NIJ-2017-11581.pdf

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 (NIJ) is seeking applications from forensic DNA laboratories for funding to improve efficiency and enhance capacity through the FY 2017 Forensic DNA Laboratory Efficiency Improvement and Capacity Enhancement Program. This program furthers the Department’s mission by assisting existing crime laboratories that conduct multidisciplinary forensic analysis, including DNA, to reduce the number of items awaiting analysis to ultimately solve crimes and thereby help to increase public safety in the United States.

FY 2017 Forensic DNA Laboratory Efficiency Improvement and Capacity Enhancement

Program Applications Due: March 13, 2017

Eligibility

Eligible applicants are States1 and units of local government with existing crime laboratories that conduct forensic DNA and/or DNA database sample analysis and:

Participate in external audits, not less than once every two years, that demonstrate compliance with the requirements of the Quality Assurance Standards established by the Director of the Federal Bureau of Investigation.

Are accredited by a nonprofit professional organization actively involved in forensic science that is nationally recognized within the forensic science community.

Participate in the National DNA Index System (NDIS), or have an agreement with an NDIS participating laboratory to upload their data.

Applicants also should be aware of the cost sharing or matching requirement for applications submitted under Purpose Area 2,2 which the solicitation describes under Section A. Program Description. In order for an applicant to be eligible to receive an award under Purpose Area 2 of this solicitation, its application must demonstrate that a minimum of 25% of the total project costs under an award will be funded with non-federal funds.

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

however, only one eligible entity may be the applicant. Any others must be proposed as subrecipients (“subgrantees").3 The applicant must be the entity that would have primary responsibility for carrying out the award, including administering the funding and managing the

1 For purposes of this solicitation, the term “State” includes the District of Columbia, the Commonwealth of Puerto Rico, and the U.S. territories of American Samoa, Guam, the Commonwealth of the Northern Mariana Islands, and the Virgin Islands.

2 This solicitation has four purpose areas.

3 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://nij.gov/Pages/welcome.aspx http://nij.gov/Pages/welcome.aspx

NIJ-2017-11581

entire project. Under this solicitation, any particular applicant entity may submit more than one application (as detailed further below), as long as each application proposes a different project in response to the solicitation. Also an entity may be proposed as a subrecipient (“subgrantee”) in more than one application. See the “Purpose Areas” discussion and purpose area descriptions under Section A. Program Description.

NIJ may elect to fund applications submitted under this FY 2017 solicitation in future fiscal years, dependent on, among other considerations, the merit of the applications and on the availability of appropriations.

Deadline

Applicants must register with Grants.gov prior to submitting an application. All applications are due by 11:59 p.m. eastern time on March 13, 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 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 on 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-2017-11581

Release date: January 11, 2017 http://www.grants.gov/web/grants/register.html http://ojp.gov/funding/Apply/Grants-govInfo.htm mailto:support@grants.gov http://www.grants.gov/web/grants/support.html 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/faqs.aspx

Contents A. Program Description

Overview

Project-Specific Information

Goals, Objectives, and Deliverables

Evidence-Based Programs or Practices

B. Federal Award Information

Type of Award

Financial Management and System of Internal Controls

Budget Information

Cost Sharing or Match Requirement (Purpose Areas 1, 3, and 4 only)

Cost Sharing or Match Requirement (cash only) (Purpose Area 2 only)

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

Performance Measures

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

FY 2017 Forensic DNA Laboratory Efficiency Improvement and Capacity Enhancement

Program

CFDA No. 16.741

A. Program Description

Overview

Demands for forensic DNA analysis have increased every year from 2009 to 2014, with a 28 percent increase in cases submitted to forensic DNA laboratories from 2009 to 2014.4 The growing demand for DNA testing comes from two primary sources: (1) improved analysis techniques that have led to the recovery of DNA profiles from items of evidence from which it was not previously possible to retrieve such profiles, and (2) the increased collection and processing of DNA from crime scenes; victims of sexual assault; reference and elimination samples; arrestee and convicted offender samples as required by applicable State laws;

unidentified human remains; cold case investigations; and postconviction relief efforts.

Often, a single case submission includes requests for forensic analyses in DNA and non-DNA disciplines. Enhancing capacity and improving efficiency in the processing and testing of non- DNA evidence from cases that also involve a request for DNA analysis will ultimately reduce the backlog of DNA evidence. NIJ’s DNA Capacity Enhancement and Backlog Reduction (CEBR) program does not permit the use of funds for non-DNA disciplines. The Forensic DNA Laboratory Efficiency Improvement and Capacity Enhancement (EI&CE) program is intended to help address that gap.

The EI&CE program awards funding to eligible entities, through a competitive application process, with two (2) program objectives:

1. Enhancing the capacity and increasing the efficiency of crime laboratories to process, record, screen, and analyze DNA and other forensic evidence; and

2. Decreasing the turnaround time to process and analyze DNA 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.

4 Durose, Matthew R. and Andrea M. Burch. “Publicly Funded Forensic Crime Laboratories: Resources and Services, 2014.” Bureau of Justice Statistics. November 2016. https://www.bjs.gov/content/pub/pdf/pffclrs14.pdf.

https://www.bjs.gov/content/pub/pdf/pffclrs14.pdf

Project-Specific Information

The following requirements apply to all DNA analyses conducted under this program:

Applicants must ensure that all eligible DNA profiles obtained with funding from this program are entered into the FBI’s CODIS database and, where applicable, are uploaded into NDIS.5 No profiles generated with funding from this program may be entered into any non-governmental DNA database without prior express written approval from NIJ.

Applicants must ensure that all profiles uploaded to NDIS6 follow NDIS DNA Data Acceptance Standards.

Applicants must ensure that each DNA analysis conducted and resulting profile generated under this program is maintained pursuant to all applicable federal privacy requirements, including those described in 42 U.S.C. § 14132(b)(3).

Rapid DNA technologies must comply with applicable laws and follow the regulations identified by the FBI.7

Goals, Objectives, and Deliverables

The central goal of NIJ's FY 2017 EI&CE program is to assist eligible crime laboratories in substantially increasing laboratory capacity through a well-defined project. The EI&CE program objectives of increasing efficiency and decreasing turnaround time for DNA evidence processing to help laboratories to reduce the number of DNA samples awaiting analysis will be assisted by mechanisms to improve overall laboratory efficiency which will, in turn, help prevent future accumulations of samples awaiting analysis.

Projects are to align with one of four purpose areas:

1. Multidisciplinary analysis of evidence.

2. Building and improving laboratory infrastructure.

3. Implementation and validation of process efficiency projects.

4. Special projects.

The EI&CE program is designed to support projects that significantly enhance capacity and improve efficiency of laboratories that perform multidisciplinary forensic testing, including DNA analysis. The applicant must propose a fully developed, self-contained project, and not simply propose a supplement to the activities funded through NIJ’s DNA CEBR program, the Paul Coverdell Forensic Science Improvement Grant (“Coverdell”) program, or the Research and Evaluation for the Testing and Interpretation of Physical Evidence in Publicly Funded Forensic Laboratories (“R&E for Public Labs”) program.

5 https://www.fbi.gov/services/laboratory/biometric-analysis/codis/codis-and-ndis-fact-sheet.

6 https://www.fbi.gov/services/laboratory/biometric-analysis/codis/codis-and-ndis-fact-sheet.

7 https://www.fbi.gov/services/laboratory/biometric-analysis/codis/rapid-dna-analysis.

https://www.gpo.gov/fdsys/pkg/USCODE-2015-title42/pdf/USCODE-2015-title42-chap136-subchapIX-partA-sec14132.pdf https://www.fbi.gov/services/laboratory/biometric-analysis/codis/codis-and-ndis-fact-sheet https://www.fbi.gov/services/laboratory/biometric-analysis/codis/codis-and-ndis-fact-sheet https://www.fbi.gov/services/laboratory/biometric-analysis/codis/rapid-dna-analysis

Applications should be project-oriented, and goals and deliverables should be project-specific.

The applicant must adequately convey how the proposed project will advance the goals and objectives of this program through the selected purpose area. All projects must identify how the proposed activities will improve DNA evidence processing capacity, efficiency, and turnaround time.

Agencies that receive EI&CE funding will be required to report their progress to NIJ, including relevant and appropriate metric data.

Non-supplanting: This program is to assist crime laboratories by defraying costs — successful applicants will be expected to provide assurances, as a condition of receiving grant funds under this program, that the funds will be used to supplement, not supplant, funds that would otherwise be available for the purposes described in this solicitation. NIJ will include grant special conditions to this effect in any award made from this solicitation.

Purpose Areas: Applicants are encouraged to propose innovative and creative projects that address the goals of the EI&CE program. There are four purpose areas under which an application may be submitted. Applications are expected to clearly identify the purpose area under which funds are requested. An applicant may submit more than one application under this program, but may submit only one application per purpose area.

Purpose Area 1: Multidisciplinary Analysis of Evidence

Competition ID: NIJ-2017-12100

As part of a case submission, forensic laboratories often receive requests to test evidence that requires multidisciplinary analysis. The case submission can include a request for DNA analysis, but also may include items of evidence that require additional types of forensic analysis such as firearms and other weapons, the presence of friction ridge impressions, various types of trace evidence, and toxicological analysis for drugs and poisons.

Evidence items from a single case can provide information from a variety of forensic analyses, but particular attention is often given to DNA analyses without consideration of any other forensic disciplines. Sometimes one item of evidence must proceed through two or more types of forensic analyses before DNA analysis can occur; without support for non-DNA testing, critical information that might have been gathered from other forensic analyses may be missed when court demands push the evidence to DNA analysis without completion of non-DNA analysis, or the case may be stuck in a bottleneck of potential DNA evidence related cases backlogged in another section of a laboratory. Therefore, providing assistance to other forensic disciplines in the laboratory may help to decrease the turnaround time of analysis of an entire case, thus providing the requesting agency results of the analyses much faster, and it may provide the opportunity for higher-quality results.

The objective of this purpose area is to provide assistance to laboratories to complete entire cases that involve requests for both DNA and at least one other type of forensic analysis.

Projects may include, but are not limited to, assistance in the non-DNA disciplines as they overlap with and affect DNA analysis and processing.

Projects under this purpose area should be measured by project-specific metrics above and beyond the performance measures listed on page XX. The application should include a list of the project-specific metrics and how they will demonstrate efficiency improvement and capacity enhancement in the non-DNA discipline. Examples would include, but are not limited to 1.)

Number of firearms items analyzed with funds from this program; 2.) Number of evidentiary items put into a comparison database such as the Integrated Automated Fingerprint Identification System (IAFIS) or the National Integrated Ballistic Information Network (NIBIN) with funds from this program; or 3.) Number of database hits from evidentiary items put into that database with funds from this program.

Projects that propose any equipment to be purchased under this purpose area that will be used for cases without a request for DNA analysis must demonstrate that the anticipated increase in the throughput for the specific non-DNA discipline will positively impact turnaround time of DNA cases or have a demonstrated increase in the quality of results obtained from DNA analyses completed after non-DNA analyses. In addition, applications that include equipment purchases to analyze a backlog of cases in a non-DNA discipline should also include a discussion of how federally-funded equipment will be used after the project period has ended and how the equipment will continue to impact the efficiency of DNA analysis.

Applications under Purpose Area 1 may request funds for projects such as the following:

Purchase equipment to be used to increase the capacity of a non-DNA discipline with an overall demonstrable goal of decreasing DNA analysis turnaround time.

Hire additional personnel and/or fund overtime to complete non-DNA analyses on cases with a request for DNA analysis.

Purchase laboratory supplies to complete non-DNA analyses on cases with a request for DNA analysis.

Purchase equipment that will allow non-DNA analyses to be less destructive to biological material and thus provide higher-quality results of DNA analysis when DNA analyses are conducted after all other forensic testing is complete.

Projects requesting assistance only to process evidence in a non-DNA discipline without also requesting assistance for the forensic biology/DNA section of the laboratory must have a strong justification for not including funding requests for the forensic biology/DNA section, including how funding for the non-DNA section will benefit DNA evidence processing and efficiency.

Purpose Area 2: Building and Improving Laboratory Infrastructure

Competition ID: NIJ-2017-12120

Advancing technologies coupled with the increased demand for forensic analysis may often require laboratories to retrofit existing work areas to make room for newer and additional pieces of equipment. Laboratories may be unable to undertake expensive renovations and the minor, often temporary, fixes employed in those situations may negatively impact DNA turnaround time and capacity. Increases in demand for paperless tracking systems may also be difficult for agencies to implement since introducing a new information technology (IT) system can be expensive and time consuming.

The goal of Purpose Area 2 is to allow agencies to be able to incorporate new technologies into their laboratory or expand their operations to allow for the continuing demands for forensic analysis by providing assistance for laboratories to build or improve both physical and IT laboratory infrastructure. Building or improving laboratory infrastructure can include capital improvements8 or the implementation of an information system or technology, with the goal of enhancing capacity or improving the efficiency of the laboratory.

Applications under Purpose Area 2 may request funds for projects such as the following:

Construction or renovation of facilities designed to increase the capacity of the DNA unit, thus improving the turnaround time for DNA analysis and reducing the number of DNA samples awaiting analysis.

Procurement, purchase, and implementation of a Laboratory Information Management System (LIMS), modules for existing LIMS, or other record/case management systems.

Renovation or installation of evidence storage facilities to aid in evidence location and tracking.

Applications submitted Purpose Area 2 are subject to a cash match of at least twenty-five percent (25%). A Purpose Area 2 application that proposes a cash match that exceeds 25% of the total cost of the proposed project may, in appropriate circumstances, be given special consideration in award decisions. See Section B. Federal Award Information for details on cost sharing or matching requirements under this program.

Purpose Area 3: Implementation and Validation of Process Efficiency Projects

Competition ID: NIJ-2017-12121

With law enforcement officers realizing the importance of collecting, preserving, and submitting forensic evidence from both violent and nonviolent crime scenes, there has been a steep increase in submissions of DNA evidence to crime laboratories. Increasing efficiency and enhancing laboratory capacity are critical if laboratories are to meet and eventually exceed the demand for DNA analysis.

Under this purpose area, laboratories may request assistance to conduct process mapping or efficiency studies, implement improvements identified in previous process mapping or efficiency studies. Laboratories may request to implement new equipment, software, or chemistries that will improve laboratory capacity as a result of a process mapping or efficiency study in order to reduce turnaround time, or increase quality of results obtained from forensic analyses. This purpose area is not designed to research potential process improvements, but to identify

8 A capital improvement is generally defined as the addition of a permanent structural change or the restoration of some aspect of a property.

needs through a process mapping or efficiency study and/or to remedy needs previously identified.

Applications submitted under this purpose area must be for specific projects designed to alleviate one or more bottlenecks in forensic processing or analysis. Applications submitted for non-DNA disciplines must demonstrate how implementation of these process improvements will positively impact the efficiency and turnaround time of DNA analysis. Applications submitted under this purpose area must demonstrate that the proposed project is separate and distinct from grants awarded under the DNA CEBR program,9 the Coverdell Program,10 or the R&E for Public Labs Program.11

Projects under this purpose area should be measured by project-specific metrics above and beyond the performance measures listed on page XX. Any application with non-DNA disciplines incorporated should include a list of project-specific metrics specific to that discipline, and how they will demonstrate efficiency improvement and capacity enhancement in the subject non- DNA discipline, if applicable. For example, a project involving firearms examinations may include metrics such as: 1.) Increase in the number of firearms items analyzed; and 2.) Number of evidentiary items put into NIBIN.

Applications under Purpose Area 3 may request funds for projects such as the following:

Creation and implementation of a second or third shift in forensic laboratories.

Contract an outside vendor to conduct a process mapping or efficiency type study, such as a Lean Six Sigma-type efficiency study, of the DNA laboratory. One of the potential benefits from such approaches is highlighted in the following report: Increasing Efficiency of Forensic DNA Casework Using Lean Six Sigma Tools.

Implementation of process efficiency improvements identified through root cause analysis to address backlogs and bottlenecks in the forensic analysis workflow.

Implementation of DNA technology and equipment that will increase capacity and efficiency in the forensic DNA process, including a full validation of equipment that was purchased through other programs such as CEBR or Coverdell.

Implementation of technology and equipment that will increase capacity and efficiency in non-forensic DNA analyses.

9 http://nij.gov/funding/Documents/solicitations/NIJ-2016-9089.pdf.

10 http://nij.gov/funding/Documents/solicitations/NIJ-2016-8974.pdf.

11 http://nij.gov/funding/Documents/solicitations/NIJ-2016-9011.pdf.

https://www.ncjrs.gov/pdffiles1/nij/grants/235190.pdf https://www.ncjrs.gov/pdffiles1/nij/grants/235190.pdf http://nij.gov/funding/Documents/solicitations/NIJ-2016-9089.pdf http://nij.gov/funding/Documents/solicitations/NIJ-2016-8974.pdf http://nij.gov/funding/Documents/solicitations/NIJ-2016-9011.pdf

Purpose Area 4: Special Projects

Competition ID: NIJ-2017-12122

Projects under this purpose area must be specific projects designed to enhance capacity, improve efficiency, improve the quality of DNA results, or improve services provided by the DNA laboratory.

Since 2003, States have been enacting legislation to increase collection of DNA samples of convicted offenders to include arrestees of certain crimes. Thirty states now have now passed legislation expanding DNA databases to include arrestees.12 There is a need to expand the capacity of database laboratories to manage the increased collections as a result of enacted legislation.

Applicants may also implement projects designed to analyze cases that are generally not prioritized as highly as violent crime, such as property crimes, but that have been shown to yield positive results. For example, the DNA Field Experiment funded by NIJ in 2005 showed that suspects in property crimes who were identified using DNA evidence had significantly more serious criminal histories than those identified through traditional property crime investigations.13

Projects under this purpose area should be measured by unique metrics above and beyond the performance measures listed on page XX. The application should include a list of the unique metrics and how they will demonstrate efficiency improvement and capacity enhancement in the non-DNA disciplines, if applicable. Examples would include, but are not limited to 1.) Increase in the number of database samples analyzed; 2.) Number of evidentiary items put into a comparison database such as IAFIS, NIBIN, or CODIS.

Applications under Purpose Area 4 may request funds for projects such as the following:

Implementation of new DNA technologies designed to increase the amount of genetic information obtained from compromised human remains, other compromised items of evidence, or evidence that had previously been tested with inconclusive results or that did not produce a CODIS eligible profile.

Inventory, recording in an electronic tracking system, triage, and analysis of DNA evidence within the crime laboratory.

Identify and remedy gaps in DNA analysis of previously collected evidence that remains unanalyzed or that had been previously tested with inconclusive results and/or did not produce a CODIS eligible profile.

Identify and remedy gaps in the collection of lawfully-owed DNA from convicted offenders and/or arrestees to assist with criminal investigations and prosecutions.

Projects can include activities associated with the identification, collection, and analysis of lawfully-owed DNA samples (i.e., a DNA sample from a qualifying offender or arrestee

12 http://dnaresource.com/documents/RecentlyPassedArresteeLaws2016pdf.pdf.

13 https://www.ncjrs.gov/pdffiles1/nij/224084.pdf http://dnaresource.com/documents/RecentlyPassedArresteeLaws2016pdf.pdf https://www.ncjrs.gov/pdffiles1/nij/224084.pdf who should have their profile in CODIS [based on the type and time of the offense in relation to applicable state law], but from whom a sample has never been collected, analyzed, and uploaded). Michigan demonstrated the importance of lawfully-owed DNA collections in 2011 when they collected 5,000 lawfully-owed samples and subsequently had CODIS matches to 74 crimes, including 5 murders, 23 rapes, and 3 armed robberies.14

Prepare a data basing laboratory as needed to prepare for enactment of expanded DNA database legislation to include arrestee legislation or expansion of crimes eligible for convicted offender collection. Projects may include equipment purchase and implementation, purchase of laboratory supplies to analyze the samples required by the new legislation, or training of personnel to properly collect and process arrestee samples.

Expungement of profiles: If funded, an applicant that proposes to use any grant funds for arrestee DNA sample collection processes must agree to provide to NIJ (within 60 days of award notification) as a condition of receiving access to grant funds, documentation that demonstrates that the applicant has a procedure in place to—

Provide written notification of expungement provisions and instructions for requesting expungement to all persons who submit a DNA profile or DNA data for inclusion in NDIS.

Provide the eligibility criteria for expungement and instructions for requesting expungement on an appropriate public web site.

Make a determination on all expungement requests not later than 90 days after receipt and provide a written response of the determination to the requesting party.

If this information is available for inclusion with the application, applicants are encouraged to include documentation of procedures regarding expungement of profiles, as described above, with the application for funding.

Also, in addition to any requirements under State (or other applicable) law, States must adhere to applicable federal expungement of records requirements for States described in 42 U.S.C. § 14132(d)(2).

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. All DNA analyses conducted and profiles generated under this program must be maintained pursuant to all applicable federal privacy requirements, including those described in 42 U.S.C. § 14132(b)(3).

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."

14 Michigan Department of Corrections DNA Profile Collection Completed.

https://www.gpo.gov/fdsys/pkg/USCODE-2015-title42/pdf/USCODE-2015-title42-chap136-subchapIX-partA-sec14132.pdf https://www.gpo.gov/fdsys/pkg/USCODE-2015-title42/pdf/USCODE-2015-title42-chap136-subchapIX-partA-sec14132.pdf https://www.gpo.gov/fdsys/pkg/USCODE-2015-title42/pdf/USCODE-2015-title42-chap136-subchapIX-partA-sec14132.pdf https://www.gpo.gov/fdsys/pkg/USCODE-2015-title42/pdf/USCODE-2015-title42-chap136-subchapIX-partA-sec14132.pdf http://www.michigan.gov/corrections/0,4551,7-119--264812--,00.html

Evidence-Based Programs or Practices

OJP strongly emphasizes the use of data and evidence in policy making and program development in criminal justice, juvenile justice, and crime victim services. OJP is committed to:

Improving the quantity and quality of evidence OJP generates.

Integrating evidence into program, practice, and policy decisions within OJP and the field.

Improving the translation of evidence into practice.

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. The OJP CrimeSolutions.gov website is one resource that applicants may use to find information about evidence-based programs in criminal justice, juvenile justice, and crime victim services.

B. Federal Award Information

NIJ expects to make awards of up to $750,000, with an estimated total amount awarded of up to $4.8 million. NIJ expects to make awards for a 36-month period of performance, to begin on January 1, 2018.

NIJ may, in certain cases, provide additional funding in future years to awards made under this solicitation, through supplemental awards. In making decisions regarding supplemental awards, OJP will consider, among other factors, the availability of appropriations, OJP’s strategic priorities, and OJP’s assessment of both the management of the award (for example, timeliness and quality of progress reports), and the progress of the work funded under the award.

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 cooperative agreement, which is a type of award that provides for OJP to have substantial involvement in carrying out award activities. See Administrative, National Policy, and Other Legal Requirements, under Section F. Federal Award Administration Information, for a brief discussion of what may constitute substantial federal involvement.

http://www.crimesolutions.gov/

Financial Management and System of Internal Controls

Award recipients and subrecipients (including recipients or subrecipients that are pass-through entities15) must, as described in the Part 200 Uniform Requirements16 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.

(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

(See What an Application Should Include: Budget and Associated Documentation.)

In developing requests for funding under this program, applicants should consider whether, if awarded, funds requested can be timely obligated and expended within required timeframes. All obligations properly incurred by the end of the federal award must be liquidated no later than 90 days after the end date of the award. If your award has been properly obligated, you will have the full liquidation period for remaining expenditures. The liquidation period exists to allow project time to receive ordered goods and make final payments. No new obligations may be made during the liquidation period. Disbursements made by recipients or subrecipients after the

15 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.

16 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://ojpfgm.webfirst.com/ end date but within the liquidation period must have documentation to demonstrate that the obligation occurred before the end date of the award.

This program is not intended as a supplement to awards made under the DNA Capacity Enhancement and Backlog Reduction Formula program in the current or previous fiscal years. All expenses must be used for the proposed project and must agree with the level of effort of the project.

Note: Procurements under awards made under this program are subject to the “Procurement Standards” set forth in 2 C.F.R. 200 (“Subpart D — Post Federal Award Requirements”) — including the provisions relating to competition — and other applicable law.

The Procurement Standards, at 2 C.F.R. §200.317 through §200.326, detail requirements and restrictions imposed on non-federal entities (i.e., recipients and subrecipients) that use federal assistance funds to procure property or services needed to carry out the grant-funded project.

Recipients and subrecipients must conduct all procurement transactions in a manner providing full and open competition consistent with the Procurement Standards. Contractors that develop or draft specifications, requirements, statements of work, and invitations for bids or requests for proposals must be excluded from competing for such procurements.

Sole Source procurement (or, noncompetitive procurement) should be used only when use of competitive solicitation procedures like sealed bids, or competitive proposals is not applicable to the requirements or is impracticable. All Sole Source procurements in excess of the Simplified Acquisition Threshold set in accordance with 41 U.S.C. 1908 (currently set at $150,000) must receive advance authorization from the grant-making agency component to use a non-competitive approach for the procurement before entering into the contract.

What will not be funded:

Applications that are not responsive to the solicitation will not be considered for funding.

This includes:

Applications that do not clearly identify with one of the four (4) allowable purpose areas on page XX.

Applications for assistance in non-DNA disciplines that do not demonstrate how the project would positively impact the turnaround time, capacity, or quality of DNA analysis.

Applications with the sole purpose of analyzing casework samples in non-DNA disciplines without DNA analysis requests that do not provide a justification that includes anticipated benefits for capacity enhancement or turnaround time improvements in the DNA unit.

Applications in the area of digital evidence or digital forensics. Digital evidence includes information stored or transmitted in binary form that may be relied on in court. It is typically found on computer hard drives, mobile phones, personal digital assistants, CDs/DVDs, flash memory equipment and other electronic devices. Digital evidence is commonly associated with electronic crime (e.g., child pornography or https://www.gpo.gov/fdsys/granule/USCODE-2011-title41/USCODE-2011-title41-subtitleI-divsnB-chap19-sec1908/content-detail.html credit card fraud); however, digital evidence can also be used as forensic evidence in other types of crimes.17

Applications under Purpose Area 2 that do not provide sufficient documentation to demonstrate that the minimum 25% match requirement has been met.

Expenses that are not permitted for awards under this program, include the following:

1. Travel costs and conference fees for general attendance at conferences including, but not limited to, the American Academy of Forensic Sciences (AAFS) annual meeting, the International Symposium for Human Identification (ISHI), any regional Association for Forensic Scientists meeting, or Bode conferences. Projects may include costs for travel and training specific to the proposed project only.

2. Direct administrative expenses that exceed three (3) percent of the federal portion of the award.

3. Indirect costs.

4. General office supplies and equipment, including but not limited to, paper, pens, toner, printer cartridges, office/modular furniture, chairs, tables, floor mats, “basic supplies” etc.

5. Maintenance and service contracts for existing laboratory equipment, software, or Laboratory Information Management Systems (LIMS).

6. Work that is funded under another federal award. Recipients and subrecipients are prohibited from commingling funds on either a program-by-program or project-by-project basis.

7. Costs associated with conducting conferences. A conference is a symposium, seminar, workshop, or any other organized and formal meeting, whether conducted face-to-face or via the Internet, where individuals assemble (or meet virtually) to exchange information and views or explore or clarify a defined subject, problem, or area of knowledge, whether or not a published report results from such a meeting. A meeting where a gathering discusses general matters as part of a normal course of doing business is not considered a conference.

8. Costs incurred outside of the project period of performance.

9. Executives, such as the president or executive director of an organization, may not be reimbursed for overtime or compensatory overtime under grants and cooperative agreements.

Program Income

If funded, applicants must declare program income on quarterly and final Federal Financial Reports (SF-425) if your laboratory charges a fee for services.

17 www.nij.gov/topics/forensics/evidence/digital/welcome.htm.

http://www.nij.gov/topics/forensics/evidence/digital/welcome.htm

Program income means gross income earned by the non-federal entity that is directly generated by a supported activity or earned as a result of the federal award during the period of performance. See 2 C.F.R. § 200.80 (definition of “Program Income”). Non-federal entities are encouraged to earn income to defray program costs where appropriate. See 2 C.F.R. § 200.307(a).

Cost Sharing or Match Requirement (Purpose Areas 1, 3, and 4 only)

This solicitation does not require a match for applications under Purpose areas 1, 3, or 4.

However, 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.

Cost Sharing or Match Requirement (cash only) (Purpose Area 2 only)

Federal funds awarded under this solicitation may not cover more than 75% of the total costs of the project being funded under Purpose Area 2. An applicant must identify the source of the minimum 25% non-federal portion18 of the total project costs and how it will use match funds. If a successful applicant’s proposed match exceeds the required match amount, and OJP approves the budget, the total match amount incorporated into the approved budget becomes mandatory and subject to audit. (“Match” funds may be used only for purposes that would be allowable for the federal funds.) Recipients must satisfy this match requirement with cash only.

The formula for calculating match is:

Federal Award Amount = Adjusted (Total) Project Costs

Federal Share Percentage

Required Recipient’s Share Percentage x Adjusted Project Cost = Required Match

Example: 90%/10% match requirement: for a federal award amount of $500,000, calculate match as follows:

$500,000 = $555,555 10% x $555,555 = $55,555 match 90%

Example: 75%/25% match requirement: for a federal award amount of $350,000, calculate match as follows:

$350,000 = $466,667 25% x $466,667 = $116,667 match 75%

Example: 50% match requirement: for a federal award amount of $350,000, calculate match as follows:

18 Indian tribes and tribal organizations that otherwise are eligible for an award may be able to apply certain types of funds received from the federal government (for example, certain funds received under an Indian "self-determination contract") to satisfy all or part of a required "non-federal" match.

http://www.ecfr.gov/cgi-bin/text-idx?SID=cd9fd2cc3cd740ba5b19c97d194473b6&mc=true&node=se2.1.200_180&rgn=div8 http://www.ecfr.gov/cgi-bin/text-idx?SID=cd9fd2cc3cd740ba5b19c97d194473b6&mc=true&node=se2.1.200_1307&rgn=div8 http://www.ecfr.gov/cgi-bin/text-idx?SID=cd9fd2cc3cd740ba5b19c97d194473b6&mc=true&node=se2.1.200_1307&rgn=div8

$350,000 = $700,000 50% x $700,000 = $350,000 match 50%

For additional information cost sharing and match, see the DOJ Grants Financial Guide.

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.19 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 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.

19 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://ojp.gov/financialguide/DOJ/index.htm http://ojp.gov/financialguide/DOJ/index.htm http://www.opm.gov/policy-data-oversight/pay-leave/salaries-wages/salary-tables/17Tables/exec/html/ES.aspx

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 and DOJ 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, as well as 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…