[Federal Register: June 26, 2003 (Volume 68, Number 123)]
[Notices]
[Page 38098-38102]
From the Federal Register Online via GPO Access [wais.access.gpo.gov]
[DOCID:fr26jn03-116]
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DEPARTMENT OF JUSTICE
National Institute of Corrections
Solicitation for a Cooperative Agreement--Leading and Sustaining
Change
AGENCY: National Institute of Corrections, Department of Justice.
ACTION: Solicitation for a cooperative agreement.
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SUMMARY: The Department of Justice (DOJ), National Institute of
Corrections (NIC), announces the availability of
[[Page 38099]]
funds in FY 2003 for a cooperative agreement to fund the project
``Leading and Sustaining Change.'' NIC will award a one year
cooperative agreement to assist state prisons by developing change
leadership competency in key leaders and by providing professional
change advisors/consultation to those leaders so they are able to
change the culture of their institutions from a negative to a positive
prison culture.
A total of $100,000 is reserved for the project during fiscal years
2003. There will be $100,000 available in FY 2004 upon satisfactory
performance. The current application is only for the FY 2003 funds.
A cooperative agreement is a form of assistance relationship where
the National Institute of Corrections is substantially involved during
the performance of the award. The recipient of the award will be
selected through the competitive solicitation process.
DATES: Applications must be received by 4 p.m. Eastern Daylight Savings
Time on July 30, 2003.
ADDRESSES/APPLICATION PROCEDURES: Applications must be submitted in six
copies to the Director, National Institute of Corrections, 320 First
Street, NW., Room 5007, Washington, DC 20534. At least one copy of the
application must have the applicant's original signature in blue ink. A
cover letter must identify the responsible audit agency for the
applicant's financial accounts.
Applicants are encouraged to use Federal Express, UPS, or similar
service to ensure delivery by due date as the mail at the National
Institute of Corrections is still being delayed due to decontamination
procedures. Applications mailed or submitted by express delivery should
be sent to: National Institute of Corrections, 320 First Street, NW.,
Room 5007, Washington, DC 20534, Attn: Director. Hand delivered
applications can be brought to 500 First Street, NW., Washington, DC
20534. At the front desk, call (202) 307-3106 extension 0 for pickup.
Faxed or e-mailed applications will not be accepted.
FOR FURTHER INFORMATION CONTACT: A copy of this announcement and
applications forms can be downloaded from the NIC Web site at http://www.nicic.org.
Hard copies of the announcement can be obtained by
calling Rita Rippetoe (800) 995-6423, extension 44222 or by e-mail via
rrippetoe@bop.gov. All technical and or programmatic questions concerning this
announcement should be directed to Evelyn Bush at the above address or
by calling (800) 995-6423, extension 40376 0r (202) 514-0376 or by e-
mail via E1Bush@bop.gov.
SUPPLEMENTARY INFORMATION: None.
Background: The NIC Prisons Division has responded to many
technical assistance requests from prisons over the past several years
that have been focused on problems such as excessive use of force,
staff sexual misconduct, high rates of violence and prison
disturbances. Through these efforts, NIC has learned that the
presenting problems were often symptomatic of an underlying problem
within the prison culture. These dysfunctional prison cultures were
guiding staff behavior away from their legitimate missions and putting
institutions in jeopardy of vulnerability to lawsuit, violence,
injuries and abuse.
One of the growing problems was in the area of staff sexual
misconduct complaints. beginning in 1996, the Prisons Division
initiated a program focuses on addressing staff sexual misconduct.
Throughout this work, consistent themes emerged underscoring the
importance of the institutional environment. This ``environment'' or
``culture'' emerged as the single most important factor influencing the
underlying, presenting issue.
Correctional agencies have a ``formal'' culture, exemplified by
mission statements, policies, procedures, codes of conduct, etc. which
provide staff with the guiding rules for working in that agency. Those
``rules'' are affirmed through staff recognition ceremonies,
promotions, awards, ribbons of distinction and other rituals. However,
within every organization there are day-to-day events and situations
which are not covered by policy. An ``informal'' culture emerges to
give staff guidance about ``the way things are really done here.'' The
kind of support staff receive, the manner in which stress response
behaviors are handled, the amount of trust and pride which are
characteristic of the workforce are all dependent on the informal
culture.
Staff attitudes and behaviors, and whether they support the formal
culture or encourage deviant alternatives, will define the culture of
any correctional institution. When the formal and informal cultures are
complementary, a positive prison culture will prevail and such
environments are sometimes referred to as healthy or ``hope-based''
cultures. However, when the formal and informal cultures are
contradictory, then the environment becomes negative, unhealthy and is
often referred to as a ``fear-based'' culture. Staff may feel
disconnected from the institution based on a number of factors,
including time on the job, age, race, gender, education background, and
``old school vs. new school'' mentality. A fear-based institutional
culture can be characterized by cliches, selective sharing of critical
information, abuse of power and position, codes of silence, and even
intimidation, among other factors. This negative prison culture
permeates the environment, impacting both staff and inmates, and can be
seen as the backdrop to a host of prison problems ranging from poor
staff morale to abuse of inmates and high rates of inmate violence.
Based on information gathered from the Mission Change and Staff
Sexual Misconduct projects over the past few years, NIC recognized that
there are several elements of changing a prison's culture which are
necessary in order to accomplish a change in the culture, not just the
climate of the prison. There needs to be an assessment of the current
culture and an understanding of the dynamics which are driving this
culture. From a comprehensive assessment, an initial plan of action can
be developed which will chart the course for changing the prison
culture. NIC worked for several years to develop, test and implement
the prison culture. NIC worked for several years to develop, test and
implement the Organizational Culture Assessment Protocol--Prisons
(described on a following page). NIC also recognized that there are
some needs that a number of prisons might have in common and so began
developing several responses which could be implemented in a prison if
they were warranted. Strategic Planning and Management assistance as
well as training in Promoting a Positive Prison Culture and Effective
Supervising a Multi-generational Workforce are still being developed
but are nearing the point where they can be implemented in a prison.
This solicitation will build on those previous works and become a
part of the assistance that NIC will offer to prisons attempting to
change their prison to a positive, hope-based culture. The warden will
need to take the lead in accomplishing any culture change in a prison.
Most wardens come from backgrounds where operational skills are
prominent and they have developed leadership abilities throughout their
careers. However, being an effective leader and being an effective
Change Leader are not the same set of skills and abilities. The warden
will need to understand the key elements of organizational change, who
to lead and inspire staff through a change process, how various roles
will perceive the
[[Page 38100]]
value of the change, and many other elements of change leadership.
Developing the capacity of wardens and other critical staff to lead the
change process will be one of the primary objectives of this
solicitation.
Organizational changes is complicated--doing it inside a prison
with a fear-based culture is even more complicated. Recognizing that
there are expert professionals who understand organizational change on
a deep level, NIC will work collaboratively with them to provide
guidance to the leaders of all the institutions in the Institutional
Culture Initiative. They will work with the wardens and other changes
leaders for a period of potentially several years in order to
accomplish the changing of a prison's culture. They will recommend
actions which can be taken, training which can be provided,
developmental opportunities where they are required, organizational
changes if they are desired. They will identify the type of change an
institution is going through (developmental, transitional or
transformational) and target the change strategies to most effectively
work in that type of change process. The Change Advisers will recommend
NIC assistance and Department of Corrections resources as needed to
successfully accomplish a culture change. They will also be able to
assess an institution's Readiness for Change and will be in a position
to identify the Lessons Learned about changing prison culture which can
add to the knowledge base on the corrections profession.
The projects which are currently part of the Institutional Culture
Initiative include:
1. Institutional Culture Assessment: A validated organizational
culture assessment was adapted for use in a prison. The organizational
Culture Assessment Instrument-Prisons (OCAI-P) has been developed in a
Protocol (OCAP-P) which as been applied in 12 state prisons. The report
describes the overall culture, unique features and the institution's
strengths and weaknesses, as well as suggestions for improvement and
change. NIC is committed to assisting these prisons to use their
assessment information to change the culture of the prison from the
previous state to a desired positive prison culture.
2. Strategic, Planning, Management and Response: A cooperative
agreement was awarded in September 2002 to review Strategic Planing
models being used by state departments of corrections and other public
sector agencies to select one Strategic Planning model that would be of
greatest benefit to state departments of corrections and state prisons.
The selected mode, which is 50% completed, will be fully developed with
all relevant materials that would be required for implementation in an
opening correctional agency. The model will be tested as part of a
supplemental cooperative agreement. This cooperative agreement will
also develop a training program and train twelve correctional
professionals to facilitate use of the model in selected sites to
improve prison culture.
3. Promoting a Positive Prison Culture Program (PPPC): The purpose
of this two day Program is to introduce all levels of correctional
staff in one institution to the concepts of organizational culture and
its influences on achievement of the prison's mission. The curriculum
is being developed and will be complete in August 2003. The objectives
of the PPPC program are for participants to be able to:
[sbull] Differentiate between climate and culture;
[sbull] Explain the relationships among and between the formal and
informal culture;
[sbull] Identify their roles and responsibilities in developing,
changing and sustaining culture;
[sbull] Define the current culture and create a picture of their
future; and
[sbull] Understand and explain how mission, values, beliefs, and
assumptions are interrelated and how they can contribute to or detract
from the prison's mission.
It will be available to be utilized at prisons involved in this
part at the Change Advisor's recommendation.
4. Multi-generational Workforce: A two-day training program, to be
piloted in September 2003, that will assist correctional staff in
examining the changing values and demographic shifts that are impacting
the workforce and hence, the environmental. Failure to recognize the
different values and attributes of the changing workforce can result in
an underlying dysfunctional culture issue.
Leading and Sustaining Change will be an additional component of
the Institutional Culture Initiative. Working with prisons already
involved in the Institutional Culture Initiative, it will provide
correctional wardens and other key staff with the assistance needed to
develop the capacity for change leadership and will provide a Change
Advisor to assist in the culture change process.
Purpose: The National Institute of Corrections is seeking
applications for a cooperative agreement to assist state prisons by
developing change leadership competency in key leaders and by providing
professional change advisors/consultation to those leaders so that they
are able to change the culture of their institutions from a negative to
a positive prison culture.
Scope of Project
1. Develop competencies for Change Leadership at the level of state
prison warden and for key persons above and below them in the
correctional chain of command. Development of this competency can
include training, developmental opportunities, team activities,
coaching, and/or any other strategy the applicant proposes. The
applicant should address how to develop a leadership culture in the
prison. The applicant should provide a sound rationale for their
proposed plan.
2. Provide professional Change Coaches/Consultants/Advisers to work
with state prison wardens who are engaged in changing the culture of
their institution. The Change Advisers (the term which will be used
throughout the RFP) should plan to begin working upon award of this
cooperative agreement with four to six state prisons which have had an
Institutional Culture Assessment conducted.
3. Identify available instruments which can assess an institution's
Readiness of Change, with a supported recommendation from the applicant
regarding the instruments which would be most appropriate in which
situations. The applicant must propose individuals as part of the
project team or as consultants who are qualified to administer the
proposed instruments.
4. The selected applicant will be required to attend a preliminary
meeting for the purpose of getting an overview of the current NIC work
in the Institutional Culture Initiative as well as a refinement of the
project work plan. The applicant is also required to attend two (2)
coordinating meetings each year with all the other project staff from
the Institutional Culture Initiative. The applicant can determine how
many project staff, in addition to the Project Director, should
participate in these meetings. The cost for attendance at these
meetings must be reflected in the budget.
5. Document the process of changing each project institution's
culture for the purpose of ultimately producing a Guide to Changing
Prison Culture, which incorporates a Lessons Learned summary to
understanding culture change in prisons.
6. Prepare a Final Report which includes a Case Study to date of
each prison which is in the process of changing their culture.
[[Page 38101]]
Specific Requirements
1. Although the Warden will be the primary Change Leader at the
institution, the applicant should identify what positions above and
below the warden level would benefit by developing competency in change
leadership. The applicant should clearly identify what developmental
activities would be appropriate for which levels of correctional staff.
2. Applicants must purpose one or more professional Change Advisers
who will be a significant part of the Project Team. The background and
experience of the Change Adviser(s) are critical to successfully
competing for this award. Therefore the Change Advisers must meet the
following requirements:
[sbull] All Change Advisers who will work on this project must be
identified in the application and must meet the requirements identified
in this RFP. All Change Advisers must submit a statement of their
intent to work on this project and the time they are willing to commit.
[sbull] All Change Advisers must have extensive experience in
guiding multiple organizations/agencies through a significant change
process and these must be identified in their resume or biographical
statement.
[sbull] As part of this cooperative agreement application, all
persons identified as Change Advisers must submit one (1) Case Study of
an organizational change process they guided (the actual name of the
organziation may be changed for the case study but actual names must be
included in the resume). The Case Study must include, at a minimum: the
presenting organizational problem(s); how they were identified; how the
Change Adviser was brought into the organization and what their
original charge/mission was; the role they played in the organizational
change process and whether their role changed during the time they were
involved; the strategies used in effecting organizational change and
the Change Adviser's role in them; interventions which were implemented
and their impact; the time frame for the Change Adviser's involvement
in the change process compared to the duration of the change process
itself; the total amount of time the Change adviser committed to the
organization going through organizational change; the Change Advisers
relationship with the CEO of the organization; the amount of face time
the Change Adviser spent with the CEO; whether there were behaviors
that the CEO changed as a result of working with the Change Adviser.
There is no expectation that the Case Study will involve a correctional
institution.
3. In developing the competencies for change leadership, the
applicant should specifically address the role of first line
supervisors in the change process and how they would be included in the
process of changing the prison culture.
4. The applicant should discuss Developmental, Transitional and
Transformational Change in relation to prisons changing their culture.
Applicants must address the implications for the change leader in
evaluating the type of change and how they would identify appropriate
strategies targeted to the type of change.
5. The Change Adviser should plan to be brought in early to the
Institutional Culture Assessment process for all those institutions
which are assessed after this cooperative agreement is awarded and they
will fully participate in the development of the Action Plan. For those
institutions which have already had a Culture Assessment conducted and
Action Plan developed, the Change Adviser will review the plan and
begin working with the institution Change Leaders. The costs of the
assessment and all work connected with the assessment are contained in
another cooperative agreement. The applicant will have full access to
all of the assessment data on each prison which is part of the
Institutional Culture Initiative.
6. Technical Assistance will be provided by NIC to accomplish as
much of the recommended work as is possible. The institutions
themselves and the departments of corrections will also be asked to
fund some of the work needed to change the prison culture. This
cooperative agreement is not intended to fund the interventions which
might be required to change the culture other than what is identified
in the scope of the project.
7. The application must clearly identify the relationship among
change advisers and other project staff. The applicant will assure that
the project team offers technical expertise in the required areas to
fulfill this solicitation.
8. The applicant must identify specific strategic for working
collaboratively with NIC and with the other contractors managing the
various components of the Institutional Culture Initiative to provide
the most effective assistance to state prisons in changing their
culture.
9. The applicant must include professional Change Advisers and
experienced correctional professionals on their project team. These
persons can be project staff or consultants. The correctional
experience must be at the state prison level and at least one team
member/consultant must have worked in a management position in a state
prison, preferably as a warden. Although anyone who has worked in an
administrative position within a department of corrections could say
they have participated in accomplishing change, that experience will
not be sufficient for meeting the requirements of a professional Change
Adviser. All proposed project staff and consultants will need to be
individually approved by NIC prior to working in any of the prisons in
the culture change project.
10. There is a limited amount of funds for this work. The applicant
should consider the amount of time that will need to be spent on-site
at the institutions versus coaching/consulting that can effectively be
conducted electronically or work that can be done with groups of prison
staff. Costs for all travel must be included in this application.
11. The applicant can recommend any additional programs/components
that might strengthen and improve the Institutional Culture Initiative,
based on their work with the project sites.
12. It is anticipated that there will be $100,000 available in FY
2004, based on satisfactory performance by the awardee, to continue the
work with the original sites and to add additional prisons to the
project work. If a training program is proposed as part of the
competency in developing Change Leadership, the applicant may provide a
rationale for developing the training program/curriculum in this fiscal
year 2003 cooperative agreement and funding the implementation of the
program from the fiscal year 2004 funds.
13. The person designated as project director is required to be the
person who will manage the project on a day-to-day basis and who has
full decision-making authority to work with the NIC project manager.
This person must have enough time dedicated to the project to assure
they are available to direct step by step activities of the project and
to be available for collaboration with the NIC project manager. The
position of the project director must be described in this paragraph.
Application Requirements: Applications must be submitted using OMB
Standard Form 424, Federal Assistance, and attachments. The
applications should be concisely written, typed double-spaced, and
referenced to the project by the number and title given in this
cooperative agreement announcement.
The narrative portion of this cooperative agreement application
should include, at a minimum:
[[Page 38102]]
[sbull] A brief paragraph that indicates the applicant's
understanding of the purpose of this cooperative agreement;
[sbull] One or more paragraphs to detail the applicant's
understanding of the need for this project in the correctional arena;
[sbull] A brief paragraph that summarizes the project goals and
objectives;
[sbull] A clear description of the methodology that will be used to
complete the project and achieve its goals;
[sbull] A clearly developed Project Plan which demonstrates how the
various goals and objectives of the project will be achieved through
its various activities so as to produce the required results;
[sbull] A chart of measurable project milestones and time lines for
the completion of each milestones;
[sbull] A description of the qualifications of the applicant
organization and each project staff;
[sbull] A description of the staffing plan for the project,
including the role of each project staff: The time commitment for each,
the relationship among the staff (who reports to whom), and a statement
from individual staff that they will be available to work on this
project;
[sbull] A budget that details all costs for the project, shows
consideration for all contingencies for this project, and notes a
commitment to work within the budget proposed (budget should be divided
into object class categories as shown on application Standard Form
424A). A budget narrative must be included which explains how all costs
were determined.
Authority: Public Law 93-415.
Funds Available: The award will be limited to a maximum of
$100,000.00 (direct and indirect costs) in fiscal year 2003. An
additional award of $100,000 may be available with satisfactory
performance. Funds may only be used for the activities that are linked
to the desired outcome of the project. No funds are transferred to
state or local governments. This project will be a collaborative
venture with the NIC Prisons Division. NIC retains the right to select
the applicants for participation.
Eligibility of Applicants:
An eligible applicant is any state or general unit of local government,
private agency, educational institution, organization, individuals or
team with expertise in the requested areas.
Review Considerations: Applicants received under this announcement
will be subjected to 3 to 5 member Peer Review Process.
Number of Awards: One (1).
NIC Application Number: 03P24. This number should appear as a
reference line in the cover letter and also in box 11 of Standard Form
424 and on the outside of the envelope in which the application is
sent.
Executive Order 12372: This program is not subject to the
provisions of Executive Order 12372.
The Catalog of Federal Domestic Assistance number is: 16.601,
Title: Training and Staff Development.
Morris L. Thigpen,
Director, National Institute of Corrections.
[FR Doc. 03-16145 Filed 6-25-03; 8:45 am]
BILLING CODE 4410-36-M