11fieldinitiatedsol.pdf

U.S. Department of Justice OMB No. 1121-0329 Office of Justice Programs Bureau of Justice Assistance

The U.S. Department of Justice (DOJ), Office of Justice Programs' (OJP) Bureau of Justice Assistance (BJA) is pleased to announce that it is seeking applications for funding to support innovative field-initiated programs. This program will assist BJA by contributing to the development of innovative programs and strategies to improve the criminal justice system.

Encouraging Innovation: Field-Initiated Programs

FY 2011 Competitive Grant Announcement

Eligibility

Applicants are limited to public or private entities, including for-profit (commercial) and nonprofit organizations, faith-based and community organizations, institutions of higher education, federally-recognized Indian tribal governments (as determined by the Secretary of the Interior), and units of local and state government. For-profit organizations must agree to waive any profit or fees for services.

Deadline

Registration with Grants.gov is required prior to application submission. (See “How to Apply,” page 8.) All registrations and applications are due by 11:59 p.m. eastern time on April 21, 2011.

(See “Deadlines: Registration and Application,” page 4.)

Contact Information

For technical assistance with submitting the application, contact Grants.gov Customer Support Hotline at 1–800–518–4726 or via e-mail to support@grants.gov.

Note: The Grants.gov Support Hotline hours of operation are 24 hours a day, seven days a week, except federal holidays.

For assistance with any other requirement of this solicitation, contact the BJA Justice Information Center at 1–877–927–5657 or via email to JIC@telesishq.com. The BJA Justice Information Center hours of operation are 8:30 a.m. to 5:00 p.m. eastern time, Monday through Friday, and 8:30 a.m. to 8:00 p.m. eastern time on the solicitation close date.

Grants.gov number assigned to announcement: BJA-2011-2946

Release Date: February 24, 2011 http://www.usdoj.gov/ http://www.ojp.gov/flash.htm http://www.ojp.usdoj.gov/BJA/ http://www.ojp.usdoj.gov/BJA/ http://www.grants.gov/ mailto:support@grants.gov http://www.grants.gov/ mailto:JIC@telesishq.com

BJA-2011-2946

OMB No. 1121-0329 Approval Expires 02/28/2013

CONTENTS

Overview 3

Deadlines: Registration and Application 3

Eligibility 3

Encouraging Innovation: Field-Initiated Programs—Specific Information 4

Performance Measures 6

Notice of New Post-Award Reporting Requirements 8

How to Apply 8

What an Application Should Include 10 Information to Complete the Application for Federal Assistance (SF-424) Program Abstract

Program Narrative Budget Detail Worksheet and Budget Narrative

Indirect Cost Rate Agreement (if applicable) Tribal Authorizing Resolution (if applicable)

Additional Attachments Other Standard Forms

Selection Criteria 13

Review Process 14

Additional Requirements 15

Application Checklist 17

Encouraging Innovation: Field-Initiated Programs (CFDA #s 16.751 and 16.738)

Overview

BJA is seeking proposals from eligible organizations to develop and implement new and innovative strategies that better enable local criminal justice systems to prevent and respond to emerging and chronic crime problems that affect many communities in the United States.

Proposals must aim to address a gap in the current base of knowledge about responding to and preventing crime and be developed or implemented in a way that allows other communities or organizations to learn from and potentially replicate the approach.

For a proposal to be considered “innovative,” it must:

• propose a strategy or response that has not been implemented previously yet is supported by research, data or evidence;

• propose a new modification to an existing strategy or response that has not been implemented previously yet is supported by research, data, or evidence; or

• propose a new approach to delivering evidence-based strategies or responses that has not been implemented previously and has the potential to reduce costs and increase efficiencies within an agency or system (including organizational developments and changes that may make the approach more effective or provide greater potential for sustainability of the approach in the long term).

This program is funded under both the Edward Byrne Memorial Competitive Grant Program (Byrne Competitive Program) and the Edward Byrne Memorial Justice Assistance Grant (JAG) Program (42 U.S.C. 3751(a)) set-aside provision for training and technical assistance. The Byrne Competitive Program helps local communities improve the capacity of state and local justice systems and provides for national support efforts including training and technical assistance programs strategically targeted to address local needs. Under the JAG Program, there is a 3 percent set-aside for training and technical assistance programs. Additionally, funds may be used from other existing appropriations to fund applications under this solicitation.

Deadlines: Registration and Application

Registration for this funding opportunity is required prior to submission. The deadline to register in GMS is 11:59 p.m. eastern time on April 21, 2011. Please see the “How to Apply” section, page 8, for more details. Please note that while the deadline for submission is 11:59 p.m.

eastern time on April 21, 2011, staff assistance through the BJA Justice Information Center is only available until 8:00 p.m. eastern time (see “Contact Information” on the title page for more information about BJA’s Justice Information Center).

Eligibility

Please refer to the cover page of this solicitation for eligibility under this program.

Encouraging Innovation: Field-Initiated Programs—Specific Information

BJA is seeking proposals from eligible agencies and organizations to develop and implement new and innovative strategies that better enable local criminal justice systems to prevent and respond to emerging and chronic crime problems that affect multiple agencies within the local justice system and many communities in the United States. Proposals must aim to address a gap in the current base of knowledge about responding to and preventing crime and be developed or implemented in a way that allows other communities or organizations to learn from and potentially replicate the approach.

For a proposal to be considered “innovative,” it must:

• propose a strategy or response that has not been implemented previously yet is supported by research, data or evidence;

• propose a new modification to an existing strategy or response that has not been implemented previously yet is supported by research, data, or evidence; or

• propose a new approach to delivering evidence-based strategies or responses that has not been implemented previously and has the potential to remain effective while reducing costs and increasing efficiencies within the local justice system (including organizational developments and changes that may make the approach more effective or provide greater potential for sustainability of the approach in the long term).

Proposals can be focused on a local community, a city or county, a state, a federally-recognized tribe, or provide a national resource to build knowledge and tools and to serve many communities. Projects will be expected to establish performance measures for success, assess projects based on agreed upon performance measures, and document results that may be reported and replicated elsewhere.

Goals, Objectives, and Deliverables

Under this solicitation, BJA seeks to strengthen the criminal justice system by challenging those in the field to identify and define emerging or chronic crime problems and systemic issues faced by one or more components of the criminal justice continuum (including, but not limited to law enforcement, corrections, courts, and community collaborations) and propose innovative solutions to address these issues.

All projects should focus on developing practical tools and materials for use by other state and local criminal justice practitioners and policymakers, to include but not limited to, program manuals, program assessments/evaluations, training curricula, policy-relevant documents, guidebooks, and toolkits. Projects must include proposed performance measures and must incorporate a strategy for reporting against these measures and communicating the value or lessons learned from the project upon completion. Finally, awardees will be expected to develop project reports for wide dissemination through BJA and its partners. Applicants are encouraged to partner with a local university or research organization for project development, assessment and/or evaluation activities and this is allowable under the program.

In addition to addressing the above, applicants are encouraged to focus proposals on priority crime and criminal justice system topics of relevance today. BJA strongly encourages applicants to review current and past solicitations to gain an understanding of the types of subject matter areas that BJA has been investing resources. The focus of this solicitation is to fund innovative projects for which BJA has not provided funding in the past or is not currently funding. If you are proposing to advance a new approach that builds upon previous BJA-funded work, please be specific in the description and explain how the new project will be different.

The purpose is to address demonstrated gaps in the functions and knowledge base of the justice system or address a need for which there currently are limited or no services. BJA will not fund applications that are not responsive to the scope of this solicitation. Applications will be considered unresponsive if:

• Funding is being sought for a specific program for which the applicant has been or is currently receiving funding from DOJ in the last 3 fiscal years.

• Proposed projects or topic areas are not within the mission of BJA or are not generally seen or documented as a priority issue for the state, local or tribal justice community.

• The definition of innovative, as provided on page 1, is not satisfied.

In addition, applications should not be submitted solely or substantially for the following types of projects:

To purchase or test technology or equipment currently in use within the criminal justice field (unless the technology is being applied to a new, initially unintended use that has not been implemented elsewhere).

To implement existing criminal justice programs or practices.

To purchase equipment, including vehicle purchases.

To hire personnel not relevant to or necessary in the identified project.

Proposals that do not follow these requirements stated above will be considered non-responsive and will not be peer reviewed or considered for funding under this solicitation.

Evidence-Based Programs or Practices

OJP considers programs and practices to be evidence-based when their effectiveness has been demonstrated by causal evidence (generally obtained through one or more outcome evaluations). Causal evidence documents a relationship between an activity or intervention (including technology) and its intended outcome, including measuring the direction and size of a change, and the extent to which a change may be attributed to the activity or intervention.

Causal evidence depends on the use of scientific methods to rule out, to the extent possible, alternative explanations for the documented change. The strength of causal evidence, based on the factors described above, will influence the degree to which OJP considers a program or practice to be evidence-based.

Amount and Length of Awards

Applicants may request up to $350,000 in funding. Applicants are encouraged to be realistic in their budget proposals, as the amount budgeted will be evaluated against the local or national benefits identified to ensure efficient utilization of resources, and will be an important criteria used during proposal evaluation. Applications should be submitted for a project period of not less than 15 months and not exceeding 36 months. The project start date should be on or after October 1, 2011. Projects that are awarded and subsequently demonstrate strong performance may receive continuation funding in future fiscal years, depending on demonstrated need and availability of funding.

All awards are subject to the availability of appropriated funds and any modifications or additional requirements that may be imposed by law.

Budget Information

Limitation on Use of Award Funds for Employee Compensation; Waiver: With respect to any award of more than $250,000 made under this solicitation, federal funds may not be used to pay total cash compensation (salary plus bonuses) to any employee of the award recipient at a rate that exceeds 110 percent of the maximum annual salary payable to a member of the Federal Government’s Senior Executive Service (SES) at an agency with a Certified SES Performance Appraisal System for that year. (The 2011 salary table for SES employees is available at www.opm.gov/oca/11tables/indexSES.asp.) Note: A recipient may compensate an employee at a higher rate, provided the amount in excess of this compensation limitation is paid with non-federal funds. (Any such additional compensation will not be considered matching funds where match requirements apply.)

The limitation on compensation rates allowable under an award may be waived on an individual basis at the discretion of the Assistant Attorney General (AAG) for OJP. An applicant that wishes to request a waiver must include a detailed justification in the budget narrative of its application. Unless the applicant submits a waiver request and justification with the application, the applicant should anticipate that OJP will request the applicant to adjust and resubmit its budget.

The justification should include: the particular qualifications and expertise of the individual, the uniqueness of the service being provided, the individual’s specific knowledge of the program or project being undertaken with award funds, and a statement explaining that the individual’s salary is commensurate with the regular and customary rate for an individual with his/her qualifications and expertise, and for the work that is to be done.

Match Requirement: This solicitation does not require a match.

Performance Measures

To assist in fulfilling the Department’s responsibilities under the Government Performance and Results Act (GPRA), Public Law 103-62, applicants that receive funding under this solicitation must provide data that measure the results of their work. Any award recipient will be required, post award, to provide the data requested in the “Data Grantee Provides” column so that OJP can calculate values for the “Performance Measures” column. Performance measures for this solicitation are as follows:

http://www.opm.gov/oca/11tables/indexSES.asp

Objective

Performance Measure(s) Data Grantee Provides

To improve the capacity of the criminal justice system to effectively plan, manage, and allocate resources and to encourage information sharing to reduce the incidence of crime and drug abuse, to provide responsive law enforcement services, to enhance local courts, to enhance local corrections and offender reentry, prevent or combat juvenile delinquency, and/or assist victims of crime (other than compensation).

Percentage of project plan outcomes met.

Percentage of project tasks successfully completed that address capacity building.

Number of project tasks* that were completed during the reporting period.

Number of total project tasks (complete or incomplete).

Number of project tasks that were completed during the reporting period that build capacity** in your agency.

Number of total project tasks (complete or incomplete) that build capacity in your agency.

Applicants who are awarded funding to implement training and/or technical assistance (TTA) activities will also have to report on measures related to TTA activities.

Percentage of participants trained whose post-test indicated an improved score over their pre-test.

Percentage of participants reporting an improved ability to perform their duties as a result of training.

Percentage of participants who rated the training as satisfactory or better.

Average number of hours to close out TA requests.

Number of trainees whose post-test indicated an improved score over their pre-test, Number of trainees completing both a pre- and post-test.

Number of evaluations or surveys completed.

Number of trainees/TA recipients reporting improved ability to perform their work responsibilities.

Number of trainees/TA recipients who completed an evaluation or survey.

Number of trainees/TA recipients who rated the training/TA as satisfactory or better.

Sum of hours to close out TA requests

Number of TA requests successfully closed out.

* Task: grant activity defined in application project plan **Capacity building: enhancing knowledge, increasing the number of services provided, or enhancing the ability of agencies to better respond to the needs of constituents

Submission of performance measures data is not required for the application. Instead, applicants should discuss in their application their proposed methods for collecting data for performance measures. Please refer to the section “What an Application Should Include” (below) for additional information.

Note on project evaluations: Applicants that propose to use funds awarded through this solicitation to conduct project evaluations should be aware that certain project evaluations (such as systematic investigations designed to develop or contribute to generalizable knowledge) may constitute “research” for purposes of applicable DOJ human subjects protection However, project evaluations that are intended only to generate internal improvements to a program or service, or are conducted only to meet OJP’s performance measure data reporting requirements likely do not constitute “research.” Applicants should provide sufficient information for OJP to determine whether the particular project they propose would either intentionally or unintentionally collect and/or use information in such a way that it meets the DOJ regulatory definition of research.

Research, for the purposes of human subjects protections for OJP-funded programs, is defined as, “a systematic investigation, including research development, testing, and evaluation, designed to develop or contribute to generalizable knowledge” 28 C.F.R. § 46.102(d). For additional information on determining whether a proposed activity would constitute research, see the decision tree to assist applicants on the “Research and the Protection of Human Subjects” section of the OJP Other Requirements for OJP Applications” web page (www.ojp.usdoj.gov/funding/other_requirements.htm). Applicants whose proposals may involve a research or statistical component also should review the “Confidentiality” section on that web page.

Notice of New Post-Award Reporting Requirements

Applicants should anticipate that all recipients (other than individuals) of awards of $25,000 or more under this solicitation, consistent with the Federal Funding Accountability and Transparency Act of 2006 (FFATA), will be required to report award information on any first-tier subawards totaling $25,000 or more, and, in certain cases, to report information on the names and total compensation of the five most highly compensated executives of the recipient and first-tier subrecipients. Each applicant entity must ensure that it has the necessary processes and systems in place to comply with the reporting requirements should it receive funding.

Reports regarding subawards will be made through the FFATA Subaward Reporting System (FSRS), found at www.fsrs.gov/.

Please note also that applicants should anticipate that no subaward of an award made under this solicitation may be made to a subrecipient (other than an individual) unless the potential subrecipient acquires and provides a Data Universal Numbering System (DUNS) number.

How to Apply

Applications will be submitted through Grants.gov. Grants.gov is a “one-stop storefront” that provides a unified process for all customers of federal awards to find funding opportunities and apply for funding. Complete instructions on how to register and submit an application can be found at www.grants.gov. If the applicant experiences technical difficulties at any point during this process, please call the Grants.gov Customer Support Hotline at 1-800-518-4726, 24 hours a day, seven days a week, except Federal holidays. Registering with Grants.gov is a one-time process; however, processing delays may occur and it can take up to several weeks for first-time registrants to receive confirmation and a user password. OJP highly recommends that applicants start the registration process as early as possible to prevent delays in submitting an application package by the specified application deadline.

All applicants are required to complete the following steps.

1. Acquire a DUNS Number. A DUNS number is required for Grants.gov registration. The

Office of Management and Budget requires that all businesses and non-profit applicants for Federal funds include a DUNS (Data Universal Numbering System) number in their applications for a new award or renewal of an existing award. A DUNS number is a unique http://www.ojp.usdoj.gov/funding/other_requirements.htm http://www.fsrs.gov/ nine-digit sequence recognized as the universal standard for identifying and keeping track of entities receiving federal funds. The identifier is used for tracking purposes and to validate address and point of contact information for federal assistance applicants, recipients, and subrecipients. The DUNS number will be used throughout the grant life cycle. Obtaining a DUNS number is a free, one-time activity. Obtain a DUNS number by calling Dun and Bradstreet at 1-866-705-5711 or by applying online at www.dnb.com. A DUNS number is usually received within 1-2 business days.

2. Acquire or Renew Registration with the Central Contractor Registration (CCR)

Database. OJP requires that all applicants (other than individuals) for federal financial assistance maintain current registrations in the Central Contractor Registration (CCR) database. An applicant must be registered in the CCR to successfully register in Grants.gov.

The CCR database is the repository for standard information about federal financial assistance applicants, recipients, and subrecipients. Organizations that have previously submitted applications via Grants.gov are already registered with CCR, as it is a requirement for Grants.gov registration. Please note, however, that applicants must update or renew their CCR registration at least once per year to maintain an active status.

Information about CCR registration procedures can be accessed at www.ccr.gov

3. Acquire an Authorized Organization Representative (AOR) and a Grants.gov

Username and Password. Complete the AOR profile on Grants.gov and create a username and password. The applicant organization’s DUNS Number must be used to complete this step. For more information about the registration process, go to www.grants.gov/applicants/get_registered.jsp.

4. Acquire confirmation for the AOR from the E-Business Point of Contact (E-Biz POC).

The E-Biz POC at the applicant organization must log into Grants.gov to confirm the applicant organization’s AOR. Please note that there can be more than one AOR for the organization.

5. Search for the Funding Opportunity on Grants.gov. Please use the following identifying information when searching for the funding opportunity on Grants.gov. The Catalog of Federal Domestic Assistance (CFDA) numbers for this solicitation are 16.751, titled “Edward Byrne Memorial Competitive Grant Program” and 16.738, titled “Edward Byrne Memorial Justice Assistance Grant Program,” and the funding opportunity number is BJA-2011-2946.

6. Submit an Application Consistent with this Solicitation by Following the Directions in

Grants.gov. Within 24–48 hours after submitting the electronic application, the applicant should receive an e-mail validation message from Grants.gov. The validation message will state whether the application has been received and validated, or rejected, with an explanation. Important: Applicants are urged to submit applications at least 72 hours prior to the due date of the application to allow time to receive the validation message and to correct any problems that may have caused a rejection notification.

Note: Grants.gov will forward the application to OJP’s Grants Management System (GMS). GMS does not accept executable file types as application attachments. The disallowed file types include, but are not limited to, the following extensions: “.com,” “.bat,” “.exe,” “.vbs,” “.cfg,” “.dat,” “.db,” “.dbf,” “.dll,” “.ini,” “.log,” “.ora,” “.sys,” and “.zip.”

http://www.dnb.com/ http://www.ccr.gov/ http://www.grants.gov/applicants/get_registered.jsp

Experiencing Unforeseen Grants.gov Technical Issues

If an applicant experiences unforeseen Grants.gov technical issues beyond the applicant’s control that prevent submission of its application by the deadline, the applicant must contact BJA staff within 24 hours after the deadline and request approval to submit its application. At that time, BJA staff will instruct the applicant to submit specific information detailing the technical difficulties. The applicant must e-mail: a description of the technical difficulties, a timeline of submission efforts, the complete grant application, the applicant DUNS number, and Grants.gov Help Desk tracking number(s) received. After the program office reviews all of the information submitted, and contacts the Grants.gov Help Desk to validate the technical issues the applicant reported, OJP will contact the applicant to either approve or deny the request to submit a late application. If the technical issues the applicant reported cannot be validated, the application will be rejected as untimely.

To ensure a fair competition for limited discretionary funds, the following conditions are not valid reasons to permit late submissions: (1) failure to begin the registration process in sufficient time;

(2) failure to follow Grants.gov instructions on how to register and apply as posted on its Web site; (3) failure to follow all of the instructions in the OJP solicitation; and (4) technical issues experienced with the applicant’s computer or information technology (IT) environment.

Notifications regarding known technical problems with Grants.gov, if any, are posted at the top of the OJP funding web page, www.ojp.usdoj.gov/funding/solicitations.htm.

What an Application Should Include

This section describes what an application should include and sets out a number of elements.

Applicants should anticipate that failure to submit an application that contains all of the specified elements may negatively affect the review of the application; and, should a decision be made to make an award, it may result in the inclusion of special conditions that preclude access to or use of award funds pending satisfaction of the conditions.

Moreover, applicants should anticipate that applications that are not responsive to the scope of the solicitation1, or do not include a program narrative and a budget detail worksheet including a budget narrative, will not proceed to peer review and will not receive further consideration.

OJP strongly recommends use of appropriately descriptive file names (e.g., “Program Narrative,” “Budget Detail Worksheet and Budget Narrative,” “Timelines,” “Memoranda of Understanding,” “Resumes”) for all attachments. OJP recommends that resumes be included in a single file.

For examples of successful FY 2010 applications, go to:

www.ojp.usdoj.gov/BJA/funding/Example_Applications_2010.html.

1. Information to complete the Application for Federal Assistance (SF-424)

The SF-424 is a standard form required for use as a cover sheet for submission of pre-applications, applications, and related information. Grants.gov and GMS take information from the applicant’s profile to populate the fields on this form. When selecting "type of

1 The definition of innovative and how BJA will assess whether the application is responsive to scope are discussed in the Overview on page 3.

http://www.ojp.usdoj.gov/funding/solicitations.htm http://www.ojp.usdoj.gov/BJA/funding/Example_Applications_2010.html applicant," if the applicant is a for-profit entity, please select "For-Profit Organization" or "Small Business" (as applicable).

2. Program Abstract Applicants should provide an abstract that clearly identifies the following:

• Scope of the proposed project (select one of the following: local, state, regional, or national).

• The program area or discipline within the justice system that will benefit from the proposed program. (Examples include law enforcement, crime prevention, courts, corrections, crime related substance abuse and mental health issues, information sharing and capacity building and applied research).

• Amount of federal funds requested and proposed project period.

• Goals and objectives for the project.

• How strategies used in meeting these objectives are innovative.

• Deliverables proposed.

The abstract should be double-spaced, using a standard 12-point font (Times New Roman is preferred) with 1-inch margins, and should not exceed 1 page.

3. Program Narrative

The program narrative must respond to the solicitation and the Selection Criteria (1-4) in the order given. Emphasis must be placed on meeting the requirements of the solicitation as described in the Encouraging Innovation: Field-Initiated Programs—Specific Information section.

The program narrative should be double-spaced, using a standard 12-point font (Times New Roman is preferred) with 1-inch margins, and should not exceed 15 pages. Please number pages “1 of 15,” “2 of 15,” etc.

If the program narrative fails to comply with these length-related restrictions, noncompliance may be considered in peer review and in final award decisions.

The following sections should be included as part of the program narrative (see Selection Criteria for further information):

a. Statement of the Problem

b. Project Design and Implementation

c. Capabilities and Competencies

d. Plan for Collecting the Data Required for this Solicitation’s Performance Measures

Submission of performance measures data is not required for the application.

Performance measures are included as an alert that successful applicants will be required to submit specific data to BJA as part of their reporting requirements.

For the application, the applicant should indicate an understanding of these requirements and discuss how the applicant will gather the required data, should the applicant receive funding.

4. Budget Detail Worksheet and Budget Narrative

a. Budget Detail Worksheet A sample Budget Detail Worksheet can be found at www.ojp.gov/funding/forms/budget_detail.pdf. If the budget is submitted in a different format, the budget categories listed in the sample budget worksheet should be included.

http://www.ojp.gov/funding/forms/budget_detail.pdf

For questions pertaining to budget and examples of allowable and unallowable costs, please see the OJP Financial Guide at www.ojp.usdoj.gov/financialguide/index.htm.

b. Budget Narrative The Budget Narrative should thoroughly and clearly describe every category of expense listed in the Budget Detail Worksheet. The narrative should be mathematically sound and correspond with the information and figures provided in the Budget Detail Worksheet. The narrative should explain how all costs were estimated and calculated and how they are relevant to the completion of the proposed project. The narrative may include tables for clarification purposes but need not be in a spreadsheet format. As with the Budget Detail Worksheet, the Budget Narrative should be broken down by year.

5. Additional Attachments: Project Time and Task Plan, Memoranda/Letters of Support, Job Descriptions, and Resumes Attach a Project Time and Task Plan with each project goal, related objective, activity, expected completion date, and responsible person or organization; Memoranda of Understanding or Letters of Support, if applicable; Job Descriptions that outline the roles, responsibilities, and qualifications for all key positions; and Resumes for staff identified for these positions, if known.

6. Indirect Cost Rate Agreement (if applicable)

Indirect costs are allowed only if the applicant has a federally approved indirect cost rate.

(This requirement does not apply to units of local government.) A copy of the rate approval should be attached. If the applicant does not have an approved rate, one can be requested by contacting the applicant’s cognizant federal agency, which will review all documentation and approve a rate for the applicant organization or, if the applicant’s accounting system permits, costs may be allocated in the direct cost categories. If DOJ is the cognizant federal agency, obtain information needed to submit an indirect cost rate proposal at www.ojp.usdoj.gov/financialguide/part3/part3chap17.htm.

7. Tribal Authorizing Resolution (if applicable) If an application is being submitted by either (1) a tribe or tribal organization or (2) a third party proposing to provide direct services or assistance to residents on tribal lands, then a current authorizing resolution of the governing body of the tribal entity or other enactment of the tribal council or comparable governing body authorizing the inclusion of the tribe or tribal organization and its membership should be included with the application. In those instances when an organization or consortium of tribes proposes to apply for a grant on behalf of a tribe or multiple specific tribes, then the application should include a resolution from all tribes that will be included as a part of the services/assistance provided under the grant. A consortium of tribes for which existing consortium bylaws allow action without support from all tribes in the consortium (i.e., without authorizing resolution or other enactment of each tribal governing body) may submit a copy of its consortium bylaws with the application in lieu of tribal resolutions.

8. Other Standard Forms

Additional forms that may be required in connection with an award are available on OJP’s funding page at www.ojp.usdoj.gov/funding/forms.htm. For successful applicants, receipt of funds may be contingent upon submission of all necessary forms. Please note in particular the following forms.

http://www.ojp.usdoj.gov/financialguide/index.htm http://www.ojp.usdoj.gov/financialguide/part3/part3chap17.htm http://www.ojp.usdoj.gov/funding/forms.htm

a. Certifications Regarding Lobbying; Debarment, Suspension and Other Responsibility

Matters; and Drug-Free Workplace Requirements (required to be submitted in GMS prior to the receipt of any award funds).

b. Disclosure of Lobbying Activities (required for any applicant that expends any funds for lobbying activities; this form must be downloaded, completed, and then uploaded).

c. Accounting System and Financial Capability Questionnaire (required for any applicant other than an individual that is a non-governmental entity and that has not received any award from OJP within the past 3 years; this form must be downloaded, completed, and then uploaded).

d. Standard Assurances (required to be submitted in GMS prior to the receipt of any award funds).

Selection Criteria

1. Statement of the Problem (15 percent of 100)

Describe how the project addresses: 1) a demonstrated gap in areas within the justice system or in the knowledge base of justice system practitioners or state and local policymakers; or 2) a need for which there currently are no resources, or resources are limited or insufficient. Include any relevant data, background and any other information that is pertinent to understanding the identified problem. Identify the relevance and usefulness of the proposed project to many or most communities, states or criminal justice agencies, as appropriate, but at least regionally. Addressing multiple areas through a comprehensive approach that includes more than one segment of the criminal justice field is appropriate.

Ensure that any reviewer of the proposal, regardless of background, understands the problem and the need for requesting federal funds.

2. Project Design and Implementation (35 percent of 100) Describe how the innovative strategy addresses the problems, gaps, or limited resources identified in the Statement of the Problem. Describe how and why the proposed strategy is innovative, consistent with the definition of innovative in this solicitation. Describe your specific strategic in detail, including

• Key program elements and implementation;

• How the proposed innovative project is based upon and/or may contribute to evidenced-based strategies or promising practices;

• How the value or lessons learned from the project upon completion will be communicated and disseminated;

• How project outcomes could serve as a model that could be replicated nationwide; and

• How the project will develop practical tools and materials for the field that will assist state and local practitioners in adopting promising approaches, technology and information sharing solutions.

If you are proposing to advance a new method that builds upon previously BJA-funded work, please be specific in the description and explanation of how the new project will be different.

In addition, identify the recipients or the beneficiaries of the work. Finally, where applicable, describe how the project will ensure collaboration between public officials, subject matter http://www.ojp.usdoj.gov/funding/forms/certifications.pdf http://www.ojp.usdoj.gov/funding/forms/certifications.pdf http://www.ojp.usdoj.gov/funding/forms/disclosure.pdf http://www.ojp.usdoj.gov/funding/forms/financial_capability.pdf http://www.ojp.usdoj.gov/funding/forms/std_assurances.pdf experts, stakeholders, and industry partners. For local and state projects, the response should also address how the project will bring improvements to the agency that is the focus of the project.

3. Capabilities and Competencies (25 percent of 100) Fully describe the applicant(s) capabilities to implement the project and the competencies of the staff assigned to the project and the organization overall. Describe the management structure and proposed staffing to implement the project and describe the roles and responsibilities of any co-applicants or partners, if applicable. Demonstrate, including giving specific examples, of your organization’s expertise and experience in planning, developing, implementing, and managing criminal justice-related programs at the national, state, or local level, with a strong emphasis on the discipline and topics identified in this solicitation.

4. Plan for Collecting the Data Required for this Solicitation’s Performance Measures (10 percent of 100) Describe the methodology that will be used to collect and report performance data, including the criteria to be used, and how the information will be analyzed to assess program performance and will be communicated to inform BJA of the program’s performance.

Demonstrate how the data will be used to enhance program implementation and how it could guide replication. Discuss how the project will be sustained after the federal funding ends.

5. Budget (15 percent of 100) Provide a proposed budget that is reasonable, complete, allowable, and cost effective in relation to the proposed activities. The budget must support the strategies and approaches outlined in the project design, and include a narrative to describe the expenditures under each cost area and how it will contribute to the overall program goals.

Review Process

OJP is committed to ensuring a fair and open process for awarding grants. BJA reviews the application to make sure that the information presented is reasonable, understandable, measurable, and achievable, as well as consistent with the solicitation.

Peer reviewers will review the applications submitted under this solicitation that meet basic minimum requirements. BJA may use either internal peer reviewers, external peer reviewers, or a combination to review the applications under this solicitation. An external peer reviewer is an expert in the field of the subject matter of a given solicitation who is NOT a current U.S.

Department of Justice employee. An internal reviewer is a current U.S. Department of Justice employee who is well-versed or has expertise in the subject matter of this solicitation. Eligible applications will be evaluated, scored, and rated by a peer review panel. Peer reviewers’ ratings and any resulting recommendations are advisory only. In addition to peer review ratings, considerations for award recommendations and decisions may include, but are not limited to, underserved populations, geographic diversity, strategic priorities, past performance, and available funding.

The Office of the Chief Financial Officer (OCFO), in consultation with BJA, conducts a financial review of applications for potential discretionary awards to evaluate the fiscal integrity and financial capability of applicants; examines proposed costs to determine if the Budget Detail Worksheet and Budget Narrative accurately explain project costs; and determines whether costs are reasonable, necessary, and allowable under applicable federal cost principles and agency regulations.

Absent explicit statutory authorization or written delegation of authority to the contrary, all final award decisions will be made by the Assistant Attorney General (AAG), who also may give consideration to factors including, but not limited to, underserved populations, geographic diversity, strategic priorities, past performance, and available funding when making awards.

Additional Requirements

Applicants selected for awards must agree to comply with additional legal requirements upon acceptance of an award. OJP strongly encourages applicants to review the information pertaining to these additional requirements prior to submitting an application. Additional information for each requirement can be found at www.ojp.usdoj.gov/funding/other_requirements.htm.

• Civil Rights Compliance

• Faith-Based and Other Community Organizations

• Confidentiality

• Research and the Protection of Human Subjects

• Anti-Lobbying Act

• Financial and Government Audit Requirements

• National Environmental Policy Act (NEPA)

• DOJ Information Technology Standards (if applicable)

• Single Point of Contact Review

• Non-Supplanting of State or Local Funds

• Criminal Penalty for False Statements

• Compliance with Office of Justice Programs Financial Guide

• Suspension or Termination of Funding

• Nonprofit Organizations

• For-profit Organizations

• Government Performance and Results Act (GPRA)

• Rights in Intellectual Property http://www.ojp.usdoj.gov/funding/other_requirements.htm http://www.ojp.usdoj.gov/financialguide/index.htm

• Federal Funding Accountability and Transparency Act (FFATA) of 2006

• Awards in Excess of $5,000,000 – Federal Taxes Certification Requirement

• Active CCR Registration

Application Checklist FY2011 Encouraging Innovation: Field-Initiated Programs

This application checklist has been created to assist in developing an application.

Eligibility Requirement:

_____ For-profit (commercial) organization _____ Non-profit organization _____ Faith-based or community organization _____ Institution of higher learning _____ Federally recognized tribal government _____ Unit of local or state government

The federal amount requested is within the allowable limit:

_____ Up to $350,000

The application contains:

_____ Abstract (see page 11) _____ Program Narrative* (see page 11) _____ Budget Detail Worksheet* (see page 11 and Selection Criteria page 14) _____ Budget Narrative* (see page12 and Selection Criteria page 14) _____ Indirect Cost Rate Agreement (if applicable) (see page 12) _____ Tribal Authorizing Resolution (if applicable) (see page 12) _____ Project Time and Task Plan (see page 12) _____ Memoranda/Letters of Support (see page 12) _____ Job Descriptions (see page 12) _____ Resumes (see page 12) _____ Other Standard Forms as applicable (see page 12), including:

_____ Disclosure of Lobbying Activities (if applicable) _____ Accounting System and Financial Capability Questionnaire (if applicable)

*These elements are the basic minimum requirements for applications. Applications that do not include these elements shall neither proceed to peer review nor receive further consideration by

BJA.