPLICATION FOR

FEDERAL ASSISTANCE

5. APPLICANT INFORMATION

Legal Name: Organizational Unit:

Address (give city, county, state, and zip code): Name and telephone number of the person to be contacted on matters involving

this application (give area code)

6. EMPLOYER IDENTIFICATION NUMBER (EIN): 7. TYPE OF APPLICANT: (enter appropriate letter in box)

9. NAME OF FEDERAL AGENCY:

11. DESCRIPTIVE TITLE OF APPLICANT’S PROJECT:

8. TYPE OF APPLICATION:

New Continuation Revision

If Revision, enter appropriate letter(s) in box(es):

A. Increase Award B. Decrease Award C. Increase Duration

D. Decrease Duration Other (specify):

10. CATALOG OF FEDERAL DOMESTIC

 ASSISTANCE NUMBER:

TITLE:

14. CONGRESSIONAL DISTRICTS OF:

Start Date Ending Date a. Applicant b. Project

13. PROPOSED PROJECT:

15. ESTIMATED FUNDING: 16. IS APPLICATION SUBJECT TO REVIEW BY STATE EXECUTIVE ORDER 12372 PROCESS?

12. AREAS AFFECTED BY PROJECT (cities, counties, states, etc.):

a. Federal

b. Applicant

c. State

d. Local

e. Other

f. Program Income

g. TOTAL

$ .00

$ .00

$ .00

$ .00

$ .00

$ .00

$ .00

17. IS THE APPLICANT DELINQUENT ON ANY FEDERAL DEBT?

Yes If “Yes,” attach an explanation. No

18. TO THE BEST OF MY KNOWLEDGE AND BELIEF, ALL DATA IN THIS APPLICATION/PREAPPLICATION ARE TRUE AND CORRECT, THE DOCUMENT HAS BEEN DULY

AUTHORIZED BY THE GOVERNING BODY OF THE APPLICANT AND THE APPLICANT WILL COMPLY WITH THE ATTACHED ASSURANCES IF THE ASSISTANCE IS AWARDED

a. Typed Name of Authorized Representative b. Title c. Telephone number

d. Signature of Authorized Representative e. Date Signed

Standard Form 424 (REV 4-88)

Prescribed by OMB Circular A-102

.....................

A. State H. Independent School Dist.

B. County I. State Controlled Institution of Higher Learning

C. Municipal J. Private University

D. Township K. Indian Tribe

E. Interstate L. Individual

F. Intermunicipal M. Profit Organization

G. Special District N. Other (Specify): ..................

Previous Editions Not Usable

a. YES. THIS PREAPPLICATION/APPLICATION WAS MADE AVAILABLE TO THE

 STATE EXECUTIVE ORDER 12372 PROCESS FOR REVIEW ON:

 DATE

b NO. PROGRAM IS NOT COVERED BY E.O. 12372

OR PROGRAM HAS NOT BEEN SELECTED BY STATE FOR REVIEW
 Item Instructions

1 Type of Submission: If this proposal is not for construction or building purposes, check “Non-Construction”.

2 Date Submitted: Indicate the date you sent the application to OJP. The “Application Identifier” is the number

assigned by your jurisdiction, if any. If your jurisdiction does not assign an identifier number, leave this space blank.

3 Date Received by State: Leave blank. This block is completed by the State single point of contact, if applicable.

4 Date Received by Federal Agency: This item will be completed by OJP.

5 Applicant Information: The “Legal Name” is the unit of government of the parent organization. For example,

the primary or parent organization of a law enforcement agency is the name of the city or township. Thus the city or

township should be entered into the Legal Name box and the name of the law enforcement agency would be entered into

the Organizational Unit box. Designate one person as the contact, and include their telephone number.

6 Employer Identification Number: Each employer receives an employer identification number from the Internal

Revenue Service. Generally, this number can be easily obtained from your agency’s accountant or comptroller.

7 Type of Applicant: Enter the appropriate letter in this space. If the applicant is representing a consortium of

agencies, specify by checking Block N and entering “consortium”.

8 Type of Application: Check either “new” or “continuation”. Check new if this will be your first award for this

purpose described in the application, even if the applicant has received prior awards for other purposes. Check

“continuation”, if the project will continue activities of a project, that was begun under a prior award.

9 Name of Federal Agency: Type in the name of the awarding agency, such as “Bureau of Justice Assistance”.

10 Catalog of Federal Domestic Assistance Number: This would be contained in the program announcement.

An example would be 16.____.

11 Descriptive Title of Applicants Project: Type in the: (1) title of the program as it appears in the solicitation

or announcement; (2) name of the cognizant Federal agency, ex. U. S. Department of Education; and (3) applicant’s

fiscal year, i.e. twelve month audit period, ex: 10/1/95 - 9/30/96.

12 Areas Affected by Project: Identify the geographic area(s) of the project. Indicate “Statewide” or “National”, if

applicable.

13 Proposed Project Dates: Fill in the proposed begin and end dates of the project.

14 Congressional Districts: Fill in the Congressional Districts in which the project will be located as

well as the Congressional District(s) the project will serve. Indicate “Statewide” or “National”, if applicable.

15 Estimated Funding: In line “a,” enter the Federal funds requested, not to exceed the dollar amount allocated in

the program announcement. Indicate any other resources that will available to the project and the source of those funds

on lines “b-f,” as appropriate.

16 State Executive Order 12372: Some states require you to submit your application to a State “Single Point of

Contact” (SPOC) to coordinate applications for Federal funds. If your State requires a copy of your application, indicate

the date submitted. If a copy is not required, indicate the reason. (Refer to the “Administrative Requirements” section

of the program announcement, for more information.) The SPOC is not responsible for forwarding your application.

17 Delinquent Federal Debt: This question applies to the applicant organization. Categories of debt include

delinquent audit allowances, loans, and taxes.

18 Authorized Representative: Type the name of the person legally authorized to enter into agreements on behalf of

your agency. This signature on the original application must be signed in blue ink and/or stamped as “original” to help

identify the original.

Instructions for Completion of the Application for Federal Assistance (SF 424)

The Application for Federal Assistance is a standard form used by most Federal agencies. This form contains 18 different items,

which are to be completed before submission. All applications should include a completed and signed SF 424.

Rev. 5/96
1. It possesses legal authority to apply for the grant; that a

resolution, motion or similar action has been duly adopted or

passed as an official act of the applicant’s governing body,

authorizing the filing of the application, including all understandings and assurances contained therein, and directing

and authorizing the person identified as the official representative of the applicant to act in connection with the application

and to provide such additional information as may be required.

2. It will comply with requirements of the provisions of the

Uniform Relocation Assistance and Real Property Acquisitions Act of 1970 P.L. 91-646) which provides for fair and

equitable treatment of persons displaced as a result of Federal and federally-assisted programs.

3. It will comply with provisions of Federal law which limit certain

political activities of employees of a State or local unit of

government whose principal employment is in connection

with an activity financed in whole or in part by Federal grants.

(5 USC 1501, et seq.)

4. It will comply with the minimum wage and maximum hours

provisions of the Federal Fair Labor Standards Act if applicable.

5. It will establish safeguards to prohibit employees from using

their positions for a purpose that is or give the appearance of

being motivated by a desire for private gain for themselves or

others, particularly those with whom they have family, business, or other ties.

6. It will give the sponsoring agency or the Comptroller General,

through any authorized representative, access to and the right

to examine all records, books, papers, or documents related to

the grant.

7. It will comply with all requirements imposed by the Federal

Sponsoring agency concerning special requirements of law,

program requirements, and other administrative requirements.

8. It will insure that the facilities under its ownership, lease or

supervision which shall be utilized in the accomplishment of

the project are not listed in the Environmental protection

Agency’s (EPA-list of Violating Facilities and that it will notify

the Federal grantor agency of the receipt of any communication from the Director of the EPA Office of Federal Activities

indicating that a facility to be used in the project is under

consideration for listing by the EPA.

9. It will comply with the flood insurance purchase requirements

of Section 102(a) of the Flood Disaster Protection Act of

1973, Public Law 93-234, 87 Stat. 975, approved December

31, 1976. Section 102(a) requires, on and after March 2,

1975, the purchase of flood insurance in communities where

such insurance is available as a condition for the receipt of

any Federal financial assistance for construction or acquisition purposes for use in any area that had been identified by

the Secretary of the Department of Housing and Urban Development as an area having special flood hazards. The phrase

“Federal financial assistance” includes any form of loan,

grant, guaranty, insurance payment, rebate, subsidy, disaster assistance loan or grant, or any other form of direct or

indirect Federal assistance.

10. It will assist the Federal grantor agency in its compliance with

Section 106 of the National Historic Preservation Act of 1966

as amended (16 USC 470), Executive Order 11593, and the

Archeological and Historical Preservation Act of 1966 (16

USC 569a-1 et seq.) by (a) consulting with the State Historic

Preservation Officer on the conduct of investigations, as

necessary, to identify properties listed in or eligible for inclusion in the National Register of Historic Places that are

subject to adverse effects (see 36 CFR Part 800.8) by the

activity, and notifying the Federal grantor agency of the

existence of any such properties, and by (b) complying with

all requirements established by the Federal grantor agency to

avoid or mitigate adverse effects upon such properties.

11. It will comply, and assure the compliance of all its subgrantees

and contractors, with the applicable provisions of Title I of the

Omnibus Crime Control and Safe Streets Act of 1968, as

amended, the Juvenile Justice and Delinquency Prevention

Act, or the Victims of Crime Act, as appropriate; the provisions of the current edition of the Office of Justice Programs

Financial and Administrative Guide for Grants, M7100.1; and

all other applicable Federal laws, orders, circulars, or regulations.

12. It will comply with the provisions of 28 CFR applicable to grants

and cooperative agreements including Part 18, Administrative

Review Procedure; Part 20, Criminal Justice Information Systems; Part 22, Confidentiality of Identifiable Research and

Statistical Information; Part 23, Criminal Intelligence Systems

Operating Policies; Part 30, Intergovernmental Review of Department of Justice Programs and Activities; Part 42, Nondiscrimination/Equal Employment Opportunity Policies and Procedures; Part 61, Procedures for Implementing the National

Environmental Policy Act; Part 63, Floodplain Management

and Wetland Protection Procedures; and Federal laws or regulations applicable to Federal Assistance Programs.

13. It will comply, and all its contractors will comply, with the

nondiscrimination requirements of the Omnibus Crime Control and Safe Streets Act of 1968, as amended, 42 USC

3789(d), or Victims of Crime Act (as appropriate); Title VI of

the Civil Rights Act of 1964, as amended; Section 504 of the

Rehabilitation Act of 1973, as amended; Subtitle A, Title II of

the Americans With Disabilities Act (ADA) (1990); Title IX of

the Education Amendments of 1972; the Age Discrimination

Act of 1975; Department of Justice Non-Discrimination Regulations, 28 CFR Part 42, Subparts C, D, E, and G; and

Department of Justice regulations on disability discrimination, 28 CFR Part 35 and Part 39.

14. In the event a Federal or State court or Federal or State

administrative agency makes a finding of discrimination after

a due process hearing on the grounds of race, color, religion,

national origin, sex, or disability against a recipient of funds,

the recipient will forward a copy of the finding to the Office for

Civil Rights, Office of Justice Programs.

15. It will provide an Equal Employment Opportunity Program if

required to maintain one, where the application is for $500,000

or more.

16. It will comply with the provisions of the Coastal Barrier

Resources Act (P.L. 97-348) dated October 19, 1982 (16 USC

3501 et seq.) which prohibits the expenditure of most new

Federal funds within the units of the Coastal Barrier Resources System.

Signature Date

OJP FORM 4000/3 (Rev. 1-93) PREVIOUS EDITIONS ARE OBSOLETE.

ATTACHMENT TO SF-424.

EXPIRES: 1/31/96

OMB APPROVAL NO. 1121-0140

ASSURANCES

The Applicant hereby assures and certifies compliance with all Federal statutes, regulations, policies, guidelines and requirements,

including OMB Circulars No. A-21, A-110, A-122, A-128, A-87; E.O. 12372 and Uniform Administrative Requirements for Grants and

Cooperative Agreements—28 CFR, Part 66, Common Rule, that govern the application, acceptance and use of Federal funds for this

federally-assisted project. Also the Applicant assures and certifies that:
Applicants should refer to the regulations cited below to determine the certification to which they are required to

attest. Applicants should also review the instructions for certification included in the regulations before completing this

form. Signature of this form provides for compliance with certification requirements under 28 CFR Part 69, “New

Restrictions on Lobbying” and 28 CFR Part 67, “Government-wide Debarment and Suspension (Nonpro-curement) and

Government-wide Requirements for Drug-Free Workplace (Grants).” The certifications shall be treated as a material

representation of fact upon which reliance will be placed when the Department of Justice determines to award the

covered transaction, grant, or cooperative agreement.

U.S. DEPARTMENT OF JUSTICE

OFFICE OF JUSTICE PROGRAMS

OFFICE OF THE COMPTROLLER

CERTIFICATIONS REGARDING LOBBYING; DEBARMENT, SUSPENSION AND

OTHER RESPONSIBILITY MATTERS; AND DRUG-FREE WORKPLACE REQUIREMENTS

OJP FORM 4061/6 (3-91) REPLACES OJP FORMS 4061/2, 4061/3 AND 4061/4 WHICH ARE OBSOLETE.

DEPARTMENT OF JUSTICE

OFF ICE OF JUSTICE PROGRAMS

BJA NI J OJJDP BJS OVC

1. LOBBYING

As required by Section 1352, Title 31 of the U.S. Code, and

implemented at 28 CFR Part 69, for persons entering into a

grant or cooperative agreement over $100,000, as defined at

28 CFR Part 69, the applicant certifies that:

(a) No Federal appropriated funds have been paid or will be

paid, by or on behalf of the undersigned, to any person for influencing or attempting to influence an officer or employee of any

agency, a Member of Congress, an officer or employee of

Congress, or an employee of a Member of Congress in connection with the making of any Federal grant, the entering into

of any cooperative agreement, and the extension, continuation,

renewal, amendment, or modification of any Federal grant or

cooperative agreement;

(b) If any funds other than Federal appropriated funds have

been paid or will be paid to any person for influencing or attempting to influence an officer or employee of any agency, a

Member of Congress, an officer or employee of Congress, or

an employee of a Member of Congress in connection with this

Federal grant or cooperative agreement, the undersigned shall

complete and submit Standard Form - LLL, “Disclosure of

Lobbying Activities,” in accordance with its instructions;

(c) The undersigned shall require that the language of this certification be included in the award documents for all subawards

at all tiers (including subgrants, contracts under grants and

cooperative agreements, and subcontracts) and that all subrecipients shall certify and disclose accordingly.

2. DEBARMENT, SUSPENSION, AND OTHER

RESPONSIBILITY MATTERS

(DIRECT RECIPIENT)

As required by Executive Order 12549, Debarment and

Suspension, and implemented at 28 CFR Part 67, for prospective participants in primary covered transactions, as defined at

28 CFR Part 67, Section 67.510—

A. The applicant certifies that it and its principals:

(a) Are not presently debarred, suspended, proposed for debarment, declared ineligible, sentenced to a denial of Federal

benefits by a State or Federal court, or voluntarily excluded

from covered transactions by any Federal department

or agency;

(b) Have not within a three-year period preceding this application been convicted of or had a civil judgment rendered against

them for commission of fraud or a criminal offense in connection with obtaining, attempting to obtain, or performing a

3. DRUG-FREE WORKPLACE

(GRANTEES OTHER THAN INDIVIDUALS)

As required by the Drug-Free Workplace Act of 1988, and

implemented at 28 CFR Part 67, Subpart F, for grantees, as

defined at 28 CFR Part 67 Sections 67.615 and 67.620—

A. The applicant certifies that it will or will continue to provide

a drug-free workplace by:

(a) Publishing a statement notifying employees that the

 unlawful manufacture, distribution, dispensing, possession, or

use of a controlled substance is prohibited in the grantee’s

workplace and specifying the actions that will be taken against

employees for violation of such prohibition;

(b) Establishing an on-going drug-free awareness program to

inform employees about—

(1) The dangers of drug abuse in the workplace;

(2) The grantee’s policy of maintaining a drug-free workplace;

(3) Any available drug counseling, rehabilitation, and employee

assistance programs; and

(4) The penalties that may be imposed upon employees for

drug abuse violations occurring in the workplace;

(c) Making it a requirement that each employee to be engaged

in the performance of the grant be given a copy of the statement required by paragraph (a);

(d) Notifying the employee in the statement required by paragraph (a) that, as a condition of employment under the grant,

the employee will—

public (Federal, State, or local) transaction or contract under a

public transaction; violation of Federal or State antitrust statutes

or commission of embezzlement, theft, forgery,

bribery, falsification or destruction of records, making false

statements, or receiving stolen property;

(c) Are not presently indicted for or otherwise criminally or

civilly charged by a governmental entity (Federal, State, or

local) with commission of any of the offenses enumerated in

paragraph (1)(b) of this certification; and

(d) Have not within a three-year period preceding this application had one or more public transactions (Federal, State, or

local) terminated for cause or default; and

B. Where the applicant is unable to certify to any of the

statements in this certification, he or she shall attach an

explanation to this application.
(1) Abide by the terms of the statement; and

(2) Notify the employer in writing of his or her conviction for a

violation of a criminal drug statute occurring in the workplace

no later than five calendar days after such conviction;

(e) Notifying the agency, in writing, within 10 calendar days

after receiving notice under subparagraph (d)(2) from an

employee or otherwise receiving actual notice of such convic-tion.

Employers of convicted employees must provide notice, including

position title, to: Department of Justice, Office of

Justice Programs, ATTN: Control Desk, 633 Indiana Avenue,

N.W., Washington, D.C. 20531. Notice shall include the identification number(s) of each affected grant;

(f) Taking one of the following actions, within 30 calendar

days of receiving notice under subparagraph (d)(2), with

respect to any employee who is so convicted—

(1) Taking appropriate personnel action against such an

employee, up to and including termination, consistent with the

requirements of the Rehabilitation Act of 1973, as amended; or

(2) Requiring such employee to participate satisfactorily in a

drug abuse assistance or rehabilitation program approved for

such purposes by a Federal, State, or local health, law enforcement, or other appropriate agency;

(g) Making a good faith effort to continue to maintain a drugfree workplace through implementation of paragraphs (a), (b),

(c), (d), (e), and (f).

B. The grantee may insert in the space provided below the

site(s) for the performance of work done in connection with

the specific grant:

Place of Performance (Street address, city, county, state, zip

code)

Check if there are workplaces on file that are not indentified

here.

Section 67, 630 of the regulations provides that a grantee that

is a State may elect to make one certification in each Federal

fiscal year. A copy of which should be included with each application for Department of Justice funding. States and State

agencies may elect to use OJP Form 4061/7.

Check if the State has elected to complete OJP Form

4061/7.

DRUG-FREE WORKPLACE

(GRANTEES WHO ARE INDIVIDUALS)

As required by the Drug-Free Workplace Act of 1988, and

implemented at 28 CFR Part 67, Subpart F, for grantees, as

defined at 28 CFR Part 67; Sections 67.615 and 67.620—

A. As a condition of the grant, I certify that I will not engage

in the unlawful manufacture, distribution, dispensing, possession, or use of a controlled substance in conducting any

activity with the grant; and

B. If convicted of a criminal drug offense resulting from a

violation occurring during the conduct of any grant activity, I

will report the conviction, in writing, within 10 calendar days

of the conviction, to: Department of Justice, Office of Justice

Programs, ATTN: Control Desk, 633 Indiana Avenue, N.W.,

Washington, D.C. 20531.

As the duly authorized representative of the applicant, I hereby certify that the applicant will comply with the above certifications.

1. Grantee Name and Address:

2. Application Number and/or Project Name 3. Grantee IRS/Vendor Number

4. Typed Name and Title of Authorized Representative

5. Signature 6. Date

*U.S. Government Printing Office: 1996 - 405-037/40014
DISCLOSURE OF LOBBYING ACTIVITIES Approved by OMB

Complete this form to disclose lobbying activities pursuant to 31 U.S.C. 1352 0348-0046

(See reverse for public burden disclosure.)

1. Type of Federal Action: 2. Status of Federal Action: 3. Report Type:

 a. contract a. bid/offer/application a. initial filing

 b. grant b. initial award b. material change

 c. cooperative agreement c. post-award For Material Change Only:

 d. loan year _________ quarter _________

 e. loan guarantee date of last report ______________

 f. loan insurance

4. Name and Address of Reporting Entity: 5. If Reporting Entity in No. 4 is a Subawardee, Enter Name

 and Address of Prime:

 Tier ______, if known :

 Congressional District, if known : Congressional District, if known :

6. Federal Department/Agency: 7. Federal Program Name/Description:

 CFDA Number, if applicable: _____________

8. Federal Action Number, if known : 9. Award Amount, if known :

 $

10. a. Name and Address of Lobbying Registrant b. Individuals Performing Services (including address if

 (if individual, last name, first name, MI): different from No. 10a)

 (last name, first name, MI):

11. Signature: 

Print Name: 

Title:

Telephone No.: _______________________ Date: 

 Authorized for Local Reproduction

 Standard Form LLL (Rev. 7-97)

Information requested through this form is authorized by title 31 U.S.C. section

1352. This disclosure of lobbying activities is a material representation of fact

upon which reliance was placed by the tier above when this transaction was made

or entered into. This disclosure is required pursuant to 31 U.S.C. 1352. This

information will be reported to the Congress semi-annually and will be available for

public inspection. Any person who fails to file the required disclosure shall be

subject to a civil penalty of not less that $10,000 and not more than $100,000 for

each such failure.

Prime Subawardee

Federal Use Only:
INSTRUCTIONS FOR COMPLETION OF SF-LLL, DISCLOSURE OF LOBBYING ACTIVITIES

1. Identify the type of covered Federal action for which lobbying activity is and/or has been secured to influence the outcome of a covered Federal action.

2. Identify the status of the covered Federal action.

3.

4.

5. If the organization filing the report in item 4 checks "Subawardee," then enter the full name, address, city, State and zip code of the prime Federal

recipient. Include Congressional District, if known.

6. Enter the name of the Federal agency making the award or loan commitment. Include at least one organizationallevel below agency name, if known. For

example, Department of Transportation, United States Coast Guard.

7. Enter the Federal program name or description for the covered Federal action (item 1). If known, enter the full Catalog of Federal Domestic Assistance

(CFDA) number for grants, cooperative agreements, loans, and loan commitments.

8.

9. For a covered Federal action where there has been an award or loan commitment by the Federal agency, enter the Federal amount of the award/loan

commitment for the prime entity identified in item 4 or 5.

10. (a) Enter the full name, address, city, State and zip code of the lobbying registrant under the Lobbying Disclosure Act of 1995 engaged by the reporting

 entity identified in item 4 to influence the covered Federal action.

(b) Enter the full names of the individual(s) performing services, and include full address if different from 10 (a). Enter Last Name, First Name, and

 Middle Initial (MI).

11. The certifying official shall sign and date the form, print his/her name, title, and telephone number.

This disclosure form shall be completed by the reporting entity, whether subawardee or prime Federal recipient, at the initiation or receipt of a covered Federal

action, or a material change to a previous filing, pursuant to title 31 U.S.C. section 1352. The filing of a form is required for each payment or agreementto make

payment to any lobbying entity for influencing or attempting to influence an officer or employeeof any agency, a Member of Congress, an officer or employeeof

Congress, or an employeeof a Member of Congress in connectionwith a coveredFederalaction. Completeall items that apply for both the initial filing and material

change report. Refer to the implementing guidance published by the Office of Management and Budget for additional information.

Identify the appropriateclassification of this report. If this is a followup report caused by a material change to the information previously reported, enter

the year and quarter in which the change occurred. Enter the date of the last previouslysubmitted report by this reporting entity for this covered Federal

action.

Enter the full name, address, city, State and zip code of the reporting entity. Include CongressionalDistrict, if known. Check the appropriateclassification

of the reporting entity that designatesif it is, or expects to be, a prime or subaward recipient. Identify the tier of the subawardee,e.g., the first subawardee

of the prime is the 1st tier. Subawards include but are not limited to subcontracts, subgrants and contract awards under grants.

Enter the most appropriate Federal identifying number available for the Federal action identified in item 1 (e.g., Request for Proposal (RFP) number;

Invitation for Bid (IFB) number; grant announcement number; the contract, grant, or loan award number; the application/proposal control number

assigned by the Federal agency). Include prefixes, e.g., "RFP-DE-90-001."

According to the PaperworkReduction Act, as amended,no persons are required to respond to a collection of information unless it displays a valid OMB Control

Number. The valid OMB control number for this information collection is OMB No. 0348-0046. Public reporting burden for this collection of information is

estimated to average 10 minutes per response, including time for reviewing instructions, searching existing data sources, gathering and maintaining the data

needed, and completing and reviewing the collection of information. Send comments regarding the burden estimate or any other aspect of this collection of

information, including suggestions for reducing this burden, to the Office of Managementand Budget, Paperwork Reduction Project (0348-0046), Washington,

DC 20503.