The Pay for Success Grant Project: A Social Innovation Financing Program

THE PAY FOR SUCCESS GRANT PROJECT A SOCIAL INNOVATION FINANCING PROGRAM 2016 - 2019 REQUEST FOR PROPOSALS Proposals due by 5:00 p.m., February 1, 2016 In addition to the grant application, this Request for Proposals (RFP) packet includes important information about funding provisions, grant eligibility, and application submission requirements.  APPENDICES APPENDIX APPENDIX APPENDIX APPENDIX APPENDIX APPENDIX A: ASSEMBLY BILL 1837..................................................................... 15 B: RESOURCES: PAY FOR SUCCESS AND SOCIAL INNOVATION FINANCING PROGRAMS ............................................................... 20 C: REQUEST FOR TECHNICAL ASSISTANCE .................................. 21 D: SOCIAL INNOVATION FINANCING MODEL .................................. 22 E: RESOURCES: EFFECTIVE EVIDENCE-BASED PROGRAMS, PRACTICES, AND STRATEGIES ................................................... 23 F: STATE OF CALIFORNIA: CONTRACT AND GENERAL TERMS AND CONDITIONS.......................................................................... 24 TABLE OF CONTENTS CONTACT INFORMATION ....................................................................................... 1 PROPOSAL DUE DATE ............................................................................................ 1 BACKGROUND INFORMATION ............................................................................... 1 PROJECT DESCRIPTION......................................................................................... 2 TECHNICAL ASSISTANCE AVAILABLE................................................................... 4 PROJECT GOAL AND DESIGN ................................................................................ 4 GRANT REQUIREMENTS ........................................................................................ 8 THE PROPOSAL PROCESS AND EVALUATION RATING FACTORS.................. 13 SUMMARY OF KEY DATES ................................................................................... 14 APPENDIX APPENDIX APPENDIX I: BSCC MONITORING/SITE VISIT REPORT TEMPLATE ................ 36 APPENDIXJ: ASSESSMENTOFEFFECTIVECORRECTIONALPRACTICES...40 APPENDIX K: TECHNICAL COMPLIANCE REVIEW.............................................42 G: EXAMPLES OF ELIGIBLE AND INELIGIBLE PROJECT COSTS ... 33 H: SAMPLE RESOLUTION OF THE GOVERNING BOARD ................ 35 PROJECT APPLICATION APPLICATION INSTRUCTIONS ............................................................................. 43 SECTIONI: APPLICANTINFORMATION..............................................................44 PROJECT ABSTRACT ............................................................................................ 44 NARRATIVE SECTIONS II-VII(a) .............................. Error! Bookmark not defined. SECTIONVII(b): PROPOSEDBUDGET...............................................................50 SECTIONVIII: ADMINISTRATIVEWORKPLANANDTIMELINE.........................54  CONTACT INFORMATION This Request for Proposals (RFP) provides the information necessary to prepare a proposal for grant funds via the Board of State and Community Corrections (BSCC) for the Pay for Success (PFS) Grant Project. Although BSCC staff cannot assist the grant applicant with the actual preparation of the proposal, any questions concerning the proposal process, programmatic issues, or clarification on the information contained within the RFP may be submitted by phone, or email to: Colleen Stoner, Field Representative Board of State and Community Corrections Corrections Planning and Programs Division Phone Number: (916) 324-9385 Email: Colleen.Stoner@bscc.ca.gov PROPOSAL DUE DATE One original signed and 15 copies of the proposal must be received (not postmarked) by the BSCC’s Corrections Planning and Programs Division by 5:00 p.m., Monday, February1, 2016. Proposals sent via email will not be accepted. Proposals may be submitted via the U.S. mail, private carrier, or hand-delivered to: Board of State and Community Corrections Corrections Planning and Programs Division 2590 Ventura Oaks Way, Suite 200 Sacramento, CA 95833 Attn: Colleen Stoner, Field Representative **Please note new address. Proposals received after 5:00 p.m. on the due date will be deemed ineligible for funding. BACKGROUND INFORMATION Assembly Bill (AB) 1837 (Atkins),Title15.8.97008-97015 of the Government Code enacted the Social Innovation Financing Program (SIFP) to be administered by the BSCC and funded through the Recidivism Reduction Fund (Appendix A). SIFPs, also referred to as “pay for success” (PFS) projects are innovative funding models that help government better serve unserved, underserved and vulnerable populations. Under a PFS model, governments, service providers, and funders agree on targeted outcomes for underserved populations. Private investors and philanthropy provide flexible multi-year operating costs to fund effective social service providers. If and when targeted outcomes are achieved (determined by an independent evaluator), government makes “success payments” to investors, who may recycle their returns to further impact social change. As the administering agency of the PFS Grant Project, the BSCC is committed to providing a fair and equitable process for determining the most meritorious grant proposals, via a competitive process. On April 9, 2015, the BSCC Board authorized an Executive Steering Committee (ESC) of subject matter experts to oversee the development and release of an RFP as well as the criteria for the proposal reading and rating process (http://www.bscc.ca.gov/s_cppresources; Grant Executive Steering Committee Process pdf). 1 On July14, 2015the ESC for the project convened to begin the development of the program design, evaluation process, and criteria to be used to select the proposals. This RFP is a result of those efforts. PROJECT DESCRIPTION Decades of research have demonstrated that public investment in effective programs can improve the lives of Californians while simultaneously strengthening the state’s bottom line. From pre-kindergarten—which has a strong track record of generating significant returns on public investment—to criminal justice—where reducing recidivism avoids costs and improves public safety—there are opportunities for evidence-based investments across state government. PFS performance contracts—also known as “Social Impact Bonds”1provide an innovative strategy to finance these proven programs through public-private partnerships. PFS contracts are rigorous, binding agreements based on a straightforward proposition: taxpayers will pay only for services that actually achieve results and save money in the long-run. The strategy enables the state to fund programs and services that improve economic opportunity, health, and safety that it otherwise might not be able to afford in the short-term. Moreover, PFS directs funding toward programs that have a strong evidence base and track record of effectiveness. California has joined a vanguard of states and local governments that are using PFS contracting as an approach to solve urgent community challenges. Assembly Bill 1837 authorized the BSCC to invoke pay for success financing to address persistent criminal justice challenges across the state. Pursuant to AB 1837, “it is the intent of the Legislature that as part of the package to reduce recidivism in California, the concept of ‘pay for success’ or social innovation financing should be included to take advantage of available philanthropic and private investment.” The broad purpose of the PFS Grant Project is to reduce recidivism using evidence-based approaches that may address such issues as homelessness, substance abuse, and unemployment. Under the most common PFS model, the government contracts with an independent intermediary entity, or directly with a service provider, to provide social services. The government pays this contract-holder entirely—or almost entirely—based upon achievement of mutually-agreed upon performance targets. These performance targets are directly linked to taxpayer savings and are rigorously measured by comparing the outcomes of individuals referred to the service provider to the outcomes of a comparison group that is not offered the services. The service provider obtains multi-year operating funds by raising capital from private, commercial and/or philanthropic sources. If the contract-holder is an intermediary, it uses these operating funds to subcontract with one or more service providers to deliver the interventions necessary to meet the performance targets. If the services achieve the minimum outcome target(s) negotiated, the government repays the investors (often out of the savings it achieves from the preventative program). If the contract-holder fails to achieve the minimum target(s) negotiated, the government does not pay, ensuring that taxpayer funds are not spent on programs that are ineffective. Payments typically rise for performance that exceeds the minimum target, up to an agreed-upon maximum payment level. Independent monitoring and evaluation of outcomes is critical in PFS contracts, as government payment is predicated on the achievement of outcomes. Rigorous evaluation systems, which determine whether pre- established targets have been reached, can deepen California’s understanding of which programs actually work, and findings can be used to improve services throughout the state. This 1The term “Social Impact Bond,” which was coined in the United Kingdom, has led to some confusion. The private- sector financing arrangement is not a typical debt instrument and these transactions do not require the government to issue debt. To avoid these misperceptions, these programs are often called “Pay for Success” performance contracts. 2  learning enables the state to spend taxpayer funds more effectively and scale up evidence- based, innovative programs that have been proven to work in California. While there are many different structures that satisfy the principles of a pay for success project, the common characteristics include:  Rigorous measurement of desired goals and outcomes, validated by an outside party;  Performance-based payments made by the government, only if outcomes are met; and  Private-sector and/or philanthropic financing. For more information about pay for success programs, please refer to Appendix B for a list of resources. Eligibility Pursuant to AB 1837, eligible applicants are County Boards of Supervisors (BOS); the PFS ESC shall make recommendations to the BSCC Board on which three counties should be selected to receive grant funding and enter into social innovation financing contracts. Legislation indicates that a County BOS must apply for the PFS Grant Project on behalf of government agencies (implementing agencies) that fall under their authority; the PFS Grant Project agreement must be between the County BOS and the State (via the BSCC). Government agencies could include Sheriff’s Offices, Probation Departments, Mental Health Departments, or other county departments that have the capacity to deliver services for the broad purpose of recidivism reduction. Two or more county departments may partner to submit a single, joint collaborative proposal through their BOS. Additionally, a county may partner with other counties to apply jointly or as a region. If a joint or regional proposal is submitted, one County BOS must be identified as the primary applicant and will be responsible for all aspects of grant administration and management. A County BOS may submit one joint/regional application or one individual application per county. Multiple applications from a county for the PFS Grant Program will not be allowed. Among other criteria, selected projects should meet the following requirements:  Address social needs that are unmet, high priority, and large-scale;  Address target populations that are well-defined and can be measured with scientific rigor;  Result in outcomes that are credible, and easily tracked by cost-effective means;  Identify anticipated outcome metric(s) as well as the means and methodology for measuring, evaluating, and documenting program impacts;  Identify approach to raising funds for the project, potentially from a combination of commercial and philanthropic sources;  Propose interventions that have high likelihood of achieving targeted outcome metrics;  Propose interventions that are highly likely to achieve targeted impact goals;  Be carried out by proven service providers that are prepared to scale with quality;  Include safeguards to protect the well-being of the populations served; and  Be cost-effective programs that can demonstrate financial savings for government. Funding Amount The PFS Grant Project provides approximately $4,750,000 to contract with three counties in amounts of not less than $500,000 and not more than $2,000,000for the purposes of entering into a pay for success or social innovation financing contract with a private investor(s).Any unused state moneys shall revert to the General Fund. 3 A minimum of 100 percent match of the PFS Grant Project funding is mandatory. Other county, federal, private, or philanthropic funds may be used to meet the match requirement. Resources required for the match obligation may be cash or in-kind contributions or a combination of both, and must be documented. Up to 10 percent of the grant funds awarded may be used by the counties for administrative expenses. The remaining 90 percent must be set aside by the county to repay investors upon the achievement of specific outcomes based upon defined performance targets. Any unused state moneys shall revert to the General Fund. Additionally, PFS Grant Project funding must be used to supplement, rather than supplant, funding for existing programs/projects. Supplanting is defined as replacing those funds identified and appropriated for the same purpose prior to the grant award. Grant funds may be used to expand an existing effort or to create a new project. Project expansion includes, but is not limited to, adding services to a program that is currently offered to offenders and extending existing services for offenders to a larger target population or new geographic area. Grant Period Successful proposals will be funded for a project period that will commence May 1, 2016 and end on October 31, 2019 although it should be noted that legislative efforts are underway to amend the sunset date of AB 1837 and extend it two additional years. Should this amendment pass the project period will commence May 1, 2016 and end on October 31, 2021. TECHNICAL ASSISTANCE AVAILABLE Technical assistance is available to applicants who would like help in determining the feasibility of implementing a PFS project or support in understanding the components of a PFS program. This pro bono assistance can be accessed from a fellowship program the BSCC has with the Harvard Kennedy School’s Social Impact Bond Technical Assistance Lab. Applicants interested in receiving technical assistance can submit a Request for Technical Assistance form(Appendix C) via email to Joyce.Carroll@bscc.ca.gov. PROJECT GOAL AND DESIGN The goal of the PFS Grant Project is to establish partnerships between local governmental agencies, private investors, nonprofit organizations, and for-profit service providers to facilitate the use of social innovation financing to achieve measurable social benefits that result in recidivism reduction. A variety of approaches have been shown to be successful in reducing recidivism, including addressing homelessness, substance use disorder, and unemployment among specific demographic groups. Applicants are encouraged to collaborate with local stakeholders, including individuals within affected communities. Collaboration should occur when developing the proposals and be ongoing throughout the implementation of the project to ensure continual community engagement. Key Players: 1. County BOS: develops a program designed to reduce recidivism and contracts with private (nongovernmental) investors to establish the program funding 2. Investors: provides upfront operating capital for the project 3. Service providers: delivers services to the target population 4. Independent evaluator: validates the results of the project and develops the methodology for determining successful programmatic outcomes that will trigger repayment to the investor 4 5. BSCC: awards grants to three (3) counties for the purpose of repaying investors when predetermined outcomes are achieved 6. Intermediary (optional*): coordinates and manages the project, assists with selection and funding of services providers, and aligns the interests of the multiple parties involved in the contract with the County BOS (i.e. investors, service providers, and evaluator) Please see Appendix D for the BSCC’s Social Innovation Financing Model. *Note: Applicants are not required to procure the services of an intermediary and instead may take on all or some of the roles and the activities of an intermediary themselves. Ramp-up Period for Project Development The BSCC is aware that due to the complexities involved in coordinating the launch of a PFS project, some applicants may not be “shovel-ready” for implementation on the first day of the project period. To assist applicants with the time needed for project development, a ramp-up period of up to six (6) months will be permitted, at which time the project will be expected to have all required contracts finalized and ready to begin program operations. As previously stated legislative efforts are underway to extend the length of the program by two additional years. Should this amendment pass, additional flexibility may be available to support the ramp- up period. Target Population For the purposes of this funding solicitation, eligible target populations are juvenile or adult offenders who are at risk of reoffending. The definition of adult recidivism, approved by the BSCC Board for consistency in statewide local data collection efforts, is: Conviction of a new felony or misdemeanor committed within three years of release from custody or committed within three years of placement on supervision for a previous criminal conviction. (“Committed” refers to the date of offense, not the date of conviction.) This definition does not preclude other measures of offender outcomes. Such measures may include new arrest, return to custody, criminal filing, violation of supervision, and level of offense (felony or misdemeanor). While the definition adopts a three-year standard measurement period, rates may also be measured over other time intervals such as one, two, or five years. The definition of juvenile recidivism, for the purposes of this solicitation, is the language adopted by the Chief Probation Officers of California (May 2012): A subsequent criminal adjudication while on probation supervision. (Of those terminated or closed from a juvenile grant of probation in a given time period, a count of how many youth had new true findings/law convictions during their time under supervision.) Evidence-Based Programs, Practices, and Strategies2 The BSCC is committed to supporting programs, practices, and strategies that are rooted in evidence to produce better outcomes for the criminal and juvenile justice systems, and for the individuals who are involved in those systems. 2 Lowenkamp and Latessa, 2003, Lowenkamp, 2003; Lowenkamp &Latessa, 2005a; Lowenkamp and Latessa, 2005b; Center for Criminal Justice Research and the Corrections Institute at the University of Cincinnati, Correctional Program Checklist Assessment 5 Applicants seeking funding through this grant process will be required to demonstrate that the proposed project is directly linked to the implementation of evidence-based practices and strategies that reduce recidivism. The following information is offered to help applicants in understanding the BSCC’s broad view of evidence-based practices: The concept of evidence-based practices was developed outside of the criminal justice arena, and is commonly used in other applied fields such as medicine, nursing, and social work. In criminal justice, this term marks a significant shift by emphasizing measurable outcomes, and ensuring services and resources are actually effective in promoting rehabilitation and reducing recidivism. On a basic level, evidence-based practices include the following elements: 1. Evidence the intervention is likely to work (i.e., produce a desired benefit); 2. Evidence the intervention is being carried out as intended; and 3. Evidence allowing an evaluation of whether the intervention worked. Evidence-based practices involves using research and scientific studies to identify interventions that reliably produce significant reductions in recidivism when correctly applied to offender populations through the use of the following four principles of effective intervention:  Risk Principle – focuses attention on the crucial question of WHO is being served and calls for targeting higher risk offenders.  Need Principle – requires that priority be given to addressing criminogenic risk/need factors with a clear focus on WHAT programs are delivered.  Treatment Principle – conveys the importance of using behavioral treatment approaches to achieve the best possible outcomes and requires attention to the question of HOW programs are delivered.  Fidelity Principle – draws attention to HOW WELL programs are delivered and reiterates the necessity that programs be implemented as designed. Successful implementation of evidence-based practices also includes, but is not limited to:  Organizational development to create and sustain a culture accepting of best practices and evidence-based approaches that includes cultural and linguistic competencies;  A commitment to initial and ongoing professional development and training;  Use of validated risk/needs/responsivity assessment tools;  Data collection and analysis;  Use of case management strategies;  Use of programs known to produce positive criminal justice outcomes;  Quality assurance activities to ensure program fidelity;  Performance management to improve programs, service delivery, and policies;  A “systems change approach” to develop collaborations so tasks, functions and sub- units work effectively together and not at cross-purposes; and  A focus on sustainability. In discussions of evidence-based practices in criminal justice, it is common to distinguish between programs, strategies, and promising practices/approaches. Programs are designed to change the behavior of individuals in the criminal justice system and are measured by individual-level outcomes. For example, programs aiming to reduce substance use and antisocial behavior include Cognitive Behavioral Therapy, Behavioral Programs, and Social Skills Training. 6 Strategies may include programs to change individual behavior; however, this term is often used to describe a general intervention approach that supports larger community or organizational level policy objectives. For example, case management is applied to improve the overall effectiveness and efficiency of criminal and juvenile justice agencies, while pretrial assessment is designed to enable informed decisions about which arrested defendants can be released pretrial without putting public safety at risk. Strategies can also refer to the strategic application of effective practices that are correlated with a reduction in recidivism such as the use of assessment tools, quality assurance protocols, and delivery of interventions by qualified and trained staff. Promising practices/approaches, for purposes of this grant work, can be broadly construed to include crime-reduction and recidivism-reduction programs or strategies that have been implemented elsewhere with evidence of success, but with evidence not yet strong enough to conclude the success was due to the program or that it is highly likely to work if carried out in the applicant’s circumstances. The difference between evidence-based and promising practices/approaches is a difference in degree on the number of situations in which a program or strategy has been tested and the rigor of the evaluation methods used. In theory, applicants seeking to implement promising programs, approaches, or strategies should be able to describe the documentation, data and evidence available to support the approach and why it is best suited to the needs and objectives described in the application for funding. Applicants can find information on evidence-based treatment practices in the Substance Abuse and Mental Health Services Administration’s (SAMHSA) Guide to Evidence-Based Practices available at www.samhsa.gov/ebpwebguide as well as in Appendix E of this RFP. Reducing Racial and Ethnic Disparity (R.E.D.) Training Opportunity for Award Recipients The following information is provided to all prospective BSCC grantees. The applicant is not required to address this section within its proposal, but should spend time in consideration of how this information may influence grant activities. Research3 shows that youth and adults of color are significantly overrepresented in the criminal justice system in California. These disparities are the result of numerous interrelated factors, some of which exist within the structures of the current criminal and juvenile justice system, and some of which are influenced by unconscious biases. Whatever the cause, BSCC believes that the overrepresentation of people of color in the criminal and juvenile justice system can be addressed through meaningful dialogue, increased awareness, evaluation feedback, cultural and linguistic competencies; and policy reforms intended to reduce structural inequality. To that end, we are committed as a state to examining service delivery within the criminal and juvenile justice system for perceived inequities and actual disparities that might exist at the state and local level. Additionally, in order to receive federal funding, California is required to demonstrate a good faith effort to address the federal initiative known as Reducing Racial and Ethnic Disparity or R.E.D. (formerly Disproportionate Minority Contact or DMC), which refers to the disproportionate rate at which youth of color come into contact with the juvenile justice system (at all points, from arrest through confinement), relative to their numbers in the general population. In an effort to comply with this requirement, the BSCC has undertaken a number of 3 There are multiple studies confirming the disparities in the criminal and juvenile justice systems. BSCC has done extensive work with The W. Haywood Burns Institute (http://www.burnsinstitute.org/) on this issue as well as working with the National Council on Crime and Delinquency (NCCD) and the Center for Juvenile Justice Reform, Georgetown University (http://cjjr.georgetown.edu/certprogs/racialdisparities/racialdisparities.html) Created Equal: Racial and Ethnic Disparities in the US Criminal Justice System (NCCD: Hartney/Vuong March 2009) 7 activities to ensure that California addresses this concern in relation to the juvenile population as well as the adult offender population to include trainings, access to and support of structured decision-making tools, and funding opportunities. PFS Grant Project recipients are included in these opportunities, and, as such, will be invited to attend a one-day Reducing Racial and Ethnic Disparity (R.E.D.) training for project directors and other interested staff to be provided during the project period. The regional R.E.D. course will be provided at no cost to attendees and address issues relevant to participants who have received previous R.E.D. training as well as those attending training for the first time. Award recipients will be contacted with details about the R.E.D. training dates and locations after the start of the grant period. Additional information about R.E.D. can be found at: http://www.bscc.ca.gov/scppgrantfundedprograms.php or applicants may contact the R.E.D. Coordinator, Field Representative Shalinee Hunter, by telephone at (916) 322-8081 or by email atshalinee.hunter@bscc.ca.gov. In anticipation of the training and as your project is being developed, the BSCC has identified some questions you may want to consider.  How do local departments/organizations measure the effectiveness with underserved communities?  How do local departments/organizations deal with issues of linguistic diversity?  What is the nature of current departments’/organizations’ relationship to the community relative to the proposed project?  Does the proposed project reflect the specific needs of the diverse communities served? GRANT REQUIREMENTS Confidentiality Notice: This application, and information contained herein, may be construed to be a public document. The application may be subject to a request via the California Public Records Act and the BSCC, as a state agency, may have to disclose it to the public. The BSCC cannot ensure the confidentiality of any information submitted in or with this application. Grant Agreement Applicants approved for funding by the BSCC Board are required to enter into a Grant Agreement (Standard Form 213) with the BSCC. Grantees must agree to comply with all conditions of the Grant Agreement, all required assurances, general terms and conditions, and all budget items and conditions as contained in their RFP submittal. See Appendix F for a sample state contract, and general terms and conditions. The Grant Agreement is considered fully executed after it has been signed by both the grantee and the BSCC. Work, services, and encumbrances of grant funds cannot begin prior to the start date of the contract as listed in Section 2 of the Std. 213. Work, services, and encumbrances of grant funds occurring after the start date and prior to the execution date of the contract may not be reimbursed. Each agency is responsible for maintaining the Grant Agreement, records, and relevant documentation for at least three (3) years after end of the contract. Eligible Grant Expenditures Ten percent of the grant award may be used for administrative purposes to support the project. Applicants will be expected to provide an itemization of all administrative expenses proposed. 8 Grant funds may be used to supplement existing funds dedicated to a project but may not replace (supplant) funds that have been appropriated for the same purpose. Grant funds may be used to expand an existing effort or to create a new project. Project expansion includes, but is not limited to, adding services to a project currently offered to offenders and extending existing services for offenders to a larger target population or new geographic area. If funds are proposed for the use of hiring PFS Grant Project staff, positions must be newly-formed positions within the department or organization, specific to the purposes of this grant (i.e., a net cost- savings cannot be realized by the department, agency, organization, or county due to the introduction of this grant award). For information on examples of eligible and ineligible costs, please refer to Appendix G. Ninety percent of the funds awarded are to be reserved in a separate account for repayment to the investor upon the achievement of predetermined outcomes. This may be a separate account within a Special Revenue Fund, a Trust Account, or a Trust Fund. This account/fund must be established according to existing county or city auditor-controller/fiscal officer policies and procedures. The applicant will be expected to identify the quantifiable results and performance thresholds upon which success of the program will be measured and how the final payments for successful programmatic outcomes will be calculated and structured. Payouts to investors will be reported to the BSCC in semi-annual financial reports. Project income is defined as all income received by the grantee generated as a direct result of a grant supported activity. This can include the interest earned on generated income from an interest bearing account. Project income shall be used as earned by the grantee for the purpose of furthering the objectives of the legislation under which the award was granted. Project income may only be used for allowable project costs related to the repayment of investors upon achieving predetermined successful outcomes. Project income must be reported in semi-annual financial reports and not be expended prior to the approval of the BSCC. Records of receipt and disposition of project income must be maintained in the same manner as required for grant funds. If the income does not have prior approval or if an income surplus exists at the end of the grant period, the income will be returned to the BSCC. Final determination on the disposition of such income will be made by the BSCC. Applicants Responsibilities for Contract Development The applicant will be required to develop a legally binding contract(s) with all relevant parties that will support the proposed project. This will include prospective investors, philanthropic foundations, evaluators, service providers, and/or an intermediary. In addition to identifying how final payments for successful programmatic outcomes are to be calculated and structured, the contracts should also provide contingency plans in the event that the project is discontinued prior to the funding period. Although the BSCC is aware that it may not be possible to have all required contracts fully in place at the time of the proposal submission, nonbinding letters of intent/commitment or documentation indicating a willingness to participate must be included with the proposal from all parties to the proposed contract(s) to establish a level of readiness to proceed. As previously indicated, a ramp-up period of up to six(6) months will be permitted to allow for the finalization of project development after which time the project will be expected to have all required contracts completed and ready to begin program operations. If after receiving a grant a county does not enter into a contract for which the grant was awarded, the county shall return all monies awarded by the BSCC to the state. Board Resolution The County BOS must submit a resolution addressing specific requirements, including but not limited to, the non-supplantation clause. In addition, all awarded projects and any of its 9 subgrantees must comply with General Terms and Conditions 610 as provided in Appendix F. Grant recipients must have a resolution on file with the BSCC. Please see Appendix H for sample language. Match Requirements As previously stated, funding for the PFS Grant Project requires a minimum 100 percent (100%) match obligation of grant funds awarded to the recipient. Matching funds may be used for operating costs or outcome payments. Matching funds may be met through cash, in-kind, or a combination of both. In addition, federal and/or local funding stream dollars may be used as well as state monies not derived from the General Fund. If county match dollars are incorporated as operating capital, the county’s match (cash or in- kind) would help cover the operational costs of the program. Conversely, if the county’s match dollars are incorporated as potential success payments, the county’s match dollars would repay investors only if and when the targeted outcome metrics are met. Financial Reports Grantees will be required to submit financial reports of actual expenditures that reflect the line items and funding sources as submitted in their proposal. Grantees must submit financial reports online to the BSCC on a semi-annual basis. In addition, grantees must maintain adequate supporting documentation for all costs, including all match obligations. Source documents include, but are not limited to, copies of all purchase orders, receipts, personnel and payroll records, donated goods and/or services, reconciliations, financial records, and audit reports. BSCC staff will conduct on-site monitoring visits that will include a review of documentation maintained as substantiation for project expenditures and matching contributions. If after receiving a grant, a county does not enter into a contract for which the grant was awarded, the county shall return all monies awarded by the BSCC to the state. Additionally, the grantee will return grant funds in the event the grantee has materially and substantially breached the terms and conditions of the PFS Grant Program contract agreement. Independent Evaluator and Program Evaluation Grantees are required to contract with an independent evaluator for the purpose of identifying performance objectives that demonstrate whether or not a reduction in recidivism occurred due to the project’s methodologies/strategies. Performance improvements related to recidivism reduction might include, but are not limited to: reduction in rearrests, an increase in the number of jail days avoided, or budgetary savings if the performance targets are achieved. The independent evaluator is also to develop an objective process to determine whether the performance targets have been achieved. This process shall include defined performance metrics, a monitoring plan, and a calculation of the amount and timing of payments that would be earned during each year of the agreement if performance targets are achieved as determined by the independent evaluator. Applicants will be required to identify the research design that will be used to evaluate the effectiveness of the project with the project goals (i.e., the expected benefits to participants) and the project objectives (i.e., specific measurable accomplishments intended to advance project goals) clearly stated. Applicants are encouraged to utilize a rigorous evaluation design, which includes outcome measures that are credible and easily tracked by a cost effective means, and the method by which the impact of the program on the outcome measures will be determined. 10 Reporting Requirements Pursuant to AB 1837, once a year grant award recipients will be required to submit an Annual Report to the BSCC. The BSCC will compile the three county Annual Reports received from grantees and submit a summary report to the Governor and Legislature annually. Annual Reports will include relevant program information and data measures that assess the impact of the PFS Grant Program on the involvement of the program participants in the justice system. This will include outcome measures related to the service levels, treatment modes, and stability measures for juvenile and adult offenders participating in or benefitting from the PFS Grant programs and/or services. At a minimum this assessment will require grantees to collect data on the effectiveness of the strategies supported by the grant in reducing recidivism, such as a reduction in incarceration, placement levels, early releases due to facility overcrowding, local criminal and juvenile justice costs related to offenders, as well as a limited number of “quality of life” outcomes (e.g., physical health, mental health, safety).The Annual Report will also require financial summaries and preliminary reports from the independent evaluator on the achievement of performance targets. Some data measures to be collected will include breaking- out gender, age, and race/ethnicity; applicants must have the ability to delineate PFS Grant Program funded, participant-specific data. Standard data measures to be collected by the BSCC for this grant may include, but are not limited to:  Number of program participants served  Number of potential participants referred  Number of offenders screened/assessed  Number of service hours completed  Average length of stay in the program  Number of days from referral to first program service  Number of program participants who offend or reoffend  Progress in achieving goals/objectives  Report-out on the outcomes of the predetermined performance measures  Accounting of the moneys awarded  Status on the investor funding and repayment  Preliminary report on cost effectiveness  Changes to key personnel  Ability to meet milestones dates on project’s timeline and work plan Grantees that will be using a ramp-up period prior to actual service delivery (see page five), will be required to complete a Readiness-to-Proceed Progress report to assess the project development activities underway at month four of the contract. BSCC staff will offer technical assistance, as requested by the county, to support program implementation by month six. Grantees will also be required to submit Six-Month Progress Reports throughout the project to provide regular updates on the status of the project and a financial reporting of expenditures. The deadline for submitting the required reports is listed below. Since each PFS Grant Project may be unique in its approach and the intended results may vary, not all measures as stated above may apply. Staff will develop a draft data collection tool and progress report format in collaboration with new grantees at the mandatory Grantee Orientation to solicit grantee input into the development of the reports. 11 Report and Reporting Period Report Due Dates Readiness-to-Proceed Report (May 1, 2016 through August 31, 2016) September 15, 2016 Six-Month Progress Report (October 1, 2016 through March 31, 2017) May 1, 2017 Annual Report October 1, 2016 through September 30, 2017 November 1, 2017 Six-Month Progress Report October 1, 2017 through March 31, 2018 May 1, 2018 Annual Report October 1, 2017 through September 30, 2018 November 1, 2018 Six-Month Progress Report Period October 1, 2018 through March 31, 2019 May 1, 2019 Final Annual Report Period October 1, 2018 through September 30, 2019 November 1, 2019 Monitoring and Project Assessment BSCC staff will conduct periodic monitoring of each project to assess whether the project is in compliance with grant requirements and making progress toward grant objectives, and to provide technical assistance as needed regarding fiscal, programmatic, evaluation, and administrative requirements. A sample of the BSCC’s grant project monitoring report is provided as Appendix I; however, items within the report may be subject to change for the PFS Grant Project grantees. Additionally, PFS Grant Project grantees and their subcontractors may be offered an opportunity to participate in project assessments conducted by certified BSCC staff. These assessments are designed to determine the extent to which projects are using effective correctional practices that are aligned with recidivism reduction. Following the initial assessment, BSCC staff will provide training, technical assistance, and planning sessions as needed to assist grantees in increasing their capacities to deliver effective services known to reduce recidivism. See Appendix J for a description of this assessment process. Audit The BSCC reserves the right to require a financial audit any time between the execution of the grant agreement and 60 days after the end of the grant period. At any time the BSCC may disallow all or part of the cost of an activity or action determined not to be in compliance with the terms and conditions of the contract. Grantee Orientation Process BSCC staff will conduct a Grantee Orientation at the BSCC offices in Sacramento, at a date to be determined, following the start of the grant period. The purpose of this mandatory session is to review the contract development process, on-line financial reports, data collection and reporting requirements, as well as other grant management and monitoring activities. PFS grant administrative funds may be used by departments for travel-related expenditures such as airfare, mileage, meals, lodging, and other per diem costs. Applicants should include anticipated costs in the budget section of this application under the “Other” category. 12 THE PROPOSAL PROCESS AND EVALUATION RATING FACTORS Technical Review BSCC staff will conduct a technical review of each proposal to determine if it is in compliance with all technical requirements prior to being forwarded to the ESC for funding consideration. The format staff will use for the technical compliance review is provided as Appendix K. It is the BSCC's intent to avoid having otherwise worthy proposals eliminated from consideration due to relatively minor and easily corrected errors/omissions. Applicants will therefore have an opportunity to respond to deficiencies identified during the technical review process, which will take place between Tuesday, February 2, 2016 and Monday, February 8, 2016. If necessary, applicants will be allowed to make non-substantive changes that would bring the proposal into technical compliance. Applicants will be notified on Monday, February 8, 2016 of any changes that are required, and all non-substantive technical changes must be completed and submitted by 5:00 p.m. on Tuesday, February 16, 2016 During this timeframe it is highly recommended that the applicant’s designated “Contact Person” be available to discuss and correct any deficiencies. Proposals that fail to meet all technical requirements by 5:00 p.m. on Tuesday, February 16, 2016may be excluded from further consideration for funding. Merit Review The ESC will review and rate each proposal found to meet all technical requirements. The rating factors to be used and the maximum rating points allocated to each factor are shown in the table below. Each rating factor will be evaluated regarding the extent to which it is adequately addressed in the proposal. Following this rating process, the ESC will forward its funding recommendations for proposals to the BSCC Board, which will take action on the recommendations. It is currently anticipated the Board will act on the recommendations at its scheduled meeting on April 14, 2016. Applicants must not contact members of the ESC or the BSCC Board about their proposals. PROPOSAL EVALUATION RATING FACTORS EVALUATION FACTOR MAXIMUM POINTS Statement of Need 80 Goals and Objectives 80 Project Description 120 Contractual Arrangements 40 Evaluation 40 Budget 80 Administrative Work Plan and Timeline 60 TOTAL POINTS 500 PLEASE NOTE: IN ORDER TO BE CONSIDERED FOR FUNDING, THE FOLLOWING THRESHOLD/MINIMUM SCORE MUST BE MET: 1. 50% OF THE 500 TOTAL POSSIBLE POINTS AND 2. 50% OF THE TOTAL POSSIBLE POINTS FOR THE PROJECT DESCRIPTION 13 SUMMARY OF KEY DATES ACTIVITY TENTATIVE TIMELINE Release Request for Proposals (RFP) Solicitation September 18, 2015 Bidders Conference October 20, 2015 Grant Proposal/Application Due to the BSCC (by 5 p.m.) February1, 2016 Technical Compliance Review February 8 - 16, 2016 BSCC Board Meeting for Funding Approval April 14, 2016 Grants Begin/Contracts Commence May 1, 2016 Grantee Orientation TBD May/June 2016 14 APPENDIX A ASSEMBLY BILL 1837 ASSEMBLY BILL1837: SOCIAL INNOVATION FINANCING PROGRAM CHAPTER 802 An act to add and repeal Title 15.8 (commencing with Section 97008) of, and to repeal Section 97013 of, the Government Code, relating to corrections. [Approved by Governor September 29, 2014. Filed with Secretary of State September 29, 2014.] LEGISLATIVE COUNSEL'S DIGEST Assembly Bill (AB) 1837, Atkins. Board of State and Community Corrections. Existing law establishes the Board of State and Community Corrections to collect and maintain available information and data about state and community correctional policies, practices, capacities, and needs, as specified. Existing law also requires the board to develop incentives for units of local government to develop comprehensive regional partnerships whereby adjacent jurisdictions pool grant funds in order to deliver services to a broader target population and maximize the impact of state funds at the local level. This bill would enact, until January 1, 2020, the Social Innovation Financing Program, and would require the board to administer the program. The bill would, among other things, authorize the Board of State and Community Corrections, upon appropriation of funds by the Legislature for deposit in the Recidivism Reduction Fund, to award grants in amounts of not less than $500,000 and not more than $2,000,000 to each of 3 counties, selected as specified, for the purpose of entering into a pay for success or social innovation financing contract, pursuant to which private investors agree to provide financing to service providers to achieve social outcomes agreed upon in advance and the government agency that is a party to the contractual agreement agrees to pay a return on the investment to the investors if successful programmatic outcomes are achieved by the service provider. The bill would limit the total amount of the grants awarded to $5,000,000. The bill would require each county receiving an award to report annually to the Governor and Legislature on the status of its program. The bill would require the board to compile the county reports and submit a summary report to the Governor and the Legislature annually. The bill would also make legislative findings and declarations in this regard. Digest Key Vote: MAJORITY Appropriation: NO Fiscal Committee: YES Local Program: NO Bill Text The people of the State of California do enact as follows: SECTION 1. The Legislature finds and declares all of the following: (a) It is the intent of the Legislature to establish partnerships between local governmental agencies, private investors, nonprofit organizations, and for-profit service providers to facilitate the use of social innovation financing to achieve measurable social benefits. (b) Social innovation financing and the use of performance-based contracting can serve as an effective tool for addressing social and community development challenges where private sector innovations may be useful and multiple approaches may be appropriate. Research shows that the selection and design of these types of social interventions should be done with care in order 15 to ensure successful outcomes. Among other criteria, selected projects should meet the following requirements: (1) Address social needs that are unmet, high priority, and large-scale. (2) Address target populations that are well-defined and can be measured with scientific rigor. (3) Result in outcomes that are credible and readily available by cost-effective means. (4) Propose interventions that are highly likely to achieve targeted impact goals. (5) Be carried out by proven service providers that are prepared to scale with quality. (6) Include safeguards to protect the well-being of the populations served. (7) Be cost-effective programs that can demonstrate financial savings for government. SECTION 2. Title 15.8 (commencing with Section 97008) is added to the Government Code, to read: TITLE 15.8. Social Innovation Financing Program 97008. For purposes of this title, the following definitions apply: (a) “Board” means the Board of State and Community Corrections. (b) “Social innovation financing contract,” which may also be known and referred to as a “pay for success contract,” refers to a contractual agreement between government, private investors, and service providers pursuant to which private investors agree to provide financing to service providers to achieve social outcomes agreed upon in advance and the government agency agrees to pay a return on the investment to the investors if successful programmatic outcomes are achieved by the service provider. 97009. (a) It is the intent of the Legislature that as part of the package to reduce recidivism in California, the concept of “pay for success” or social innovation financing should be included to take advantage of available philanthropic and private investment. (b) The Legislature hereby declares that a variety of approaches have been shown to be successful in reducing recidivism, including addressing homelessness, substance use disorder and unemployment among specific demographic groups. 97010. (a) There is hereby established the Social Innovation Financing Program. (b) The board shall administer the Social Innovation Financing Program. (c) (1) The board shall solicit proposals for social innovation financing from county boards of supervisors and shall select three counties to receive grant funding. (2) Before awarding a grant pursuant to paragraph (1), the board shall evaluate the quality of the proposal for which the grant is to be awarded. (3) At a minimum, each application for a grant shall include all of the following: (A) A description of the proposed social program. (B) A description of the organization’s experience in providing the proposed social program. (C) A description of the financial stability of the organization. (D) An identification of each component of the social program to be provided. (E) A description of the manner in which the social program will be provided. (F) A description of the recruitment or selection process, or both, for participants in the social program. 16 (G) The proposed quantifiable results and performance thresholds upon which success of the social program will be measured. (H) An itemization of all expenses proposed to be reimbursed under the contract. (I) The amount of matching funds provided by the county. (J) A description of how the final payments for successful programmatic outcomes will be calculated and structured in the contract. (K) A description of all parties to the proposed contract, including prospective investors and philanthropic foundations. 97011. (a) Upon appropriation of funds by the Legislature for deposit in the Recidivism Reduction Fund for the purposes of this title, the board shall award a grant in an amount of not less than five hundred thousand dollars ($500,000) and not more than two million dollars ($2,000,000) to each county selected pursuant to Section 97010 for the purposes of entering into a pay for success or social innovation financing contract. The total amount of the grants awarded pursuant to this section shall not exceed five million dollars ($5,000,000). Any unused state moneys shall revert to the General Fund. (b) Each county contract described in subdivision (a) shall include all of the following: (1) A requirement that the payment be conditioned on the achievement of specific outcomes based upon defined performance targets. (2) An objective process by which an independent evaluator, selected by the county, will determine whether the performance targets have been achieved. This process shall include defined performance metrics and a monitoring plan. (3) A calculation of the amount and timing of payments that would be earned by the service provider during each year of the agreement if performance targets are achieved as determined by the independent evaluator. (4) A determination by the county that the contract will result in significant performance improvements, such as a reduction in rearrests or an increase in the number of jail days avoided, and budgetary savings if the performance targets are achieved. (5) A requirement that an amount equal to a minimum of 100 percent of the Social Innovation Financing Program grant awarded to the county be matched by other county, federal, private, or philanthropic, funds. The board may adopt regulations allowing in-kind contributions in lieu of monetary contributions for this purpose. (c) Up to 10 percent of the grant funds awarded pursuant to this title may be used by the counties for administrative expenses related to the development of the pay for success or social innovation financing contract. The remainder of the grant shall be contributed toward final payments to investors for successful programmatic outcomes achieved, as stipulated in the contract. (d) If, after receiving a grant pursuant to this title, a county does not enter into a contract for which the grant was awarded, the county shall return all moneys awarded by the board pursuant to this title, to the state. 97012. The board is encouraged to form an executive steering committee with members from relevant state agencies and departments with expertise in public health, homelessness and housing, workforce development, economic development, and effective rehabilitative treatment for adult and juvenile offenders in the evaluation of the social innovation financing program, including, but not limited to, the Governor’s Office of Business and Economic Development, the Department of Housing and Community Development, the California Workforce Investment Board, and the Office of Health Equity, to make recommendations to the board regarding the efficacy and viability of proposals. 17 18 97013. (a) Each county receiving an award shall report annually to the board on the status of its ongoing social innovation financing program. The report shall also contain an accounting of the moneys awarded. (b) The board shall compile the county reports and submit a summary report to the Governor and Legislature annually. (c) A report made pursuant to this section shall be made in accordance with the requirements of Section 9795. (d) This section shall remain in effect only until January 1, 2020, and as of that date is repealed, unless a later enacted statute, that is enacted before January 1, 2020, deletes or extends that date. 97014. This title does not create a statutory entitlement to services or any contractual obligation on the part of the state. 97015. This title shall remain in effect only until January 1, 2020, and as of that date is repealed, unless a later enacted statute, that is enacted before January 1, 2020, deletes or extends that date. 19 APPENDIX B RESOURCES: PAY FOR SUCCESS AND SOCIAL INNOVATION FINANCING PROGRAMS The websites provided below may be useful to applicants in the proposal development process. We do not consider this list exhaustive and it is offered only as a starting point for applicants to use in researching Pay for Success Projects or Social Innovation Financing.  Harvard Kennedy School’s Social Impact Bond Technical Assistance Lab (http://hks- siblab.org)  The Nonprofit Finance Fund Pay for Success Learning Hub (http://payforsuccess.org )  Third Sector Finance (http://www.thirdsectorcap.org)  Social Finance US (http://socialfinanceus.org)  Strategic Innovation at Nonprofit Finance Fund (http://nonprofitfinancefund.org)  National Council on Crime and Delinquency (http://www.nccdglobal.org/blog/nccd-now- pay-for-successs) 20 APPENDIX C REQUEST FOR TECHNICAL ASSISTANCE Please complete the form below if you would like to receive technical assistance from the BSCC’s fellowship program with the Harvard Kennedy School’s Social Impact Bond Technical Assistance Lab. CONTACT INFORMATION NAME (First, Last) TITLE COUNTY AGENCY NAME STREET ADDRESS CITY STATE ZIP CODE PHONE NUMBER E-MAIL ADDRESS Email Request form to Joyce Carroll at Joyce.Carroll@bscc.ca.gov 21 APPENDIX D SOCIAL INNOVATION FINANCING MODEL 22  APPENDIX E RESOURCES: EFFECTIVE EVIDENCE-BASED PROGRAMS, PRACTICES, AND STRATEGIES The following website resources are provided as they may be useful to applicants in the proposal development process. The BSCC does not consider this list exhaustive and it is offered only as a starting point for applicants to use in researching evidence-based programs, practices, and strategies. Blueprints for Violence Prevention http://www.colorado.edu/cspv/blueprints/index.html California Institute of Behavioral Health Solutions http://www.cibhs.org/evidence-based-practices-0 Coalition for Evidence-Based Policy http://evidencebasedprograms.org/ CrimeSolutions.gov http://www.crimesolutions.gov/ Justice Research and Statistic Association http://www.jrsa.org/ National Institute of Corrections http://nicic.gov/Library/ National Institute of Justice, New Tool for Law Enforcement Executives http://nij.gov/five-things/ National Reentry Resource Center http://nationalreentryresourcecenter.org/ Office of Juvenile Justice and Delinquency Prevention Model Program Guide http://www.ojjdp.gov/mpg/ Promising Practices Network http://www.promisingpractices.net/ Reducing Recidivism to Increase Public Safety: A Cooperative Effort by Courts and Probation http://www.courts.ca.gov/documents/EVIDENCE-BASED-PRACTICES-Summary-6-27-11.pdf Substance Abuse and Mental Health Services Administration www.samhsa.gov/ebpwebguide Substance Abuse and Mental Health Services Administration (SAMHSA) National Registry of Evidence‐Based Programs and Practices http://www.nrepp.samhsa.gov University of Cincinnati, Effective Programs/Curricula Recommendations http://www.bscc.ca.gov/downloads/Univ_of_Cincinnati_Curricula_Recommendations_Oct_2011. pdf Washington State Institute for Public Policy http://www.wsipp.wa.gov 23 APPENDIX F STATE OF CALIFORNIA: CONTRACT AND GENERAL TERMS AND CONDITIONS *DRAFT CONTRACT: CHANGES IN PROGRESS* 1. This Agreement is entered into between the State Agency and the Contractor named below: STATE AGENCY'S NAME BOARD OF STATE AND COMMUNITY CORRECTIONS CONTRACTOR'S NAME 2. The term of this Agreement is: May 1, 2016 through October 30, 2020 3. The maximum amount $ of this Agreement is: 4. The parties agree to comply with the terms and conditions of the following exhibits which are by this reference made a part of the Agreement. Exhibit A: Exhibit B: Exhibit C: Exhibit D: Scope of Work Budget Detail GTC 610: General Terms and Conditions* Special Terms and Conditions 3 pages 1 pages By Reference 3 pages x pages Application for Funding/Grant Proposal – Sections I through VIII Items shown with an Asterisk (*) are hereby incorporated by reference and made part of this agreement as if attached hereto. These documents can be viewed at: http://www.dgs.ca.gov/ols/Resources/StandardContractLanguage.aspx IN WITNESS WHEREOF, this Agreement has been executed by the parties hereto. CONTRACTOR CONTRACTOR’S NAME (if other than an individual, state whether a corporation, California Department of General Services Use Only BY (Authorized Signature)  PRINTED NAME AND TITLE OF PERSON SIGNING ADDRESS STATE OF CALIFORNIA AGENCY NAME BOARD OF STATE AND COMMUNITY CORRECTIONS BY (Authorized Signature)  PRINTED NAME AND TITLE OF PERSON SIGNING MARY JOLLS, Deputy Director ADDRESS 2590 Venture Oaks Way, Suite 200 Sacramento CA 95833 DATE SIGNED(Do not type) DATE SIGNED(Do not type) Exempt per: SCM Volume 1 , Chapter 4.06 24 EXHIBIT A SCOPE OF WORK GRANT AGREEMENT – PAY FOR SUCCESS GRANT PROGRAM This Grant Agreement is between the State of California Board of State and Community Corrections, hereafter referred to as BSCC and XXX, hereafter referred to as Grantee or Contractor. 1. PROJECT SUMMARY AND ADMINISTRATION A. <Copy and paste project summary here....> B. Grantee agrees to administer the project in accordance with the Application for Funding/Grant Proposal (Sections I – VIII), which is attached and hereto and made part of this agreement. 2. PROJECT OFFICIALS A. The BSCC's Executive Director or designee shall be the BSCC's representative for administration of the Grant Agreement and shall have authority to make determinations relating to any controversies that may arise under or in connection with the interpretation, performance, or payment for work performed under this Grant Agreement. B. The Grantee’s project officials shall be those identified as follows and as specified in Section 1 of The Application for Funding/Grant Proposal (Sections I – VIII), which : Chairperson of the County Board of Supervisors, authorized to sign this grant agreement: Name: Title: Address: Phone: Email: Project Director Name: Title: Address: Phone: Fax: Email: Project Financial Officer Name: Title: Address: Phone: Fax: Email: C. Either party may change its project representatives upon written notice to the other party. D. By signing this Grant Agreement, the Chairperson of the Board of Supervisors listed above warrants that he or she has full legal authority to bind the entity for which he or she signs. 25 Grantee Name Agreement Number 3. DATA COLLECTION EXHIBIT A SCOPE OF WORK Grantees will be required to participate in the collection of data on a common set of variables (and using one or more common data collection instruments). These common variables will be identified collaboratively by the BSCC and the grantees during the grantee orientation meeting. It is anticipated that grantees will be required to submit this common set of variables on a semi-annual basis. Data elements may include, but are not limited to, demographic and other background information, program status information, level and intensity of program services information, and short-term and intermediate- term outcome information. Grantees will also be required to conduct a “Project Evaluation and Outcome” as outlined in the Request for Proposal. 4. REPORTING REQUIREMENTS E. Pursuant to AB 1837, once a year grant award recipients will be required to submit an Annual Report to the BSCC. The BSCC will compile the county Annual Reports received from grantees and submit a summary report to the Governor and Legislature annually. F. Grantee must submit a Readiness-to-Proceed Progress report to assess the project development activities underway at month four of the contract. BSCC staff will offer technical assistance, as requested by the county, to support program implementation by month six. G. Grantee must submit Six-Month Progress Reports throughout the project to provide regular updates on the status of the project and a financial reporting of expenditures. H. The deadline for submitting the required reports is as follows: Grantee Name Agreement Number Report and Reporting Period Report Due Dates Readiness-to-Proceed Report (May 1, 2016 through August 31, 2016) September 15, 2016 Six-Month Progress Report (October 1, 2016 through March 31, 2017) May 1, 2017 Annual Report October 1, 2016 through September 30, 2017 November 1, 2017 Six-Month Progress Report October 1, 2017 through March 31, 2018 May 1, 2018 Annual Report October 1, 2017 through September 30, 2018 November 1, 2018 Six-Month Progress Report Period October 1, 2018 through March 31, 2019 May 1, 2019 Final Annual Report Period October 1, 2018 through September 30, 2019 November 1, 2019 26 5. PROJECT RECORDS EXHIBIT A SCOPE OF WORK I. The Grantee shall establish an official file for the project. The file shall contain adequate documentation of all actions taken with respect to the project, including copies of this Grant Agreement, approved program/budget modifications, financial records and required reports. J. The Grantee shall establish separate accounting records and maintain documents and other evidence sufficient to properly reflect the amount, receipt, and disposition of all project funds, including grant funds and any matching funds by the Grantee and the total cost of the project. Source documentation includes copies of all awards, applications, approved modifications, financial records and narrative reports. K. Personnel and payroll records shall include the time and attendance reports for all individuals reimbursed under the grant, whether they are employed full-time or part-time. Time and effort reports are required for consultants (subcontractors). L. The grantee shall maintain documentation of donated goods and/or services, including the basis for valuation. M. Grantee agrees to protect records adequately from fire or other damage. When records are stored away from the Grantee’s principal office, a written index of the location of records stored must be on hand and ready access must be assured. N. All Grantee records relevant to the project must be preserved a minimum of three (3) years after closeout of the grant project and shall be subject at all reasonable times to inspection, examination, monitoring, copying, excerpting, transcribing, and auditing by the BSCC or designees. If any litigation, claim, negotiation, audit, or other action involving the records has been started before the expiration of the three-year period, the records must be retained until the completion of the action and resolution of all issues which arise from it or until the end of the regular three-year period, whichever is later. 27 Grantee Name Agreement Number 1. GRANT AMOUNT AND LIMITATION EXHIBIT B BUDGET DETAIL A. In no event shall the BSCC be obligated to pay any amount in excess of the grant award. Grantee waives any and all claims against the BSCC and the State of California on account of project costs that may exceed the sum of the grant award. B. In no event shall changes be authorized that would result in the expenditures of grant funds for administrative purposes (Column E below) exceeding ten percent (10%) of the grant award. C. In no event shall changes be authorized for the Indirect Costs line item that would result in that item exceeding ten percent (10%) of the grant award unless justified by the county’s indirect cost rate. 2. PROJECT COSTS D. Grantee is responsible for ensuring that actual expenditures are for eligible project costs. The BSCC Grant Administration and Audit Guide outlines eligible and ineligible project costs. E. Grant funds must be used to supplement existing funds for program activities and may not replace (supplant) non-State/grant funds that have been appropriated for the same purpose. Potential supplanting will be the subject of grant monitoring. Violations can result in a range of penalties (e.g. recoupment of monies provided under this grant, suspension of future program funding through BSCC grants, and civil/criminal penalties). 3. PROJECT BUDGET --- County Probation Agreement Number A BUDGET LINE ITEM B INVESTOR FUNDS C CASH MATCH D IN-KIND MATCH E GRANT FUNDS ADMINISTRATIVE PURPOSES (10%) F TOTAL 1. Salaries & Benefits $0 $0 $0 $0 $0 2. Services & Supplies $0 $0 $0 $0 $0 3. Professional Services $0 $0 $0 $0 $0 4. CBO Contracts $0 $0 $0 $0 $0 5. Indirect Costs $0 $0 $0 $0 $0 6. Fixed Assets/Equipment $0 $0 $0 $0 $0 7. Data Collection $0 $0 $0 $0 $0 8. Program Evaluation $0 $0 $0 $0 $0 9. Other TOTALS $0 $0 $0 $0 $0 28 GENERAL TERMS AND CONDITIONS The GTC 610, General Terms and Conditions are hereby incorporated by reference and made part of this agreement as if attached hereto. The GTC 610 can be viewed at: http://www.dgs.ca.gov/ols/Resources/StandardContractLanguage.aspx --- County Probation Agreement Number 29 EXHIBIT D SPECIAL TERMS AND CONDITIONS 1. GRANTEE’S GENERAL RESPONSIBILITY A. Grantee is responsible for the project activities identified in the Application for Funding/Grant Proposal (Sections I – VIII) submitted to the BSCC. Grantee shall immediately advise the BSCC of any significant problems or changes that arise during the course of the project. B. If, after receiving an award, the county does not enter into a contract for which the grant was awarded, the county shall return all moneys awarded by the BSCC to the state. 2. GRANTEE ASSURANCES AND COMMITMENTS A. Compliance with Laws and Regulations This Grant Agreement is governed by and shall be interpreted in accordance with the laws of the State of California. Grantee shall at all times comply with all applicable State laws, rules and regulations, and all applicable local ordinances. B. Fulfillment of Assurances and Declarations Grantee shall fulfill all assurances, declarations, representations, and statements made by the Grantee in the Application for Funding/Grant Proposal (Sections I – VIII), which, documents, amendments, approved modifications, and communications filed in support of its request for grant funds. C. Permits and Licenses Grantee agrees to procure all permits and licenses necessary to complete the project, pay all charges and fees, and give all notices necessary or incidental to the due and lawful proceeding of the project work. 3. POTENTIAL SUBCONTRACTORS A. In accordance with the provisions of this Grant Agreement, the Grantee may subcontract with consultants for services needed to implement and/or support program activities. Grantee agrees that in the event of any inconsistency between this Grant Agreement and Grantee’s agreement with a subcontractor, the language of this Grant Agreement will prevail. B. Nothing contained in this Grant Agreement or otherwise, shall create any contractual relation between the BSCC and any subcontractors, and no subcontract shall relieve the Grantee of his responsibilities and obligations hereunder. The Grantee agrees to be as fully responsible to the BSCC for the acts and omissions of its subcontractors and of persons either directly or indirectly employed by any of them as it is for the acts and omissions of persons directly employed by the Grantee. The Grantee's obligation to pay its subcontractors is an independent obligation from the BSCC's obligation to make payments to the Grantee. As a result, the BSCC shall have no obligation to pay or to enforce the payment of any moneys to any subcontractor. C. Grantee shall ensure that all subcontractors comply with all requirements of this Grant Agreement. D. Grantee assures that for any subcontract awarded by the Grantee, such insurance and fidelity bonds, as is customary and appropriate, will be obtained. E. Grantee agrees to place appropriate language in all subcontracts for work on the project requiring the Grantee’s subcontractors to: 30 --- County Probation Agreement Number EXHIBIT D SPECIAL TERMS AND CONDITIONS 1) Books and Records Maintain adequate fiscal and project books, records, documents, and other evidence pertinent to the subcontractor’s work on the project in accordance with generally accepted accounting principles. Adequate supporting documentation shall be maintained in such detail so as to permit tracing transactions from the invoices, to the accounting records, to the supporting documentation. These records shall be maintained for a minimum of three (3) years after the acceptance of the final grant project audit under the Grant Agreement, and shall be subject to examination and/or audit by the BSCC or designees, state government auditors or designees, or by federal government auditors or designees. 2) Access to Books and Records Make such books, records, supporting documentations, and other evidence available to the BSCC or designee, the Department of General Services, the Department of Finance, the Bureau of State Audits, and their designated representatives during the course of the project and for a minimum of three (3) years after acceptance of the final grant project audit. The Subcontractor shall provide suitable facilities for access, monitoring, inspection, and copying of books and records related to the grant-funded project. 4. PROJECT ACCESS Grantee shall ensure that the BSCC, or any authorized representative, will have suitable access to project activities, sites, staff and documents at all reasonable times during the grant period. 5. ACCOUNTING AND AUDIT REQUIREMENTS A. Grantee agrees that accounting procedures for grant funds received pursuant to this Grant Agreement shall be in accordance with generally accepted government accounting principles and practices, and adequate supporting documentation shall be maintained in such detail as to provide an audit trail. Supporting documentation shall permit the tracing of transactions from such documents to relevant accounting records, financial reports and invoices. B. The BSCC reserves the right to call for a program or financial audit at any time between the execution of this Grant Agreement and 60 days following the end of the grant period. At any time, the BSCC may disallow all or part of the cost of the activity or action determined to not be in compliance with the terms and conditions of this Grant Agreement, or take other remedies legally available. 6. MODIFICATIONS No change or modification in the project will be permitted without prior written approval from the BSCC. Changes may include modification to project scope, changes to performance measures, compliance with collection of data elements, and other significant changes in the budget or program components contained in the Application for Funding. Changes shall not be implemented by the project until authorized by the BSCC. 7. SETTLEMENT OF DISPUTES A. In the event of a dispute, Grantee shall file a "Notice of Dispute" with the BSCC Deputy Director, Corrections Planning and Programs Division within 30 days, the Deputy 31 --- County Probation Agreement Number EXHIBIT D SPECIAL TERMS AND CONDITIONS Director shall meet with the Grantee and the designated BSCC Field Representative for purposes of resolving the dispute. The appeal shall be in writing and shall: 1) state the basis for the appeal; 2) state the action being requested of the Deputy Director; and, 3) include any correspondence/documentation related to the cause for dissatisfaction. B. The Deputy Director will review the appeal and render a decision on the appeal within 30 calendar days. The decision of the Deputy Director shall be in writing and shall provide rationale for the decision. C. If dissatisfied with the decision, the Grantee may file for a review by the BSCC Executive Director. Such request shall be in writing and contain all the elements listed above in Item A. D. The decision of the Executive Director shall be final. Notice of the decision shall be mailed to the Grantee. E. The procedural time requirement may be waived with written mutual consent of both Grantee and Deputy Director. Grantee shall continue with the responsibilities under this Agreement during any dispute. 8. UNION ACTIVITIES For all agreements, except fixed price contracts of $50,000 or less, the Grantee acknowledges that applicability of Government Code §§16654 through 16649 to this Grant Agreement and agrees to the following: A. No State funds received under the Grant Agreement will be used to assist, promote or deter union organizing. B. Grantee will not, for any business conducted under the Grant Agreement, use any State property to hold meetings with employees or supervisors, if the purpose of such meetings is to assist, promote or deter union organizing, unless the State property is equally available to the general public for holding meetings. C. If Grantee incurs costs or makes expenditures to assist, promote or deter union organizing, Grantee will maintain records sufficient to show that no reimbursement from State funds has been sought for these costs, and that Grantee shall provide those records to the Attorney General upon request. 9. WAIVER The parties hereto may waive any their rights under this Grant Agreement unless such waiver is contrary to law, provided that any such waiver shall be in writing and signed by the party making such waiver. 32 --- County Probation Agreement Number APPENDIX G EXAMPLES OF ELIGIBLE AND INELIGIBLE PROJECT COSTS Eligible Project Costs The following project-related costs are eligible for reimbursement if paid for with grant funds. These costs may also be claimed as match. Grantees must maintain adequate supporting documentation for all costs, both grant and match, claimed on invoices. 1. Salaries and benefits for project staff; 2. Services and supplies directly associated with the project; 3. Travel necessary for the success of the project;  In-state travel costs incurred by city/county employees will be reimbursed in accordance with city/county travel policy. In-state travel costs incurred by staff of community-based organizations or other subcontractors will be reimbursed in accordance with the State of California’s travel policy.  Out-of-state travel is restricted and only allowed in exceptional situations. Grantees must obtain prior approval from the BSCC for any out-of-state travel by submitting an out-of-state travel justification, detailing travel agenda and scope. The justification must be complete and show the benefits to the project in terms of the relationship to the projects goals, objectives, and activities. 4. Professional or consultant services, including services provided by community-based organizations and auditing agencies, associated with the project. Any services provided must meet all state and local licensing requirements; 5. Fixed assets necessary for the project. Note: The expenditure of grant funds for fixed assets exceeding $2,000 per item requires prior approval from the BSCC. The project manager must submit a written declaration that the equipment to be purchased is: 1) to be used for services directly associated with the project, 2) essential to the success of the project, and 3) less expensive than leasing or renting the equipment for the grant period (based on a thorough investigation of lease and rental options); 6. Lease payments for office space and/or equipment needed for the project; 7. Miscellaneous costs for stipends, transportation, books and supplies, special equipment, job related/training materials, and apprenticeship costs for program participants; 8. Purchase or lease of a vehicle necessary for the project. Note: The expenditure of grant funds to purchase or lease a vehicle requires prior approval from the BSCC. The project manager must submit a request describing the need for the vehicle, the anticipated impact on the project if the request is not approved, and the agency that will operate the vehicle, provide insurance, and assume liability; and 9. Indirect costs necessary to the operation of the organization and performance of the project. The cost of operating and maintaining facilities, depreciation, and administrative salaries are examples of indirect costs. The percentage of federal funds that can be expended on indirect costs varies by program and is stipulated in the grant agreement. Ineligible Project Costs Ineligible project costs include but are not limited to: 1. Site acquisition and/or construction costs; 2. Fixed assets over $2,000 per item, unless the BSCC approves a written declaration from the Project Manager as described under Eligible Project Costs; 33 3. Supplanting existing programs, projects, resources, or personnel; 4. Personal injury compensation or damages arising out of or connected with the project, whether determined by adjudication, arbitration, negotiation, or otherwise; 5. Fines and penalties due to violation of or failure to comply with federal, state, or local laws and ordinances; 6. Costs outside the scope of the approved project or activities not directly related to the approved project; 7. Interest on bonds or any other form of indebtedness required to finance project costs; 8. All costs incurred in violation of the terms, provisions, conditions, or commitments of the grant agreement; 9. All costs arising out of or attributable to grantee's malfeasance, misfeasance, mismanagement or negligence; 10. Allcostsarisingoutoforconnectedwithsubcontractclaimsagainstthegrantee,or those persons for whom the grantee may be vicariously liable, including, but not limited to, any and all costs related to defense or settlement of such claims; 11. Guns,ammunition,andbodyarmor; 12. Useofgrantfundsto“buy-out”unusedsickleave,vacation/administrativeleavetimenot accrued during the grant period. Grant funds may only be used to “buy-out” any period of time an employee was assigned to the program and paid with grant fund; 13. Useofgrantfundsforout-of-statetravel,unlessapprovedbyBSCConacase-by-case basis; 14. Bonusesorcommissions; 15. Purchaseofmilitary-typeofequipment; 16. Lobbyingactivities; 17. Fundraisingactivities;and 18. Costsincurredoutsidethegrantperiod. 34 APPENDIX H SAMPLE RESOLUTION OF THE GOVERNING BOARD Each grantee must submit a resolution from their Governing Board that includes, at a minimum, the assurances outlined in the sample below. Applicants are encouraged to submit the Resolution with their proposal. Awardees must have a resolution on file before a fully executed grant agreement can be completed. WHEREAS the (insert name of applicant, county department) desires to participate in the Pay for Success Grant Program, funded through the State Recidivism Reduction Fund and administered by the Board of State and Community Corrections (hereafter referred to as BSCC). NOW, THEREFORE, BE IT RESOLVED that the (insert title of designated official) is authorized on behalf of this Governing Board to submit the grant proposal for this funding and sign the Grant Agreement with the BSCC, including any amendments thereof. BE IT FURTHER RESOLVED that state grant funds received hereunder shall not be used to supplant expenditures controlled by this body. BE IT FURTHER RESOLVED that (insert county department) agrees to provide all matching funds required for said project and abide by the statutes and regulations governing the State Grants Program (including General Terms and Condition 610) as well as the terms and conditions of the Grant Agreement as set forth by the BSCC. Passed, approved, and adopted by the Governing Board of (name of board)) in a meeting thereof held on (insert date) by the following: Ayes: Notes: Absent: Signature: Typed Name and Title: ATTEST: Signature: Typed Name and Title: Date: Date: 35 APPENDIX I BSCC MONITORING / SITE VISIT REPORT TEMPLATE ADMINISTRATIVE REVIEW Section 1- General 1. Does the project have a copy of the fully executed Standard Agreement in the official file? 2 Does the project have a copy of the Grant Administration and Audit Guide in the official file? 3. Does the agency have an organizational chart for each department involved with the program? 4. Does the project maintain duty statements for staff paid with grant funds? *Duty statements must be specific to the activities performed in relationship to the grant. 5. Does the project maintain time sheets on all staff charged to the grant? 6. Does the project maintain functional timesheets or conduct time studies for split-funded positions? *Estimates and/or percentages are not acceptable. 7. Can salaries and benefits be easily tied back to reimbursement invoices? 8. Does the project verify that salaries and benefits are not also claimed or reimbursed under another separate agreement or funding stream? 9. Are all authorized positions filled and performing grant-related duties? 10. Are there any anticipated changes to staff or the project? If yes, explain: 11. Does this grant provide for contracted services? 12. Are copies of the subcontract awards contained within the official project file? 13. Do subcontracts contain the required language (i.e., access to program and fiscal records, access to facility, access to program participants, Non-Discrimination clause, Civil Rights compliance)? If no, what is missing/incomplete? 14. What type of documentation detail does the agency keep for contractor service delivery billing (e.g., client sign-in logs, time/duration of services)? 15. Are copies of project budget modifications contained in the official file? 16. Were there any substantial modifications made that were not approved by the BSCC? 17. Did the project provide a Fidelity Bond, if applicable? 18. Does the grantee have a sustainability plan to continue service delivery after grant funds expire? If yes, what sources for continuation funds are already secured, leveraged or possible? Section 2 – Civil Rights Compliance (as applicable to state funded programs 19. Does the grantee have an Equal Employment Opportunity Plan (EEOP) on file for review? If yes, on what date did the grantee prepare the EEOP? 20. Has the grantee submitted an EEOP Short Form to the Office for Civil Rights (OCR), U.S. Department of Justice (DOJ), if applicable? 21. How does the grantee notify program participants and beneficiaries that it does not discriminate on the basis of race, color, national origin, religion, sex, disability, and age in the delivery of services (e.g., posters, inclusion in program brochures, program materials, etc.)? 36 22. How does the grantee notify employees that it does not discriminate on the basis of race, color, national origin, religion, sex, disability, and age in the delivery of services (e.g., posters, dissemination of relevant orders or policies, recruitment materials, etc.)? 23. Are there written policies or procedures in place for notifying program beneficiaries how to file complaints alleging discrimination by the grantee with the BSCC or the OCR? 24. If the grantee has 50 or more employees and receives DOJ funding of $25,000 or more, has the grantee: a. Adopted grievance procedures that incorporate due process standards and provide for prompt and equitable resolution of complaints alleging a violation of DOJ regulations prohibits discrimination on the basis of a disability in employment practices and the delivery of services? b. Designated a person to coordinate compliance with prohibitions against disability discrimination? c. Notified participants, beneficiaries, employees, applicants, and others that the grantee does not discriminate on the basis of disability? 25. If the grantee operates an education program or activity, have they taken the following actions? a. Adopted grievance procedures that provide for the prompt and equitable resolution of complaints alleging a violation of the DOJ regulations which prohibits discrimination on the basis of sex? b. Designated a person to coordinate compliance with the prohibitions against sex discrimination? c. Notified applicants for admission and employment, employees, students, parents, and others that the grantee does not discriminate on the basis of sex in its educational programs or activities? 26. Has the grantee complied with the requirement to submit to the OCR any findings of discrimination against the grantee issued by a federal or state court, or federal or state administering agency, on the grounds of race, color, religion, national origin, or sex? 27. What steps have been taken to provide meaningful access to its programs and activities to person who have limited English proficiency (LEP)? Include whether the grantee has developed a written policy on providing language access services to LEP persons. 28. Are training conducted for its employees on the requirements under federal civil rights laws? 29. If the grantee conducts religious activities as part of its program or services, do they: a. Provide services to everyone regardless of religion or religious belief? b. Ensure it does not use federal funds to conduct inherently religious activities (such as prayer, religious instruction, or attempt to convert participants to another religion) and that such activities are kept separate in time or place from federally-funded activities? c. Ensure participation in religious activities is voluntary for beneficiaries of federally- funded programs? FISCAL REVIEW 1. Does the agency maintain an official budget file for the project? 2. Are there written fiscal policies and procedures? 3. Do the procedures provide for internal control processes for: a. Agreement receipts and deposits? b. Agreement disbursements? c. Invoicing including how amounts are computed for BSCC invoices? 37 4. Are financial invoices current? 5. Are copies of the invoices for reimbursement within the official file? 6. Do fiscal accounting records reviewed contain adequate supporting documentation for all claims on invoices? 7. Does the source documentation reviewed appear to support amounts invoiced? 8. Does the program/agency maintain supporting documentation or calculation overview for the administrative overhead line item? 9. Do expenditures appear to meet contract eligibility, as defined in the BSCC Contract Administration and Audit Guide? 10. Are BSCC contract funds deposited into separate fund accounts or coded to distinguish grant funds from other fund sources? 11. Does the agency maintain a tracking system for the receipts and disbursements related to the grant program? a. Are the tracking reports reviewed by management and/or program staff? b. How are discrepancies, if any, investigated and resolved? 12. Can the project/agency provide general ledgers documenting the entries for receipts and disbursements? 13. Did the project purchase or lease equipment/fixed assets with contract funds during the monitoring period? a. If the equipment/fixed assets purchased were more than $2,000 per item, is there an approval of purchase by the BSCC? b. Was the equipment in the budget or in a Budget Modification? c. Is there an inventory list of equipment/fixed assets purchased with grant funds? d. Does the project maintain proof of receipt of goods? 14. Does the project verify that expenditures submitted for grant reimbursement are not also claimed/reimbursed under another separate agreement or funding stream? 15. Does the project comply with the match requirement? a. If the project is currently under-matched, is there a plan to meet the contractually obligated match amount? 16. Does the project generate income from grant funds? a. If yes, has the project submitted a Project Income Reporting form? b. If project income is generated, will any be reverted to the BSCC? 17. Does the project conduct desk audits of subcontract agencies? 18. Does the project require subcontract agencies to submit source documentation with their billing invoice? 19. What type of audit will the project submit? 20. Does the agency have audit reports covering the agency’s internal control structure within the last two years? PROGRAM REVIEW 1. Does the project maintain source documentation (e.g. case records, files, sign-up sheets, etc.) for the clients served? 2. Do the project records reviewed provide sufficient detail to support information reported in Progress Reports? 3. Are Progress Reports current? 4. Has the project experienced operational or service delivery problems? 38 PROGRAM DATA AND OUTCOMES 1. What is the plan for collecting and evaluating data to measure performance and outcomes of project activity? 2. Who is the contact person responsible for collecting and evaluating the data? 3. Are there any preliminary findings or evidence of project impact? 39 APPENDIX J ASSESSMENT OF EFFECTIVE CORRECTIONAL PRACTICES Recent legislative changes have required the BSCC to assume new roles and responsibilities in providing leadership to local agencies and service providers, identifying information and data regarding evidence-based practices (EBP), and providing technical assistance concerning the implementation of effective correctional practices known to reduce recidivism. To support these efforts, the BSCC sought the assistance of Dr. Edward Latessa from the University of Cincinnati, a nationally recognized EBP expert, to train and certify BSCC staff in the use of an assessment tool called the Evidence-based Correctional Program Checklist (CPC). The CPC is a tool developed by the University of Cincinnati for assessing correctional intervention programs. It is used to ascertain how closely correctional projects meet the known principles of effective intervention correlated to a reduction in recidivism. The CPC is applicable to a wide range of programs (adult, juvenile, community, institutional, etc.). All of the indicators included in the CPC are correlated with reductions in recidivism, and the assessment process helps agencies understand the relationship between program integrity and recidivism reduction. The results of the assessment are obtained relatively quickly; usually the assessment takes a day or two onsite with each project and a follow-up report is generated within a few weeks. The report identifies both the strengths and weaknesses of a program, and provides specific recommendations designed to increase effectiveness. Grantees awarded PFS Grant Program funding may receive a CPC assessment by certified BSCC staff in the first and third years of their project. Once the assessment is completed and scored, evaluators will produce a report that provides feedback on what is working well and areas of needed improvement. The report will also detail specific recommendations that can act as a blueprint for future growth, improving program integrity, and increasing effectiveness. It is not the intention of the BSCC to use the information contained in the CPC report to hold projects accountable to a standard outside of the PFS Grant Program contract agreement, nor will the results of the CPC have any impact on grant funding. The goal of the process is to provide feedback and recommendations for project staff to consider when attempting to align their correctional practices with recidivism reduction. Follow-up training and technical assistance sessions will be provided to PFS Grant Program projects; focus will be on the report recommendations, identifying effective correctional practices, prioritizing need areas and developing action plans with each agency to systematically address such needs. The CPC is divided into two basic areas: content and capacity. These two areas cover a total of five domains. The capacity area is designed to measure the capability of the program to deliver evidence-based interventions and services to offenders. There are three domains within the capacity area including: Leadership and Development; Staff; and Quality Assurance. The content area focuses on how well the program meets the principles of risk, need, responsivity, and treatment, and covers the two domains of Offender Assessment and Treatment. Listed below are some of the indicators within each domain associated with the CPC. PROGRAM LEADERSHIP AND DEVELOPMENT DOMAIN This section examines such issues as: the project director’s education level and experience; involvement in hiring, supervision, and training; provision of direct services; use of research and pilot programming; and funding. 40 STAFF CHARACTERISTICS DOMAIN This section examines such issues as: qualifications of staff who work in offender treatment programs; clinical supervision provided to staff running groups/classes or providing interventions; educational level or certification of the supervisor; staff meetings; and new and ongoing staff training. OFFENDER ASSESSMENT DOMAIN This section examines such issues as: inclusion and exclusion criteria for program participants, use of risk, need, and responsivity assessments, and the risk level of the offenders served by the program. TREATMENT CHARACTERISTICS This section examines such issues as: needs or behaviors targeted; treatment modalities used; length of program; use of manuals; hours of structured therapeutic tasks; services to low-risk offenders; intensity of treatment; assignment of offenders to staff and services; use of rewards and punishers; progression criteria; structured skill building; program completion; services to family members; discharge planning, and aftercare. QUALITY ASSURANCE This section examines such issues as: quality assurance mechanisms; measurement of offender progress; recidivism rates; formal outcome evaluations; and ongoing research and evaluation of program. The BSCC believes the CPC assessment process, as well as the follow-up report, recommendations, and technical assistance will be helpful to grantees in advancing local efforts to implement effective correctional practices aimed at reducing recidivism. Additionally, a re- assessment in the third year will provide valuable feedback to grantees on gains made over time and support each project’s long-range plan to develop a justice investment strategy that is consistent with the statewide goal of improved public safety through cost-effective, promising and evidence-based practices for managing criminal justice populations. 41 APPENDIX K TECHNICAL COMPLIANCE REVIEW Proposal Submission-  Application was received at the BSCC by 5:00 p.m., Monday February 1, 2016.  Package includes one original signed proposal marked “Original Copy” and 15 copies of the application submittal.  Proposal is on 8 1⁄2” x 11” single-sided white paper.  Copies are assembled separately, each fastened in the upper left corner with a binder clip, each is 3-hole punched, and all are packaged together with a rubber band. Section I: Applicant Information-  Section I was completed with all required information.  Section I was signed by the Chairperson of the County BOS, authorized to sign the agreement.  Project Abstract is within the 1-page limit. Sections II– VII (a): Proposal Narratives-  BSCC format has been followed: Arial 12-point font, 1.5 line spaced, one inch margins.  Proposal narrative sections II –VII (a) do not exceed 20 pages in totality Section VII (b): Proposed Budget-  Requested funding is between $500,000 and $2,000,000.  Budget tables and line item detail are: o Completeandidentifiedinwholedollars; o Arecalculatedaccuratelyforcolumnandrowtotals;and o The total grant fund amount equals the amount provided in Section I (B) and the proposed match amount equals the amount provided in Section I (C).  Match is documented at a minimum of 100 percent (100 %) of the grant funds requested.  Budget detail is provided and includes grant funds requested, investor funding requested, and match funding information. Section VIII: Administrative Plan and Timeline-  Section was completed. 42 APPLICATION INSTRUCTIONS Proposal Sections I, VII (b), and VIII are to be completed by submitting the required information in the tables and fields provided within the application. Proposal Sections II through VII (a) are to be competed in the narrative format provided and may not exceed 20 pages in total. Sections VII (b) and VIII are to be completed using the tables provided and do not count in the 20-page limit of the narrative sections. It is at the discretion of the applicant to determine how to utilize the total page limit in addressing each section; however, as a guide, the applicant may want to review the point value weight given to each section in the rating factor table on page 13. These sections are set in Arial 12-point font, 1.5 line spaced, one inch margins in a fill-in format; proposal submittals must be single-sided pages on plain white 81⁄2” x 11” paper. Applications that deviate from the BSCC format may be disqualified from the process. In addition to the proposal narrative sections, applicant should submit letter(s) of intent/commitment from investors, evaluators, services providers, and other relevant project partners. The applicant must submit one original signed and 15 copies of the proposal, and the ‘Original Copy’ must be marked as such. Copies of the proposal must be assembled as separate packets and individually fastened in the upper left corner with a binder clip. All proposals are to be three-hole punched and all copy packages bound together by rubber bands. Do not bind proposals. No staples are to be used. Any costs incurred to develop and submit the proposal are entirely the responsibility of the applicant and shall not be charged to the State of California. A proposal packet includes:  Project Abstract  Sections I through VIII, completed  Letter(s) of intent/commitment from project partners  Board of Supervisors’ Resolution, if available prior to application submission 43 SECTION I: APPLICANT INFORMATION A. APPLICANT/DEPARTMENT IMPLEMENTING THE GRANT COUNTY BOS : PARTNERING COUNTY(IES) (if applicable): PARTNERING AGENCY(IES) (if applicable): IMPLEMENTING AGENCY/ DEPARTMENT DUN AND BRADSTREET NUMBER STREET ADDRESS CITY STATE MAILING ADDRESS CITY STATE B. GRANT AMOUNT REQUESTED $ TELEPHONE NUMBER ZIP CODE ZIP CODE D. APPLICANT PROJECT DIRECTOR E. APPLICANT PROJECT FINANCIAL OFFICER F. APPLICANT DAY-TO-DAY CONTACT PERSON G. APPLICANT’S AGREEMENT C. PROPOSED MATCH AMOUNT $ TELEPHONE NUMBER FAX NUMBER E-MAIL ADDRESS TELEPHONE NUMBER FAX NUMBER E-MAIL ADDRESS TELEPHONE NUMBER FAX NUMBER E-MAIL ADDRESS NAME AND TITLE STREET ADDRESS CITY STATE ZIP CODE NAME AND TITLE STREET ADDRESS CITY STATE ZIP CODE NAME AND TITLE STREET ADDRESS CITY STATE ZIP CODE By signing this application, the applicant assures that the grantee will abide by the laws, policies, and procedures governing this funding. CHAIRPERSON OF THE COUNTY BOARD OF SUPERVISORS, AUTHORIZED TO SIGN AGREEMENT PROJECT ABSTRACT DATE APPLICANT’S SIGNATURE 44  Please provide a brief summary of the proposed project in the space provided below; narrative must not be more than a single page in length. The abstract is not counted toward the 20 page limit. 45 NARRATIVE SECTIONS Note: Sections II – VII (a) are to be competed in a narrative format (see instructions on page 41).Sections VII (b) and VIII are to be completed in the tables provided. Applicant responses will be evaluated regarding the extent to which a proposal adequately addresses the questions/directions listed under the corresponding section titles. If a question/direction does not apply, the applicant should clearly state as such and provide the reason. Omission or lack of clarity for any section is likely to result in a reduction of allowable points. The total combined page limit for narrative Sections II – VII (a) is 20single-sided pages within the required format; these sections begin on page49. The tables for section VII (b) and VII do not count toward the 20 page limit. SECTION II: STATEMENT OF NEED (80 Points) Address the following in narrative form: What social need(s) is addressed by this proposal? What is the target population? Provide detailed local data to support the described need(s).How is the social need(s) connected to the general PFS Grant Program goal of recidivism reduction? Below are the rating criteria on which this section of the proposal will be evaluated: Rating Criteria 2.1 The need is identified and measurable. 2.2 The target population is identified, measurable, and correlates to the social need(s). 2.3 The magnitude or urgency of the need justifies the use of state and investor funds. 2.4 Overall, the need matches the legislative intent of AB 1837 [Sec.1 and Title 15.8, 97010 (3)]. SECTION III: GOALS AND OBJECTIVES (80 Points) Address the following in narrative form: What are the goals and objectives of the proposed intervention? For the purposes of this proposal, treat goals as general statements of the improvements in conditions or behavior anticipated by the program. For example, what forms of recidivism are expected to improve as a result of the program? Or, what primary needs of the target population will be addressed? Then describe the specific objectives that you expect to achieve as a means to reaching or making progress towards the general goals. As PFS programs apply performance-based funding principles, your objectives should be described, to the extent possible, in measurable or quantifiable terms. Use local data on costs and potential benefits to demonstrate financial savings to be gained from achievement of objectives. Below are the rating criteria on which this section of the proposal will be evaluated: Rating Criteria 3.1 The goals are clearly directed to the needs described in Section II. 3.2 The objectives are achievable means of reaching the goals. 3.3 The objectives describe measurable and achievable outcomes that can be used as performance standards. 3.4 Overall, reaching the goals and achieving the objectives will substantially address the needs described in Section II. 46 SECTION IV: PROJECT DESCRIPTION (120 Points) Address the following in narrative form: Describe how the program will serve the target population. Identify the intervention strategies, services provided, and relationship of services to program objectives. What is the evidence that the proposed program is likely to be successful? Are the methods applicable to the targeted population? Cite the research and/or literature supporting the proposed intervention(s) and how it is evidence-based. How will the target population/participants be identified, recruited, and/or selected? How many participants are anticipated to be served? Describe each partner and stakeholder roles/responsibilities in the program. What experience does the applicant, investor, and service provider have in providing the proposed social program? Describe the level of community support for the project. Below are the rating criteria on which this section of the proposal will be evaluated: Rating Criteria 4.1 The program and its components are clearly described that includes the capacity to dedicate staff with appropriate experience and relevant issue expertise to the PFS Project. 4.2 Convincing evidence is provided that the proposed program is likely to reduce recidivism and succeed with the target population. 4.3 The affected community is included in the project development, implementation, and evaluation. 4.4 The service provider represents the needs and interests of the target population. 4.5 The recruitment method and program structure allows for a sufficient size in order to rigorously evaluate the program effects. 4.6 The applicant, investor, and service provider are well experienced in providing the proposed social program. 4.7 Overall, the program is well designed to meet the project need, goals, and objectives. 4.8 Overall, the partners are prepared to serve the population to the scale and quality needed to meet its obligations, and protect the well-being of the population served. 47 SECTION V: CONTRACTUAL ARRANGEMENTS(40 Points) Address the following in narrative form: What type of contracts have been established with investor(s), service provider(s), intermediary (ies), and evaluator(s)? Include nonbinding letters of intent/commitment or documentation indicating a willingness to participate from all parties to the proposed contracts (letters are not included in the 20 page limit). What financial assurances have been established to ensure the program will run as intended and the desired objectives are met? What levels of payout are planned and how are they tied to the desired outcomes? What is the agreed upon payment schedule? (i.e., What outcome targets must be hit to reach a payout?) Describe how the final payment(s) for successful programmatic outcomes will be calculated and structured in the contract. Below are the rating criteria on which this section of the proposal will be evaluated: Rating Criteria 5.1 The evaluator’s role is clear, sufficiently detailed, and feasible within the time frame determined by the grant cycle. 5.2 The service provider’s role is clear, sufficiently detailed, and feasible within the time frame determined by the grant cycle. 5.3 The investor’s role is clear, sufficiently detailed, and feasible within the time frame determined by the grant cycle. 5.4 (a) If an intermediary partner is planned, this agent’s role is clear, sufficiently detailed, and feasible within the time frame determined by the grant cycle; or (b) If no intermediary partner is planned, there is a clear, detailed, and feasible plan for accomplishing inter-partner brokerage functions. 5.5 Confirmation of funding has been raised or committed through a non-binding letter(s). 5.6 Overall, the applicant has defined a fair and feasible method of incentivizing achievement of objectives through performance-based financing mechanisms that also includes a well-defined payment structure and a contingency plan in the event of program discontinuance. SECTION VI: EVALUATION(40 Points) Address the following in narrative form: Identify the Program Services Evaluator. What procedures will be established to safeguard the objectivity of an independent evaluator, selected and contracted by the applicant, to determine whether performance targets have been achieved? What level of commitment has been established with the evaluator? What is the experience of the evaluator? What role(s) will the evaluator perform and at what point does the evaluator begin that role(s)? How will the evaluation determine the extent to which goals and objectives are met? 48 Below are the rating criteria on which this section of the proposal will be evaluated: Rating Criteria 6.1 The evaluator’s experience suits the type of program described in Section IV. 6.2 The evaluator has an appropriate role in project planning and is sufficiently consulted throughout the project to ensure it can be evaluated and that data can be stored and retrieved in a secure manner to protect participants. 6.3 The evaluation methodology described is rigorous enough to determine the extent to which outcomes are due specifically to project activities. 6.4 Overall, the evaluation plan permits a fair assessment of the extent to which needs, goals, and objectives have been met SECTION VII (a)AND VII (b): BUDGET(80 Points) Address the following in narrative form (a): Describe the county’s familiarity with, and capability of, raising private capital. Using local data on costs and potential benefits, demonstrate financial savings to be gained from achievement of objectives, as detailed in Section III. Provide justification that the amount of grant funds requested is reasonable and appropriate given the proposed project’s design and scope. Provide details regarding the proposed budget timeframe that addresses project ramp-up, observation, and measurement periods. Budget tables (b): Then, using the tables provided in Section VII (b), complete the information requested as it relates to funding sources and program budget. These budget tables will not count toward the 20-page limit of narrative. Below are the rating criteria on which sections VII (a) and VII (b) of proposal will be evaluated: Rating Criteria 7.1 The information provided on the county’s past record illustrates strong evidence that they have the organizational capacity to raise private capital. 7.2 Costs and savings associated with outcome measurements are clear, have realistic timeframes, and have been identified using local data. 7.3 The program’s budget is detailed and takes into account the time necessary for start- up of the project, service delivery period, time for observation and measurement of outcomes, and includes service, legal, personnel, and overhead costs. 7.4 Overall, the items in the program budget are clearly justified in terms of planned program activities. SECTION VIII: ADMINISTRATIVE WORK PLAN AND TIMELINE (60 Points) In the table provided in Section VIII, develop an administrative work plan with timeline for the major activities to be accomplished or obstacles to be cleared to achieve the three-year funded project (e.g., recruiting, selecting staff and/or contracting with service providers, intermediaries, funding agencies, and evaluators, analyzing data, conducting training sessions, development of project evaluation, meeting reporting requirements, etc.). Clearly detail critical pre- 49 implementation or ramp-up activities occurring in the first six months of the project. This table is not counted toward the 20 page limit of the narrative. Below are the rating criteria on which the proposal will be evaluated: Rating Criteria 8.1 The steps and timeline of project development and implementation are clearly described. 8.2 The pre-implementation and implementation timeline ensures that all contracts and services will be in place to support completion of the project by the end of the grant cycle. 8.3 Overall, there is a feasible plan for establishing a working program, capable of evaluation, given the timeline of the project, sunset of funds, and time allotted to secure investors. 50 BEGIN NARRATIVE RESPONSES TOSECTIONS II – VII (a) USING THE FIELDS BELOW. PAGES MUST NOT EXCEED A TOTAL OF 20. SECTION II: STATEMENT OF NEED SECTION III: GOALS AND OBJECTIVES SECTION IV: PROGRAM DESCRIPTION SECTION V: CONTRACTUAL ARRANGEMENTS SECTION VII: EVALUATION SECTION VII (a): BUDGET NARRATIVE 1 SECTION VII (b): PROPOSED BUDGET BUDGET TABLES: The following does not count toward the total of 20 pages allowed for narrative. Complete the following tables, using whole numbers, for the grant funds being requested for the grant period (May 1, 2016 to October 31, 2019). Applicants must provide a minimum 100 percent (100%) match; of the grant funds requested. Matching funds may be met through cash, in-kind, or a combination of both. All funds shall be used consistent with the requirements of the BSCC Grant Administration and Audit Guide, July 2012(http://www.bscc.ca.gov/resources). BSCC FUNDING Total Amount of Grant Funding Requested From BSCC: $  Amount of BSCC Grant Funds To Be Allocated For Operational Costs (cannot exceed more that 10% of grant funds requested): $  Amount BSCC Grant Funds To Be Allocated For Repayment To Investors:$ CASH MATCH Source(s) : Total Amount of Cash Match: $  Cash Match To Be Allocated For Operational Costs:$  Cash Match To Be Used For Repayment To Investors:$ IN-KIND MATCH Source(s): Total Amount of In-Kind Match:$  In-Kind Cash Match To Be Allocated For Operational Costs:$  In-Kind Cash Match To Be Allocated For Repayment To Investors:$ INVESTOR FUNDING Source(s) and amounts: Total Amount Requested from Investors: $ Use the information above to complete the table on the following page. Please verify the accuracy of the total funds requested and total match amounts because columns and rows do not auto-calculate. 50 OPERATIONAL COSTS OF PFS GRANT PROGRAM FOR THE THREE-YEAR PROJECT PERIOD While recognizing agencies may use different line items in the budget process, the line items below represent how the BSCC will require grantees to report expenditures. Match funds may be expended in any line item, and must be identified as to their respective dollar amounts and source of the match. The ‘Other’ category funds should be budgeted for travel purposes for one mandatory grantee briefing meeting (to be held in Sacramento, date TBA) as well as other proposed travel. Applicants projecting to utilize grant funds for Indirect Costs may not use more than 10 percent of the state grant funds for this line item. PROPOSED BUDGET LINE ITEMS INVESTOR FUNDS CASH MATCH IN-KIND MATCH GRANT FUNDS ADMINISTRATIVE PURPOSES (10%) TOTAL 1. Salaries and Benefits $ $ $ $ $ 2. Services and Supplies $ $ $ $ $ 3. Professional Services $ $ $ $ $ 4. Community-Based Organization (CBO) Contracts $ $ $ $ $ 5. Indirect Costs $ $ $ $ $ 6. Fixed Assets/Equipment $ $ $ $ $ 7.Data Collection $ $ $ $ $ 8. Program Evaluation $ $ $ $ $ 10. Other(include travel costs) $ $ $ $ $ TOTAL $ $ $ $ $ The proposal must provide sufficient detail in each category below (subsections 1 - 9) regarding how state grant and match funds will be expended to implement and operate the proposed project as identified in the Budget Table (above). The proposal must provide justification that the amount of funding supporting the project is reasonable and appropriate given the proposed project’s design and scope, and describe other funding streams that may be used to support the proposed project. Investor Funds: $ Requested Grant Funds: $ Matching Funds: $ Narrative: 2. SERVICES AND SUPPLIES (e.g., office supplies and training costs) 1. SALARIES AND BENEFITS (e.g., number of staff, classification/title, salary and benefits) 51 Investor Funds: $ Matching Funds: $ Narrative: Investor Funds: $ Matching Funds: $ Narrative: Investor Funds: $ Matching Funds: $ Narrative: Investor Funds: $ Matching Funds: $ Narrative: Investor Funds: $ Matching Funds: $ Narrative: Requested Grant Funds: $ Requested Grant Funds: $ Requested Grant Funds: $ 3. PROFESSIONAL SERVICES: (e.g., consultative services - include name of consultants or providers) 4. COMMUNITY-BASED ORGANIZATION CONTRACTS (e.g., detail of services - provide name of CBO) 5. INDIRECT COSTS: Indicate percentage and methodology for calculation. In the “Grant Funds” column of the previous table, this total may not exceed 10% of the total funds requested. In the “Match Funds” column of the previous table, agencies may expend up to their Indirect Cost Rate (over and above 10%) for match funds supported by state or local dollars. 6. FIXED ASSETS / EQUIPMENT (e.g., computers, other office equipment necessary to perform project activities) 7. DATA COLLECTION (e.g., programming services, data analysis) Requested Grant Funds: $ Requested Grant Funds: $ Investor Funds: $ Requested Grant Funds: $ 52 Matching Funds: $ Narrative: 8. PROGRAM EVALUATION (e.g., evaluator, materials) Investor Funds: $ Matching Funds: $ Narrative: 9. OTHER (e.g., travel expenses) Investor Funds: $ Matching Funds: $ Narrative: Requested Grant Funds: $ Requested Grant Funds: $ 53 SECTION VIII: ADMINISTRATIVE WORKPLAN AND TIMELINE Provide an administrative plan with timeline for the major activities to be accomplished or obstacles to be cleared in order to achieve the three-year funded project (e.g., recruiting, selecting staff and/or contracting with an expert consultant or provider, analyzing data, conducting training sessions, development of project evaluation, determining sustainability plan/funding, etc.). Detail critical implementation activities occurring in Year 1 of the project. The following table is not included in the 20 page narrative limit. Activity Timeframe 54 55