NIJ-2017-11060.pdf

Notices regarding the solicitation “Postconviction Testing of DNA Evidence”

April 4, 2017: Applicants should disregard the “Disclosure of Process Related to Executive Compensation” requirement, as outlined in the Application and Submission Information Section of this solicitation. This requirement does not apply to applicants under this funding opportunity.

April 3, 2017: Answers to questions have been posted. To assist applicants in completing their proposals, NIJ has made the answers to questions received available for this funding opportunity. Visit https://nij.gov/funding/pages/solicitation-qa.aspx#NIJ-2017-11060 for questions and answers to help prepare your application.

The original solicitation document begins on the next page.

https://nij.gov/funding/pages/solicitation-qa.aspx#NIJ-2017-11060

U.S. Department of Justice OMB No. 1121-0329 Office of Justice Programs Approval Expires 12/31/2018 National Institute of Justice

The U.S. Department of Justice (DOJ), Office of Justice Programs (OJP), National Institute of Justice is seeking applications for funding to assist in defraying the costs associated with postconviction case review, evidence location, and DNA testing in violent felony cases (as defined by State law) where the results of such testing might show actual innocence. This program furthers the Department’s mission by ensuring the availability of fair and impartial administration of justice to Americans who may have been unjustly convicted.

Postconviction Testing of DNA Evidence

Applications Due: May 9, 2017

Eligibility

In general, eligible applicants are States, units of local government, and public institutions of higher education (including tribal institutions of higher education). For the purposes of this solicitation, the term “State” includes the District of Columbia, the Commonwealth of Puerto Rico, the U.S. Virgin Islands, American Samoa, Guam, and the Northern Mariana Islands.

Foreign governments, foreign organizations, and foreign institutions of higher education are not eligible to apply.

NIJ welcomes applications under which two or more entities would carry out the federal award;

however, only one entity may be the applicant. Any others must be proposed as subrecipients (“subgrantees").1 The applicant must be the entity that would have primary responsibility for carrying out the award, including administering the funding and managing the entire project.

Under this solicitation, only one application by any particular applicant entity will be considered.

An entity may, however, be proposed as a subrecipient (“subgrantee”) in more than one application.

Deadline

Applicants must register with Grants.gov prior to submitting an application. All applications are due by 11:59 p.m. eastern time on May 9, 2017.

To be considered timely, an application must be submitted by the application deadline using Grants.gov, and the applicant must have received a validation message from Grants.gov that indicates successful and timely submission. OJP urges applicants to submit applications at least 72 hours prior to the application due date, in order to allow time for the applicant to receive

1 For additional information on subawards, see "Budget and Associated Documentation" under Section D.

Application and Submission Information.

http://www.usdoj.gov/ http://www.ojp.usdoj.gov/ http://www.nij.gov/Pages/welcome.aspx http://www.nij.gov/Pages/welcome.aspx http://www.grants.gov/web/grants/register.html

NIJ-2017-11060

validation messages or rejection notifications from Grants.gov, and to correct in a timely fashion any problems that may have caused a rejection notification.

OJP encourages all applicants to read this Important Notice: Applying for Grants in Grants.gov.

For additional information, see How to Apply in Section D. Application and Submission Information.

Contact Information

For technical assistance with submitting an application, contact the Grants.gov Customer Support Hotline at 800-518-4726 or 606-545-5035, or via email to support@grants.gov. The Grants.gov Support Hotline operates 24 hours a day, 7 days a week, except federal holidays.

An applicant that experiences unforeseen Grants.gov technical issues beyond its control that prevent it from submitting its application by the deadline must email the NIJ contact identified below within 24 hours after the application deadline in order to request approval to submit its application after the deadline. Additional information on reporting technical issues appears under “Experiencing Unforeseen Grants.gov Technical Issues” in the How to Apply section.

For assistance with any other requirements of this solicitation, contact the National Criminal Justice Reference Service (NCJRS) Response Center: toll-free at 1-800-851-3420; via TTY at 301-240-6310 (hearing impaired only); email grants@ncjrs.gov; fax to 301-240-5830; or web chat at https://webcontact.ncjrs.gov/ncjchat/chat.jsp. The NCJRS Response Center operates from 10:00 a.m. until 6:00 p.m. eastern time, Monday through Friday, and from 10:00 a.m. until 8:00 p.m. eastern time on the solicitation close date. General information on applying for NIJ awards can be found at www.nij.gov/funding/Pages/welcome.aspx. Answers to frequently asked questions that may assist applicants are posted at www.nij.gov/funding/Pages/faqs.aspx.

Grants.gov number assigned to this solicitation: NIJ-2017-11060

Release date: March 23, 2017 http://ojp.gov/funding/Apply/Grants-govInfo.htm mailto:support@grants.gov http://www.grants.gov/applicants/apply_for_grants.jsp mailto:responsecenter@ncjrs.gov https://webcontact.ncjrs.gov/ncjchat/chat.jsp http://www.nij.gov/funding/Pages/welcome.aspx http://www.nij.gov/funding/Pages/welcome.aspx http://www.nij.gov/funding/Pages/faqs.aspx

Contents A. Program Description

Overview

Program-Specific Information

Goals, Objectives, and Deliverables

B. Federal Award Information

Type of Award

Financial Management and System of Internal Controls

Budget Information

Cost Sharing or Match Requirement

Pre-Agreement Costs (also known as Pre-award Costs)

Limitation on Use of Award Funds for Employee Compensation; Waiver

Prior Approval, Planning, and Reporting of Conference/Meeting/Training Costs

Costs Associated with Language Assistance (if applicable)

C. Eligibility Information

D. Application and Submission Information

What an Application Should Include

How to Apply

E. Application Review Information

Review Criteria

Review Process

F. Federal Award Administration Information

Federal Award Notices

Administrative, National Policy, and Other Legal Requirements

General Information about Post-Federal Award Reporting Requirements

G. Federal Awarding Agency Contact(s)

H. Other Information

Freedom of Information Act and Privacy Act (5 U.S.C. 552 and 5 U.S.C. 552a)

Provide Feedback to OJP

Application Checklist

Appendix I: Certification Template

Appendix II: Selected Statutes

Appendix III: Template for Legal Opinion as to Certification Under Section 413 of the Justice for All Act of 2004 (42 U.S.C. § 14136 note)(“State” applicants only)

Postconviction Testing of DNA Evidence

(CFDA no. 16.820)

A. Program Description

Overview

NIJ seeks proposals for funding to assist in defraying the costs associated with postconviction DNA testing in cases of violent felony offenses (as defined by State law) in which actual innocence might be demonstrated. Funds may be used to identify and review such postconviction cases and to locate and analyze associated biological evidence.

Statutory Authority: Any awards under this solicitation would be made under statutory authority provided by a full-year appropriations act for FY 2017. As of the writing of this solicitation, the Department of Justice is operating under a short-term "Continuing Resolution";

no full-year appropriation for the Department has been enacted for FY 2017.

Program-Specific Information

Since the advent of forensic DNA analysis, a growing number of Americans convicted of violent crimes have been exonerated through DNA analysis of evidence that was untested at the time of trial. New technologies have increased the likelihood of successful DNA analysis of aged, degraded, limited, or otherwise compromised biological evidence. As a result, crime scene samples once thought to be unsuitable for testing may now yield viable DNA profiles. Moreover, samples that had previously generated inconclusive DNA results may be amenable to reanalysis using newer methods.

NIJ provides funding to help defray the costs (e.g., of additional personnel, overtime, testing supplies and services, etc.) associated with postconviction DNA testing for violent felony offenses (as defined by State law) in which actual innocence might be demonstrated. Funds may be used to review suitable postconviction cases and to locate and analyze biological evidence. Only a limited portion of funds may be used for case identification activities.

IMPORTANT NOTE

Applicants should be aware that recently-enacted legislation (see page 23 for details) made significant changes to 42 U.S.C. § 14136e (the Kirk Bloodsworth Post-Conviction DNA Testing Grant Program statute) and other related provisions of law. If the FY 2017 appropriation incorporates these changes, then no awards will be made from this FY 2017 Postconviction Testing of DNA Evidence solicitation.

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

Applicants are strongly encouraged to check for updates to this solicitation prior to submitting applications.

This program was previously titled the Postconviction DNA Testing Assistance Program. NIJ has made awards for postconviction DNA testing assistance in each fiscal year since 2008.

Prior to fiscal year 2015, NIJ invited applications from States only. In order for a State’s application to be considered eligible in those years, the State was required to submit with its application an express certification from the applicant State’s chief legal officer (typically the Attorney General) regarding the applicant State’s provision of postconviction DNA testing, and its laws and practices addressing the preservation of biological evidence. Since fiscal year 2015, NIJ has expanded eligibility under this program to include units of local government and public institutions of higher education. This is expected to better reflect the diversity of institutions that are engaged in postconviction DNA testing efforts. Certification from the State’s chief legal officer as to State procedures regarding evidence retention and access to postconviction DNA testing (see Section D. What an Application Should Include) is no longer required at the time of application, but must be submitted before funds can be accessed.

Goals, Objectives, and Deliverables

The goal of this program is to fund projects that assist States and units of local government with postconviction DNA testing in cases of violent felony offenses where actual innocence might be demonstrated. This supports the DOJ mission “…to ensure fair and impartial administration of justice for all Americans.” While successful exonerations to correct injustice are notable program outcomes, the careful review, consideration and closing of cases subjected to postconviction DNA testing that do not ultimately demonstrate innocence also work to advance the public’s interest that justice has been fairly applied.

Program objectives with respect to target number of cases to be reviewed and other concrete goals must be outlined in the proposal. Funded projects are expected to implement some aspect of each of the following activities, except for case identification, which is not mandatory:

1. Identify potential postconviction DNA testing cases. A maximum of 15% of the proposed budget may be dedicated to case identification activities.

2. Review appropriate postconviction cases to identify those in which DNA testing could prove the actual innocence of a person convicted of a violent felony offense as defined by State law.

3. Locate biological evidence associated with such postconviction cases.

4. Perform DNA analysis of appropriate biological evidence.

For the purposes of this announcement:

• Case identification means performing outreach or initial screening activities, other than “case review” as defined below, designed to identify postconviction cases of violent felony offenses (as defined by State law) where DNA analysis might demonstrate actual innocence. Permissible outreach and initial screening mechanisms are face-to-face meetings, closed-circuit television meetings, eligibility letters/questionnaires/applications, telephone calls, and computerized searches of State court records.

• Case review means review of files or documentation of postconviction cases of violent felony offenses (as defined by State law) by appropriate persons (e.g., prosecutors, public defenders, law enforcement personnel, and medical examiners) to determine whether biological evidence exists that might, through DNA analysis, demonstrate the actual innocence of the person previously convicted.

• Evidence Location means seeking to locate, following a case review, biological evidence that, through DNA analysis, might demonstrate actual innocence, through activities such as the searching of files, storage facilities, and evidence rooms.

• DNA analysis of biological evidence includes the handling, screening, and DNA analysis of biological evidence located in connection with a case review.

All DNA analyses conducted using program funds must be performed by a laboratory (government-owned or fee-for-service) that is accredited and that undergoes external audits at least once every two years that demonstrate compliance with the applicable DNA Quality Assurance Standards established by the Director of the Federal Bureau of Investigation. All DNA analyses conducted and profiles generated under this program must be maintained pursuant to any applicable federal privacy requirements.

The Goals, Objectives and Deliverables are directly related to the performance measures set out in the table in Section D. Application and Submission Information, under "Program Narrative." Demonstration of progress in implementing the approved program goals is required periodically. This involves the reporting of numerical performance metrics (cases, hours, testing, etc.), which are the key deliverables reported semiannually and at the conclusion of the program. Narrative progress reports to support the reported metrics are to be submitted concurrently.

Performance Measures

The application should describe the applicant's plan for collection of all of the performance measures data listed in the table below under “Data Recipient Provides,” should it receive funding.

Award recipients will be required to provide the relevant data by submitting semiannual performance metrics through NIJ’s online Performance Measurement Tool (PMT) located at https://www.nijpmt.org. The following measures are a sampling of the core performance measures for this program, but applicants should examine the complete list at https://www.nijpmt.org/documents/NIJ%20Postconviction%20Measures_July%202016_508.pdf.

Objective

Performance Measure(s)

Data Recipient Provides

To help defray the costs associated with postconviction DNA testing in cases of violent felony offenses (as defined by State law) where DNA analysis might demonstrate actual innocence.

Percentage of target cases reviewed with grant funds.

Target number of cases to be reviewed with grant funds.

Number of cases reviewed by offense type (crimes that included a sexual component;

crimes that resulted in the death of the victim).

Number of cases reviewed with grant funds.

https://www.nijpmt.org/ https://www.nijpmt.org/documents/NIJ%20Postconviction%20Measures_July%202016_508.pdf

Percentage of cases in which a search to locate evidence was conducted.

Number of cases in which an evidence search was conducted.

Percentage of cases that yielded biological evidence.

Number of cases in which biological evidence existed.

Number of cases in which biological evidence had been destroyed or was missing.

Percentage of cases subjected to DNA analysis.

Number of cases in which DNA analysis was performed.

Average number of pieces of evidence analyzed for cases subjected to DNA analysis.

Total number of pieces of evidence analyzed.

Percentage of evidence subjected to STR DNA analysis.

Number of STR DNA tests

Percentage of evidence subjected to Y-STR DNA

Number of Y-STR DNA tests

Percentage of evidence subjected to mtDNA

Number of mtDNA tests

Percentage of cases subjected to DNA analysis that yielded a viable DNA profile.

Number of cases that yielded a viable DNA profile.

Number of cases with DNA testing results

Number of cases for which DNA results supported the postconviction claim.

Number of cases for which DNA results contradicted the postconviction claim.

Number of cases for which DNA results were inconclusive with respect to the postconviction claim.

Number of profiles uploaded into the Combined DNA Index System (CODIS).

Number of profiles uploaded into CODIS.

Percentage of profiles resulting in a CODIS hit.

Number of matches resulting from profiles uploaded into

CODIS.

Number of hours spent on case identification, case review, and evidence location.

Approximate number of hours spent on case identification, case review, and evidence location, respectively.

B. Federal Award Information

NIJ estimates that it will make awards for performance periods of up to 24 months, to begin on, or after, October 1, 2017. The number and value of the awards made will depend on available funding and the volume and quality of applications received. Visit the NIJ website for examples of recent successful proposals.

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

Type of Award

NIJ expects that any award under this solicitation will be made in the form of a grant. See Administrative, National Policy, and Other Legal Requirements, under Section F. Federal Award Administration Information, for a brief discussion of important statutes, regulations, and award conditions that apply to many (or in some cases, all) OJP grants.

Financial Management and System of Internal Controls Award recipients and subrecipients (including recipients or subrecipients that are pass-through entities2) must, as described in the Part 200 Uniform Requirements3 as set out at 2 C.F.R.

200.303:

(a) Establish and maintain effective internal control over the Federal award that provides reasonable assurance that [the recipient (and any subrecipient)] is managing the Federal award in compliance with Federal statutes, regulations, and the terms and conditions of the Federal award. These internal controls should be in compliance with guidance in “Standards for Internal Control in the Federal Government” issued by the Comptroller General of the United States and the “Internal Control Integrated Framework”, issued by the Committee of Sponsoring Organizations of the Treadway Commission (COSO).

(b) Comply with Federal statutes, regulations, and the terms and conditions of the Federal awards.

(c) Evaluate and monitor [the recipient’s (and any subrecipient’s)] compliance with statutes, regulations, and the terms and conditions of Federal awards.

2 For purposes of this solicitation, the phrase “pass-through entity” includes any recipient or subrecipient that provides a subaward ("subgrant”) to a subrecipient (“subgrantee”) to carry out part of the funded award or program.

3 The "Part 200 Uniform Requirements” means the DOJ regulation at 2 C.F.R Part 2800, which adopts (with certain modifications) the provisions of 2 C.F.R. Part 200.

http://www.nij.gov/funding/awards/pages/awards-list.aspx?solicitationid=4380

(d) Take prompt action when instances of noncompliance are identified including noncompliance identified in audit findings.

(e) Take reasonable measures to safeguard protected personally identifiable information and other information the Federal awarding agency or pass-through entity designates as sensitive or [the recipient (or any subrecipient)] considers sensitive consistent with applicable Federal, state, local, and tribal laws regarding privacy and obligations of confidentiality.

To help ensure that applicants understand applicable administrative requirements and cost principles, OJP encourages prospective applicants to enroll, at no charge, in the DOJ Grants Financial Management Online Training, available here.

Budget Information

Permissible Expenses:

1. Salary and Benefits of Additional Employees—Funds may be used for salaries and benefits of additional full- or part-time employees to the extent that such employees are directly engaged in case identification, case review, location of evidence, or DNA analysis of biological evidence. Applicants should demonstrate that any additional full-or part-time employees will be directly engaged in these activities. Supplanting is not permitted.

2. Overtime—Funds may be used for employee overtime for the purpose of case identification, case review, location of evidence, or DNA analysis of biological evidence.

Any payments for overtime must be in accordance with the applicable provisions of the DOJ Grants Financial Guide.

3. Travel (limited)—Funds may be used for reasonable travel expenses directly associated with case identification, case review, location of evidence, or DNA analysis of biological evidence. These costs must be in accordance with federal policy or an organizationally approved travel policy. The Office of the Chief Financial Officer reserves the authority to determine the reasonableness of the recipient's own established travel rates. Current federal travel policy and per diem rate information are available at www.gsa.gov/perdiem.

4. Computer equipment—Funds may be used to upgrade, replace, lease, or purchase computer hardware or software that will be used exclusively for case identification, case review, location of evidence, or DNA analysis of biological evidence.

5. Laboratory supplies—Funds may be used to acquire laboratory supplies for DNA analysis of biological evidence. The proposal must clearly demonstrate that the types and number of supplies requested are appropriate for the proposed caseload. Award recipients whose proposals involve the purchase or use of chemicals may encounter delays in the release of award funds pending satisfactory completion of the National Environmental Protection Act (NEPA) review process.

6. Engage Additional (Temporary) Personnel—Funds may be used to obtain the services of individuals (other than employees of the recipient) to perform case http://ojpfgm.webfirst.com/ http://ojp.gov/financialguide/DOJ/index.htm http://www.gsa.gov/perdiem identification and case reviews, locate evidence, or perform DNA analyses of biological evidence in the crime laboratory.

7. Procurement from private laboratories of DNA analyses—Funds may be used for contracts with accredited fee-for-service laboratories to conduct DNA analysis of biological evidence.

Please note: No profiles generated with funding from this program may be entered into any non-governmental DNA database without prior express written approval from NIJ.

8. Training (limited)—In limited circumstances, funds may be used for postconviction training directly related to case identification, case review, location of biological evidence, and DNA analysis of biological evidence. Funds for this purpose must be used only for grant-funded personnel directly engaged in case identification, case review, location of biological evidence, or DNA analysis of biological evidence. The proposal must clearly demonstrate that the proposed training directly supports the program’s purpose areas, and is related directly to the job position and duties of the individual(s) receiving the training.

Expenses that are not permitted:

Federal funds awarded under this solicitation may only be used for the permissible expenses outlined above. Among other things, funds may not be used for:

1. Work that will be funded under another specific solicitation.

2. Activities that do not respond to the specific goals of this solicitation.

3. Costs for postconviction relief litigation, after DNA testing of biological evidence has been completed.

4. Salaries and benefits for victims advocacy services.

5. Salaries, benefits, or overtime for staff who are not directly engaged in case identification, case review, location of biological evidence, or DNA analysis of biological evidence.

6. Outreach and initial screening activities not included in case identification (as defined above).

7. Laboratory equipment.

8. Construction.

9. Renovation.

10. Office furnishings.

11. Witness travel.

12. General, non-postconviction training, or training for employees not directly funded under this award.

Cost Sharing or Match Requirement

See “Cofunding” paragraph under item 4 (“Budget and Associated Documentation”) under “What an Application Should Include” in Section D. Application and Submission Information.

Pre-Agreement Costs (also known as Pre-award Costs)

Pre-agreement costs are costs incurred by the applicant prior to the start date of the period of performance of the federal award.

OJP does not typically approve pre-agreement costs; an applicant must request and obtain the prior written approval of OJP for all such costs. All such costs incurred prior to award and prior to approval of the costs are incurred at the sole risk of the applicant. (Generally, no applicant should incur project costs before submitting an application requesting federal funding for those costs.) Should there be extenuating circumstances that make it appropriate for OJP to consider approving pre-agreement costs, the applicant may contact the point of contact listed on the title page of this solicitation for the requirements concerning written requests for approval. If approved in advance by OJP, award funds may be used for pre-agreement costs, consistent with the recipient’s approved budget and applicable cost principles. See the section on Costs Requiring Prior Approval in the DOJ Grants Financial Guide for more information.

Limitation on Use of Award Funds for Employee Compensation; Waiver

With respect to any award of more than $250,000 made under this solicitation, a recipient may not use federal funds to pay total cash compensation (salary plus cash bonuses) to any employee of the recipient at a rate that exceeds 110% of the maximum annual salary payable to a member of the federal government’s Senior Executive Service (SES) at an agency with a Certified SES Performance Appraisal System for that year.4 The 2017 salary table for SES employees is available at the Office of Personnel Management website. Note: A recipient may compensate an employee at a greater rate, provided the amount in excess of this compensation limitation is paid with non-federal funds. (Non-federal funds used for any such additional compensation will not be considered matching funds, where match requirements apply.) If only a portion of an employee's time is charged to an OJP award, the maximum allowable compensation is equal to the percentage of time worked times the maximum salary limitation.

The Assistant Attorney General for OJP may exercise discretion to waive, on an individual basis, this limitation on compensation rates allowable under an award. An applicant that requests a waiver should include a detailed justification in the budget narrative of its application.

An applicant that does not submit a waiver request and justification with its application should anticipate that OJP will require the applicant to adjust and resubmit the budget.

The justification should address—in the context of the work the individual would do under the award—the particular qualifications and expertise of the individual, the uniqueness of a service the individual will provide, the individual’s specific knowledge of the proposed program or project, and a statement that explains whether and how the individual’s salary under the award

4 OJP does not apply this limitation on the use of award funds to the nonprofit organizations listed in Appendix VIII to 2 C.F.R. Part 200.

http://www.opm.gov/policy-data-oversight/pay-leave/salaries-wages/salary-tables/17Tables/exec/html/ES.aspx would be commensurate with the regular and customary rate for an individual with his/her qualifications and expertise, and for the work he/she would do under the award.

Prior Approval, Planning, and Reporting of Conference/Meeting/Training Costs

OJP strongly encourages every applicant that proposes to use award funds for any conference-, meeting-, or training-related activity (or similar event) to review carefully—before submitting an application—the OJP policy and guidance on approval, planning, and reporting of such events, available at www.ojp.gov/financialguide/DOJ/PostawardRequirements/chapter3.10a.htm. OJP policy and guidance (1) encourage minimization of conference, meeting, and training costs; (2) require prior written approval (which may affect project timelines) of most conference, meeting, and training costs for cooperative agreement recipients and of some conference, meeting, and training costs for grant recipients; and (3) set cost limits, which include a general prohibition of all food and beverage costs.

Costs Associated with Language Assistance (if applicable)

If an applicant proposes a program or activity that would deliver services or benefits to individuals, the costs of taking reasonable steps to provide meaningful access to those services or benefits for individuals with limited English proficiency may be allowable. Reasonable steps to provide meaningful access to services or benefits may include interpretation or translation services, where appropriate.

For additional information, see the "Civil Rights Compliance" section under “Overview of Legal Requirements Generally Applicable to OJP Grants and Cooperative Agreements - FY 2017 Awards” in the OJP Funding Resource Center.

C. Eligibility Information

For eligibility information, see the title page.

For information on cost sharing or match requirements, see “What an Application Should Include” in Section D. Application and Submission Information.

D. Application and Submission Information

What an Application Should Include

This section describes in detail what an application should include. An applicant should anticipate that if it fails to submit an application that contains all of the specified elements, it may negatively affect the review of its application; and, should a decision be made to make an award, it may result in the inclusion of award conditions that preclude the recipient from accessing or using award funds until the recipient satisfies the conditions and OJP makes the funds available.

Moreover, an applicant should anticipate that an application that OJP determines is nonresponsive to the scope of the solicitation, or that OJP determines does not include the application elements that NIJ has designated to be critical, will neither proceed to peer review, nor receive further consideration. For this solicitation, NIJ has designated the following http://ojp.gov/financialguide/DOJ/PostawardRequirements/chapter3.10a.htm http://ojp.gov/funding/Explore/SolicitationRequirements/index.htm http://ojp.gov/funding/Explore/SolicitationRequirements/index.htm http://ojp.gov/funding/Explore/SolicitationRequirements/index.htm http://ojp.gov/funding/index.htm application elements as critical: Program Narrative, Budget Detail Worksheet, and Budget Narrative, and resumes/curriculum vitae of key personnel. An applicant may combine the Budget Narrative and the Budget Detail Worksheet in one document. However, if an applicant submits only one budget document, it must contain both narrative and detail information.

Please review the “Note on File Names and File Types” under How to Apply (below) to be sure applications are submitted in permitted formats.

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

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

The SF-424 is a required standard form used as a cover sheet for submission of pre-applications, applications, and related information. Grants.gov and the OJP Grants Management System (GMS) take information from the applicant’s profile to populate the fields on this form. When selecting "type of applicant," if the applicant is a for-profit entity, select "For-Profit Organization" or "Small Business" (as applicable).

To avoid processing delays, an applicant must include an accurate legal name on its SF-

424. Current OJP award recipients, when completing the field for “Legal Name” should use the same legal name that appears on the prior year award document which is also the legal name stored in OJP’s financial system. On the SF-424, enter the Legal Name in box 5 and Employer Identification Number (EIN) in box 6 exactly as it appears on the prior year award document. An applicant with a current, active award(s) must ensure that its GMS profile is current. If the profile is not current, the applicant should submit a Grant Adjustment Notice updating the information on its GMS profile prior to applying under this solicitation.

A new applicant entity should enter the Official Legal Name and address of the applicant entity in box 5 and the EIN in box 6 of the SF-424. An applicant must attach official legal documents to its application (e.g., articles of incorporation, 501(c)(3), etc.) to confirm the legal name, address, and EIN entered into the SF-424.

Intergovernmental Review: This solicitation (“funding opportunity”) is not subject to Executive Order 12372. (In completing the SF-424, an applicant is to answer question 19 by selecting the response that the “Program is not covered by E.O. 12372.”)

2. Project Abstract

The project abstract is a very important part of the application, and serves as an introduction to the proposed project. NIJ uses the project abstract for a number of purposes, including assignment of the application to an appropriate review panel. If the application is funded, the project abstract typically will become public information and be used to describe the project.

Applications should include a high-quality project abstract that summarizes the proposed project in 250-400 words. Project abstracts should be—

• Written for a general public audience.

• Submitted as a separate attachment with “Project Abstract” as part of its file name.

http://www.archives.gov/federal-register/codification/executive-order/12372.html

• Single-spaced, using a standard 12-point font with 1-inch margins.

As a separate attachment, the project abstract will not count against the page limit for the program narrative.

Project abstracts should follow the detailed template (including the detailed instructions as to content) available at www.nij.gov/funding/documents/nij-project-abstract-template.pdf.

Permission to Share Project Abstract with the Public: It is unlikely that OJP will be able to fund all applications submitted under this solicitation, but it may have the opportunity to share information with the public regarding unfunded applications, for example, through a listing on a web page available to the public. The intent of this public posting would be to allow other possible funders to become aware of such applications.

In the project abstract template, each applicant is asked to indicate whether it gives OJP permission to share the applicant’s project abstract (including contact information for individuals) with the public. Granting (or failing to grant) this permission will not affect OJP’s funding decisions. Moreover, if the application is not funded, providing permission will not ensure that OJP will share the abstract information, nor will it assure funding from any other source.

Note: OJP may choose not to list a project that otherwise would have been included in a listing of unfunded applications, should the abstract fail to meet the format and content requirements noted above and outlined in the project abstract template.

3. Program Narrative

The program narrative section of the application should not exceed twelve (12) double-spaced pages in 12-point font with 1-inch margins. If included in the main body of the program narrative, tables, charts, figures, and other illustrations count toward the 12-page limit for the narrative section. The project abstract, table of contents, appendices, and government forms do not count toward the 12-page limit.

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

The following sections should be included as part of the program narrative.5

a. Title Page (not counted against the 12-page program narrative limit).

The title page should include the title of the project, submission date, funding opportunity number, and the complete contact information (i.e., name, address, telephone number, and e-mail address) for both the applicant and the project director.

5 As noted earlier, if the proposed program or project reasonably could be conducted in discrete phases, with each phase resulting in completion of one or more significant, defined milestones, then NIJ strongly recommends that the applicant structure the application – specifically including the narrative, timelines/milestones, and budget detail worksheet and budget narrative – to set out each phase clearly. See generally “Goals, Objectives, Deliverables, and Expected Scholarly Products” under “Program-Specific Information,” above.

http://nij.gov/funding/documents/nij-project-abstract-template.pdf

b. Resubmit Response (if applicable; not counted against the 12-page program narrative limit).

If an applicant is resubmitting an application presented previously to NIJ, but not funded, the applicant should indicate this. A statement should be provided, no more than two pages, addressing: (1) the title, submission date, and NIJ-assigned application number of the previous application, and (2) a brief summary of revisions to the application, including responses to previous feedback received from NIJ.

c. Table of Contents (not counted against the 12-page program narrative limit).

d. Main Body

The main body of the program narrative should describe the proposed project in depth. Within its sections (specified below), the main body of the program narrative should address:

• Purpose, goals, and objectives.

• Implementation approach, including case review selection criteria and the target number of cases to be reviewed with award funds.

• Detailed justification for specific case identification activities proposed for federal funding, if applicable (not to exceed 15% of the federal award amount).

• Implications for criminal justice policy and practice in the United States.

• Management plan and organization.

The following sections should be included as part of the main body of the program narrative:

• Description of the Issue

• Project Design and Implementation.

• Capabilities and Competencies.

• Potential Impact.

• Plan for Collecting the Data Required for this Solicitation’s Performance

Measures

OJP will require each successful applicant to submit specific performance measures data as part of its reporting under the award (see “General Information about Post-Federal Award Reporting Requirements” in Section F. Federal Award Administration Information). The performance measures correlate to the goals, objectives, and deliverables identified under "Goals, Objectives, and Deliverables" in Section A. Program Description.

e. Appendices (not counted against the 12-page program narrative limit), including:

• Curriculum vitae, resumes or biographical sketches for key personnel.

• Bibliography/references, if applicable.

• Any tools/instruments, questionnaires, tables/charts/graphs, or maps pertaining to the proposed project.

• List (to the extent known) of all proposed project staff members, including those affiliated with the applicant organization or any proposed subrecipient organization(s), any proposed consultant(s) and contractors (whether individuals or organizations), and any proposed members of an advisory board for the project (if applicable). The list should include, for each individual and organization: name, title (if applicable), employer or other organizational affiliation, and roles and responsibilities proposed for the project. Applicants should use the “Proposed Project Staff, Affiliation, and Roles” form available at http://www.nij.gov/funding/documents/nij-project-staff-template.xlsx to provide this listing.

• Proposed project timeline and expected milestones.

• List of any previous and current NIJ awards to the applicant, including the NIJ-assigned award number(s).

• Letters of cooperation/support or administrative agreements from organizations collaborating in the project (if applicable).

4. Budget and Associated Documentation

a. Budget Detail Worksheet

A sample Budget Detail Worksheet can be found at www.ojp.gov/funding/Apply/Resources/BudgetDetailWorksheet.pdf. An applicant that submits its budget in a different format should use the budget categories listed in the sample budget worksheet. (An applicant should include in the budget work associated with satisfying data archiving requirements.) NIJ expects applicants to provide a thorough narrative for each section of the Budget Detail Worksheet. The Budget Detail Worksheet should break out costs by year.

For questions pertaining to budget and examples of allowable and unallowable costs, see the DOJ Grants Financial Guide.

b. Budget Narrative

The budget narrative should thoroughly and clearly describe every category of expense listed in the Budget Detail Worksheet. OJP expects proposed budgets to be complete, cost effective, and allowable (e.g., reasonable, allocable, and necessary for project activities).

http://www.nij.gov/funding/documents/nij-project-staff-template.xlsx http://ojp.gov/funding/Apply/Resources/BudgetDetailWorksheet.pdf

An applicant should demonstrate in its budget narrative how it will maximize cost effectiveness of award expenditures. Budget narratives should generally describe cost effectiveness in relation to potential alternatives and the goals of the project. For example, a budget narrative should detail why planned in-person meetings are necessary, or how technology and collaboration with outside organizations could be used to reduce costs, without compromising quality.

The budget narrative should be mathematically sound and correspond clearly with the information and figures provided in the Budget Detail Worksheet. The narrative should explain how the applicant estimated and calculated all costs, and how those costs are necessary 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 describe costs by year.

Case Identification

The budget detail worksheet and budget narrative should clearly indicate the cost breakouts for any proposed case identification activities (total cost not to exceed 15% of the total federal award amount requested) both within the appropriate cost categories (e.g., personnel, fringe benefits, travel, equipment, supplies, and consultants/contracts), as a separate section of the budget documents.

c. Cofunding

An award made by NIJ under this solicitation may account for up to 100 percent of the total cost of the project. The application should indicate whether it is feasible for the applicant to contribute cash, facilities, or services as non-federal support for the project.

The application should identify generally any such contributions that the applicant expects to make and the proposed budget should indicate in detail which items, if any, will be supported with non-federal contributions.

For additional match information, see the Cost Sharing or Match Requirement section under Section B. Federal Award Information.

If a successful application proposes a voluntary match amount, and OJP approves the budget, the total match amount incorporated into the approved budget becomes mandatory and subject to audit.

d. Information on Proposed Subawards (if any), as well as on Proposed Procurement Contracts (if any)

Applicants for OJP awards typically may propose to make "subawards." Applicants also may propose to enter into procurement "contracts" under the award.

Whether—for purposes of federal grants administrative requirements—a particular agreement between a recipient and a third party will be considered a "subaward" or instead considered a procurement "contract" under the award is determined by federal rules and applicable OJP guidance. It is an important distinction, in part because the federal administrative rules and requirements that apply to "subawards" and to procurement "contracts" under awards differ markedly.

In general, the central question is the relationship between what the third-party will do under its agreement with the recipient and what the recipient has committed (to OJP) to do under its award to further a public purpose (e.g., services the recipient will provide, products it will develop or modify, research or evaluation it will conduct). If a third party will provide some of the services the recipient has committed (to OJP) to provide, will develop or modify all or part of a product the recipient has committed (to OJP) to develop or modify, or will conduct part of the research or evaluation the recipient has committed (to OJP) to conduct, OJP will consider the agreement with the third party a subaward for purposes of federal grants administrative requirements.

This will be true even if the recipient, for internal or other non-federal purposes, labels or treats its agreement as a procurement, a contract, or a procurement contract. Neither the title nor the structure of an agreement determines whether the agreement—for purposes of federal grants administrative requirements—is a “subaward” or is instead a procurement “contract” under an award.

Additional guidance on the circumstances under which (for purposes of federal grants administrative requirements) an agreement constitutes a subaward as opposed to a procurement contract under an award, is available (along with other resources) on the OJP Part 200 Uniform Requirements web page.

1. Information on proposed subawards

A recipient of an OJP award may not make subawards ("subgrants") unless the recipient has specific federal authorization to do so. Unless an applicable statute or DOJ regulation specifically authorizes (or requires) subawards, a recipient must have authorization from OJP before it may make a subaward.

A particular subaward may be authorized by OJP because the recipient included a sufficiently-detailed description and justification of the proposed subaward in the application as approved by OJP. If, however, a particular subaward is not authorized by federal statute or regulation, and is not sufficiently described and justified in the application as approved by OJP, the recipient will be required, post-award, to request and obtain written authorization from OJP before it may make the subaward.

If an applicant proposes to make one or more subawards to carry out the federal award and program, the applicant should—(1) identify (if known) the proposed subrecipient(s),

(2) describe in detail what each subrecipient will do to carry out the federal award and federal program, and (3) provide a justification for the subaward(s), with details on pertinent matters such as special qualifications and areas of expertise. Pertinent information on subawards should appear not only in the Program Narrative, but also in the Budget Detail Worksheet and Budget Narrative.

2. Information on proposed procurement contracts (with specific justification for proposed noncompetitive contracts over $150,000)

Unlike a recipient contemplating a subaward, a recipient of an OJP award generally does not need specific prior federal authorization to enter into an agreement that—for purposes of federal grants administrative requirements—is considered a procurement contract, provided that (1) the recipient uses its own documented procurement procedures and (2) those procedures conform to applicable federal law, including the http://ojp.gov/funding/Part200UniformRequirements.htm

Procurement Standards of the (DOJ) Part 200 Uniform Requirements (as set out at 2 C.F.R. 200.317 - 200.326). The Budget Detail Worksheet and budget narrative should identify proposed procurement contracts. (As discussed above, subawards must be identified and described separately from procurement contracts.)

The Procurement Standards in the Part 200 Uniform Requirements, however, reflect a general expectation that agreements that (for purposes of federal grants administrative requirements) constitute procurement “contracts” under awards will be entered into on the basis of full and open competition. If a proposed procurement contract would exceed the simplified acquisition threshold—currently, $150,000—a recipient of an OJP award may not proceed without competition unless and until the recipient receives specific advance authorization from OJP to use a non-competitive approach for the procurement.

An applicant that (at the time of its application) intends—without competition—to enter into a procurement “contract” that would exceed $150,000 should include a detailed justification that explains to OJP why, in the particular circumstances, it is appropriate to proceed without competition. Various considerations that may be pertinent to the justification are outlined in the DOJ Grants Financial Guide.

e. Pre-Agreement Costs For information on pre-agreement costs, see Section B. Federal Award Information.

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