NIJ-2017-11612.pdf

Notices regarding the solicitation “Paul Coverdell Forensic Science Improvement Grants Program – Competitive”

January 25, 2017: A recorded webinar has been posted. To assist applicants in completing their proposals, NIJ held a webinar related to this solicitation. The recording of the webinar has been posted at https://nij.gov/multimedia/Pages/video-fy17-funding-opportunities-for-publicly-funded-crime-labs-webinar.aspx.

The original solicitation document begins on the next page.

https://nij.gov/multimedia/Pages/video-fy17-funding-opportunities-for-publicly-funded-crime-labs-webinar.aspx https://nij.gov/multimedia/Pages/video-fy17-funding-opportunities-for-publicly-funded-crime-labs-webinar.aspx

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 for competitive funding under the FY 2017 Paul Coverdell Forensic Science Improvement Grants Program. This program furthers the Department’s mission by providing States and units of local government with tools needed to meet the challenges of crime and justice. Specifically, this program seeks to improve the quality and timeliness of forensic science and medical examiner/coroner’s office services, including services provided by laboratories operated by States and/or units of local government.

Paul Coverdell Forensic Science Improvement Grants Program – Competitive

Applications Due: March 10, 2017

Eligibility

Eligible applicants are limited to States (including territories) and units of local government.

State Administering Agencies (SAAs) apply on behalf of States, including any State government entity. For additional eligibility information, see Section C. Eligibility Information.

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 10, 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.

http://www.usdoj.gov/ http://www.ojp.usdoj.gov/ http://www.nij.gov/ http://www.nij.gov/ 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

NIJ-2017-11612

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-2017-11612

Release date: January 10, 2017 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)

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 1. Templates for Coverdell Statutory Certifications

Appendix 2. Template for “External Investigations” Attachment

Paul Coverdell Forensic Science Improvement Grants Program – Competitive

CFDA No. 16.742

A. Program Description

Overview

With this solicitation, NIJ seeks proposals for competitive funding under the Paul Coverdell Forensic Science Improvement Grants Program (the Coverdell program), which awards grants to States and units of local government to help improve the quality and timeliness of forensic science and medical examiner/coroner’s office services. Among other things, funds may be used to eliminate a backlog in the analysis of forensic evidence and to train and employ forensic laboratory personnel and mediocolegal death investigators, as needed, to eliminate such a backlog. Under the Coverdell program, State Administering Agencies (SAAs) may apply for both “base” (formula) and competitive funds. Units of local government may apply for competitive funds. This solicitation is ONLY for the competitive funds.1

Authorizing Legislation: The Coverdell program is authorized by Title I of the Omnibus Crime Control and Safe Streets Act of 1968, Part BB, codified at 42 U.S.C. § 3797j-3797o (the Coverdell law).

IMPORTANT NOTE

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

As of the writing of this solicitation, no full-year appropriation for the Department of Justice or for the Coverdell program for FY 2017 has been enacted. No final decision as to the amount of funds, if any, to be provided under this FY 2017 program should be expected until after a full-year appropriation is enacted.

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

Please refer to “Available Funding” under “Program-Specific Information,” below.

Program-Specific Information

This solicitation seeks applications for funding to improve the quality and timeliness of forensic science and medical examiner/coroner’s office services, including services provided by laboratories operated by States and/or units of local government. Among other things, funds

1 An applicant that seeks to apply for Coverdell “base” (formula) funds (consistent with 42 U.S.C. 3797l(a)(1)) available for grants to eligible States would need to apply under NIJ’s FY 2017 Paul Coverdell Forensic Science Improvement Grants Program (Formula) solicitation.

may be used to eliminate backlogs in the analysis of general forensic evidence, or to train and employ forensic laboratory personnel and medicolegal death investigators to eliminate such backlogs.

Goals, Objectives, and Deliverables

Available Funding

As of the writing of this solicitation, no full-year appropriation has been enacted for the Department of Justice for FY 2017, and thus the amount (if any) that will be made available for the Coverdell program is not known. The figures and calculations reflected in this solicitation (for example, the estimated minimum award to States and the estimated amount of “base” funds, by State) are based on an estimated total amount available of $11,500,000, although the amount ultimately made available could be higher or lower (or even zero).

Applicants are strongly advised to check for updates to the solicitation prior to submitting applications.

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

1. Competitive Funds for States and Units of Local Government

Fifteen (15) percent of the available funds will be allocated among States and units of local government through a competitive process. The average annual number of Part 1 violent crimes reported by each State to the Federal Bureau of Investigation for calendar years 2013, 2014, and 2015; existing resources; and current needs of the potential grant recipient will be considerations in award decisions. For FY 2017, the maximum amount a State or unit of local government may receive in competitive funds is $250,000.

Units of local government that provide forensic science or medical examiner/coroner’s office services (whether through a forensic science laboratory, medical examiner office, or coroner’s office) may apply directly to NIJ for competitive funds. A State may apply through its SAA for competitive funds for forensic sciences improvements above and beyond those it can accomplish with its estimated amount of base funds.

2. Minimum Awards to States

The Coverdell law sets a floor for the total amount an eligible applicant State will receive as its Coverdell grant. If $11,500,000 were to become available for FY 2017, the minimum Coverdell grant to an eligible State would be not less than $115,000.2 In that case, if the amount a State would otherwise receive as its total Coverdell grant (including both base funds and any competitive funds) is less than $115,000, NIJ will increase that State’s total grant to $115,000.

Grant Purposes

A State or unit of local government that receives a Coverdell grant must use the grant for one or more of these six purposes:

2 Minimum awards for America Samoa and the Commonwealth of the Northern Mariana Islands would be lower.

1. To carry out all or a substantial part of a program intended to improve the quality and timeliness of forensic science or medical examiner/coroner’s office services in the State, including those services provided by laboratories operated by the State and those operated by units of local government within the State.

2. To eliminate a backlog in the analysis of forensic science evidence,3 including, among other things, a backlog with respect to firearms examination, latent prints, impression evidence, toxicology, digital evidence, fire evidence, controlled substances, forensic pathology, questioned documents, and trace evidence.

3. To train, assist, and employ forensic laboratory personnel and medicolegal death investigators, as needed to eliminate such a backlog.

4. To address emerging forensic science issues (such as statistics, contextual bias, and uncertainty of measurement) and emerging forensic science technology (such as high throughput automation, statistical software, and new types of instrumentation).

5. To educate and train forensic pathologists.

6. To fund medicolegal death investigation systems to facilitate accreditation of medical examiner and coroner offices and certification of medicolegal death investigators.

Expected Results and Outcomes

The result of Coverdell grants to applicant States should be a demonstrated improvement over current operations in the quality and/or timeliness of forensic science or medical examiner/coroner’s office services provided in the State, including services provided by laboratories operated by the State and services provided by laboratories operated by units of local government within the State. Reduction of forensic analysis backlogs is considered an improvement in timeliness of services. The result of Coverdell grants directly to units of local government should be a demonstrated improvement over current operations in the quality and/or timeliness of forensic science or medical examiner/coroner’s office services provided by the local jurisdiction.

See “Performance Measures” for additional information.

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."

B. Federal Award Information

NIJ expects to make awards of up to $250,000, with an estimated total amount awarded of up to $2,875,000. NIJ expects to make awards for a 12-month period of performance, to begin on January 1, 2018. Applicants should be aware that the total period of an award, including one that receives a period of performance extension, ordinarily will not exceed three years.

3 A backlog in the analysis of forensic science evidence exists if forensic evidence has been stored in a laboratory, medical examiner’s office, coroner’s office, law enforcement storage facility, or medical facility; and has not been subjected to all appropriate forensic testing because of lack of resources or personnel.

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 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 entities4) must, as described in the Part 200 Uniform Requirements5 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 administrative requirements and cost principles, OJP encourages prospective applicants to enroll, at no charge, in the DOJ Grants Financial Management Online Training, available here.

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

5 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/

Budget Information

Permissible Expenses

The types of expenses listed below generally may be paid with Coverdell funds.

Note: The following list details the types of expenses allowed under the Coverdell program.

These expenses should NOT be used as budget categories—instead they are to be incorporated into the appropriate standard OJP budget categories. For more information on OJP’s standard budget format, see the section titled “What an Application Should Include.”

1. Personnel. Funds may be used for forensic science or medical examiner/coroner’s office personnel, overtime, fellowships, visiting scientists, interns, consultants, or temporary staff.

2. Computerization. Funds may be used to upgrade, replace, lease, or purchase computer hardware and software for forensic analyses and data management.

3. Laboratory equipment. Funds may be used to upgrade, lease, or purchase forensic laboratory or medical examiner/coroner’s office equipment and instrumentation.

4. Supplies. Funds may be used to acquire forensic laboratory or medical examiner/coroner’s office supplies.

Note: To help ensure compliance with the National Environmental Policy Act (NEPA) and Department of Justice regulations, Coverdell awardees that intend to use funds for activities involving the use or purchase of chemicals will be required to submit additional information. See Section F. Federal Award Administration Information, later in this solicitation, for a link to OJP webpages containing information about NEPA and other legal requirements.

Recipients may encounter delays in the release of award funds pending satisfactory completion of the NEPA review process for applications involving the use or purchase of chemicals.

5. Accreditation. Funds may be used to prepare for laboratory accreditation by the ASCLD/LAB, FQS, NAME, the American Association for Laboratory Accreditation (A2LA), International Association of Coroners & Medical Examiners (IAC&ME), or other, appropriate, accrediting bodies. Funds also may be used for application and maintenance fees charged by appropriate accrediting bodies. An applicant that proposes to use any portion of the grant amount to fund a forensic science laboratory system that is not accredited (as set out in the Coverdell law) will be required to use (or, as applicable, must require any unaccredited subrecipient forensic science laboratory system to use) a portion of the grant amount for accreditation purposes. Coverdell awardees must use grant funds to prepare and apply for accreditation of any FY 2017 Coverdell grant-funded unaccredited forensic laboratory system not more than two (2) years after the FY 2017 Coverdell award date.

6. Education, training, and certification. Funds may be used for appropriate internal and external training of staff that are involved directly and substantially in providing forensic science or medical examiner/coroner’s office services. In appropriate cases, funds also may be used for fees charged by appropriate certifying bodies for certification of staff in specific forensic discipline areas. All education, training, and certification activities must be designed to improve the quality and/or timeliness of forensic science or medical examiner/coroner’s office services. The grant application should demonstrate that the proposed training or certification is directly related to the job position and duties of the individual(s) receiving the training or seeking certification.

OJP recognizes the benefit of attending discipline-related conferences to receive training and/or education; however, it is recommended that the applicant consider the cost-effectiveness of this option compared to other viable modes of training. For example, hosting on-site training or attending a local program may be more suitable for the applicant’s personnel and organization.

7. Facilities. Funds may be used for program expenses relating to facilities, provided the expenses are directly attributable to improving the quality and/or timeliness of forensic science or medical examiner/coroner’s office services. Funds also may be used for renovation and/or construction undertaken as part of the applicant’s program to improve the quality and/or timeliness of forensic science or medical examiner/coroner’s office services.

Limitations on use of funds for costs of new facility. The Coverdell law limits the amount of funds that may be used for the costs of a new facility or facilities (see 42 U.S.C. § 3797m(c)). Maximum amounts are determined by the total amount of the Coverdell grants received (including both base and competitive funds) and the total amount of funds available for Coverdell grants nationwide. The maximum amounts that may be used for costs of new facilities are as follows. (Estimates and calculations are based on the assumption that the total available funds for Coverdell awards in FY 2017 will be $11,500,000. Please refer to the discussion under “Available Funding.”)

Grants that exceed 0.6 percent of the total available funds. If an applicant State receives total grants that exceed 0.6 percent of the total available funds (estimated here at $69,000), the amount of the grant that can be used for the costs of any new facility cannot exceed the sum of 80 percent of 0.6 percent of the total available funds (such 80 percent estimated here at $55,200) plus 40 percent of the amount of the grant in excess of 0.6 percent of the total available funds.

For example, if $11,500,000 were to become available for Coverdell awards in FY 2017 and a State were to receive a total Coverdell grant of $200,000, no more than $113,120 may be used for the costs of any new facility.

A sample calculation for a $200,000 grant would be as follows:

Eighty percent of 0.6 percent of the total available funds: $69,000 x .80 = $55,200.

Amount in excess of $55,200: $200,000 - $55,200 = $144,800.

Forty percent of amount in excess of $55,200: $144,800 x .40 = $57,920.

Sum of $55,200+ $57,920= $113,120.

Note: To help ensure compliance with NEPA and Department of Justice regulations, Coverdell awardees that intend to use funds for activities involving the renovation or construction of facilities will be required to submit additional information. See Section F.

Federal Award Administration Information, later in this solicitation, for a link to OJP webpages containing information about NEPA and other legal requirements.

Recipients may encounter delays in the release of award funds pending satisfactory completion of the NEPA review process for applications involving construction or renovation.

8. Administrative expenses. Not more than 10 percent of the total amount of a Coverdell grant may be used for a recipient’s administrative expenses.

Expenses That Are Not Permitted

1. Expenses other than those listed above (including expenses for general law enforcement functions or non-forensic investigatory functions).

2. Costs for any new facility that exceed the limits described above.

3. Recipient administrative expenses (direct or indirect) that exceed 10 percent of the total grant amount.

4. The use of funds for the purchase and/or lease of vehicles, such as crime scene vans.

Cost Sharing or Match Requirement

This program does not require a match. 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.

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 grant 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 page two 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.

http://ojp.gov/financialguide/DOJ/index.htm

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

States6 and units of local government may apply for FY 2017 competitive Coverdell funds.

States may be eligible for both “base” (formula) and competitive funds. Units of local government within States may be eligible for competitive funds and may apply directly to NIJ.

This solicitation is ONLY for the competitive funds. Any State application for funding MUST be submitted by the Coverdell SAA (see list of SAAs on the OJP Web site at www.ojp.usdoj.gov/saa/index.htm). (Other interested State agencies or departments must coordinate with their respective SAAs.)

The Coverdell law (at 42 U.S.C. § 3797k) requires that, to request a grant, an applicant for Coverdell funds must submit:

1. A certification and description regarding a plan for forensic science laboratories.

Each applicant must submit a certification that the State or unit of local government has developed a plan for forensic science laboratories under a program intended to improve the quality and timeliness of forensic science or medical examiner services in the State, including such services provided by the laboratories operated by the State and those operated by units of local government within the State. Applicants must also specifically describe the manner in which the grant will be used to carry out that plan.

2. A certification regarding use of generally accepted laboratory practices. Each applicant must submit a certification that any forensic laboratory system, medical

6 For purposes of the Coverdell program, the term “State” means each of the 50 States, the District of Columbia, the Commonwealth of Puerto Rico, the Virgin Islands, American Samoa, Guam, and the Commonwealth of the Northern Mariana Islands. For certain purposes, American Samoa and the Northern Mariana Islands are treated as one State.

http://www.ojp.gov/financialguide/DOJ/PostawardRequirements/chapter3.10a.htm http://ojp.gov/funding/index.htm http://www.ojp.usdoj.gov/saa/index.htm examiner’s office, or coroner’s office in the State, including any laboratory operated by a unit of local government within the State, that will receive any portion of the grant amount (whether directly or through a subgrant) uses generally accepted laboratory practices and procedures established by accrediting organizations or appropriate certifying bodies.

3. A certification regarding forensic science laboratory accreditation. Each applicant must submit a certification that any forensic science laboratory system in the State, including any laboratory operated by a unit of local government within the State, that will receive any portion of the grant amount (whether directly or through a subgrant) either is accredited, or, is not so accredited, but will (or will be required in a legally binding and enforceable writing to) use a portion of the grant amount to prepare and apply for such accreditation not more than two (2) years after the date on which a grant is awarded under the FY 2017 Paul Coverdell Forensic Science Improvement Grants Program.

4. A certification and description regarding costs of new facilities. Each applicant must submit a certification that the amount of the grant used for the costs of any new facility constructed as part of a program to improve the quality and timeliness of forensic science or medical examiner services will not exceed certain limitations set forth in the Coverdell law at 42 U.S.C. § 3797m(c). (See information on “permissible expenses” in the next section of this solicitation.) Applicants must also specifically describe any new facility to be constructed as well as the estimated costs of the facility.

5. A certification regarding external investigations into allegations of serious negligence or misconduct. Each applicant must submit a certification that “a government entity exists and an appropriate process is in place to conduct independent external investigations into allegations of serious negligence or misconduct substantially affecting the integrity of the forensic results committed by employees or contractors of any forensic laboratory system, medical examiner office, coroner’s office, law enforcement storage facility, or medical facility in the State that will receive a portion of the grant amount.”

Applicants are expected to carefully review the requirements of each certification before determining whether the certification properly may be made. Any certification that is submitted must be executed by an official who is both familiar with the requirements of the certification, and authorized to make the certification on behalf of the applicant agency (that is, the agency applying directly to NIJ). Certifications must be submitted using the templates that appear in Appendix 1.

Certifications made on behalf of subrecipients of award funds — rather than certifications made on behalf of the agency applying directly to NIJ — are not acceptable to satisfy the certification requirements and should not be submitted.

In connection with the certification regarding external investigations (described above), applicants must provide, prior to receiving award funds, the name(s) of the existing “government entity” (or government entities). This information is to be provided as an attachment to the program narrative section of the application. See “What an Application Should Include,” and Appendix 2, which includes a template for the attachment.

In connection with the certification regarding forensic science laboratory accreditation (described above), applicants must demonstrate, prior to receiving award funds, that any forensic science laboratory system that will receive any portion of the grant amount either is accredited or will (or will be required to) prepare and apply for accreditation consistent with the Coverdell law. See “What an Application Should Include,” which describes the documentation and information an applicant is to provide regarding its accreditation or its plans to prepare and apply for accreditation.

Please note that funds will not be made available to applicant agencies that fail to provide the necessary information.

Important Note on Referrals in Connection With Allegations of Serious Negligence or Serious Misconduct

The highest standards of integrity in the practice of forensic science are critical to the enhancement of the administration of justice. NIJ assumes that recipients (and subrecipients) of Coverdell funds will make use of the process referenced in their certification as to external investigations and will refer allegations of serious negligence or misconduct substantially affecting the integrity of forensic results to government entities with an appropriate process in place to conduct independent external investigations, such as the government entities identified in the grant application.

For each fiscal year of an award made under this solicitation, recipients will be required to report to NIJ on an annual basis —

1. The number and nature of any such allegations;

2. Information on the referrals of such allegations (e.g., the government entity or entities to which referred, the date of referral);

3. The outcome of such referrals (if known as of the date of the report); and

4. If any such allegations were not referred, the reason(s) for the non-referral.

Payments to recipients (including payments under future awards) may be withheld if the required information is not submitted on a timely basis.

Special Guidance on Certification Regarding External Investigations Into Allegations of Serious Negligence or Misconduct.

The certification regarding external investigations has a number of requirements, each of which must be satisfied before the certification may be made. The official authorized to make the certification on behalf of the applicant agency must carefully review each of the statutory elements and this guidance before determining whether a certification properly may be made.

After reviewing the information and guidance provided here, the official, on behalf of the applicant agency, must determine whether:

A government entity exists.

With an appropriate process in place.

To conduct independent, external investigations.

Into allegations of serious negligence or misconduct.

Substantially affecting the integrity of the forensic results.

Committed by employees or contractors.

Of any forensic laboratory system, medical examiner’s office, coroner’s office, law enforcement storage facility, or medical facility in the State that will receive a portion of the grant amount.

Note: In making this certification, the certifying official is certifying that these requirements are satisfied not only with respect to the applicant itself, but also with respect to each entity that will receive a portion of the grant amount. Certifying officials are advised that:

(1) A false statement in the certification or in the grant application that it supports may be the subject of criminal prosecution, including under 18 U.S.C. § 1001 and 42 U.S.C. §

3795a; and

(2) Office of Justice Programs grants, including certifications provided in connection with such grants, are subject to review by the Office of Justice Programs and/or by the Department of Justice’s Office of the Inspector General.

The following guidance, provided by way of examples for applicants’ review, is designed to illustrate elements of the external investigation certification that the official authorized to make the certification on behalf of the applicant agency must take into account in determining whether the certification properly may be made.

Because it is not possible for NIJ to provide examples relating to every type of government entity with an appropriate process in place to conduct independent, external investigations into allegations of serious negligence or misconduct substantially affecting the integrity of the forensic results committed by employees or contractors, this guidance should not be viewed as all inclusive. In addition, this guidance is not intended to constitute legal advice from NIJ on the question of whether the required certification properly may be made on behalf of the applicant.

Such a determination must be made by an appropriate official based on the statutory requirements of the certification after review of this guidance.

Illustrative Examples:

1. The only government entity that will receive Coverdell award funds is a forensic laboratory that is a unit of a local law enforcement agency (e.g., a police department).

The law enforcement agency has an Internal Affairs Division (IAD) that reports directly to the head of the law enforcement agency (the Police Chief) and the head of the unit of local government (the Mayor/City Commissioner). The IAD has the authority to conduct investigations into allegations of serious negligence or misconduct by laboratory employees and contractors.

Guidance: Execution of the certification might be appropriate under these facts.

Nevertheless, the official authorized to make the certification on behalf of the applicant agency must be satisfied that the IAD at issue has the requisite authority to conduct independent investigations (for example, whether the IAD is completely free from influence or supervision by laboratory management officials) into allegations relating to employees or contractors of the laboratory.

2. A State intends to distribute Coverdell award funds to State and local forensic laboratories and medical examiners’ offices. There is an Office of the Inspector General (OIG) in the State with authority to conduct investigations into allegations of serious negligence or misconduct by employees and contractors of forensic laboratories and medical examiner/coroner’s offices, both at the State and local levels.

Guidance: Execution of the certification might be appropriate under these facts.

Nevertheless, the certifying official must be satisfied that the State IG’s authority in this regard is not circumscribed in such a way that the IG’s ability to conduct independent investigations is limited (for example, through a reporting hierarchy that does not provide for the IG to report directly to the chief executive officer or another equally independent State official or office).

3. A city has applied for a Coverdell award and all funds will go to the city’s forensic laboratory. There is a process in place whereby the city’s District Attorney (DA) may appoint an independent investigator to conduct an investigation into allegations concerning the city’s forensic laboratory. If the DA appoints an independent investigator, the investigator will have authority to investigate allegations of serious negligence or misconduct by both laboratory employees and contractors.

Guidance: Execution of the certification might be appropriate under these facts. In this regard, however, the certifying official must be satisfied that the process at issue (appointment of an independent investigator by the city DA) includes procedures under which allegations involving the laboratory are submitted to or are made known to the DA, and that the DA’s authority and responsibility to appoint an independent investigator to conduct investigations of such allegations is sufficiently delineated in city policies and/or regulations so that the “appropriate process” in place is clearly defined.

4. An applicant agency determines that the forensics laboratory director (or some other individual in the chain of command at the laboratory) has sole responsibility to conduct investigations into allegations of serious negligence or misconduct committed by laboratory employees.

Guidance: Under these circumstances, execution of the certification would not be appropriate because there is no process in place to conduct independent, external investigations into allegations of serious negligence or misconduct committed by laboratory employees and contractors.

5. A State applicant intends to distribute Coverdell award funds to forensic laboratories at both the State and local level. An independent commission established by the Governor has authority to investigate allegations of serious negligence or misconduct by employees, including employees of units of local government within the State.

Guidance: Under these circumstances, the existence of this commission is not itself a sufficient basis for execution of the certification. In this regard, the commission does not have authority to investigate allegations of serious negligence or misconduct by contractors of State and local government forensic laboratories that receive Coverdell funds. (If, however, some other government entity, distinct from the commission, has a process in place to conduct independent external investigations of allegations of serious negligence or misconduct by such contractors, execution of the certification might be appropriate depending on all the facts.)

6. A local forensic laboratory, which is intended to receive a portion of the funds from a Coverdell award to a State, notifies the State applicant that a quality assurance official is responsible for investigating allegations of serious negligence or misconduct by employees and contractors of the local forensic laboratory. The quality assurance official reports to the director of the forensic laboratory.

Guidance: Under these circumstances, execution of the certification would not be appropriate because the quality assurance official reports to the director of the forensic laboratory; therefore, there is no process in place to conduct independent, external investigations of allegations against the forensics laboratory as required to make the certification.

7. An applicant agency (a forensics laboratory) intends to employ a contractor or a nongovernmental organization to conduct investigations into allegations of serious negligence or misconduct committed by laboratory employees.

Guidance: Under these circumstances, execution of the certification would not be appropriate as there is neither a government entity, nor an appropriate process in place to conduct independent, external investigations of allegations against the laboratory, whether alleged to be committed by laboratory employees and/or contractors, because the contractor or nongovernmental entity is employed by and responsible to the forensics laboratory.

8. An applicant agency is accredited by an independent accrediting or certifying organization such as the Commission on Accreditation for Law Enforcement Agencies (CALEA), the American Society of Crime Laboratory Directors / Laboratory Accreditation Board (ASCLD/LAB), the National Association of Medical Examiners (NAME), Forensic Quality Services (FQS), etc.

Guidance: In this situation, execution of the certification would not be appropriate. The fact of accreditation or certification by an outside entity on its own does not demonstrate that the agency has a process in place to investigate allegations of serious negligence or misconduct committed by employees or contractors. There is insufficient information to properly make the required certification in this situation.

For information on cost sharing or match requirements, see Section B. Federal Award 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 application elements as critical: Program Narrative, Budget Detail Worksheet and Budget Narrative, and all five certifications required by the Coverdell law. An applicant may combine the Budget Narrative and the Budget Detail Worksheet in one document. However, if an applicant submits only one 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,” “Résumés”) for all attachments. Also, OJP recommends that applicants include résumé 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, 501C3, etc.) to confirm the legal name, address, and EIN entered into the SF-424.

Applicants should ensure that the legal name is correct and matches on the SF-424, the five required certifications, and the external investigations attachment.

Intergovernmental Review: This solicitation ("funding opportunity") is subject to Executive Order 12372. An applicant may find the names and addresses of State Single Points of Contact (SPOCs) at the following website: www.whitehouse.gov/omb/grants_spoc/. If the State appears on the SPOC list, the applicant must contact the State SPOC to find out about, and comply with, the State’s process under E.O. 12372. In completing the SF-424, an applicant whose State appears on the SPOC list is to make the appropriate selection in response to question 19 once the applicant has complied with its State E.O. 12372 process.

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

(An applicant whose State does not appear on the SPOC list should answer question 19 by selecting the response that the “Program is subject to E.O. 12372 but has not been selected by the State for review.”)

2. Project Abstract

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.

Single-spaced, using a standard 12-point font (Times New Roman) with 1-inch margins.

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

3. Program Narrative

The program narrative must specifically describe the manner in which Coverdell grant funds will be used to carry out the applicant’s plan to improve the quality and/or timeliness of forensic science or medical examiner/coroner’s office services over current operations.

(Reduction of forensic analysis backlogs is considered an improvement in timeliness of services.)

If grant funds are requested for costs of a new facility, the program narrative must specifically describe the new facility to be constructed and the estimated costs of that facility.

If grant funds are requested for accreditation, the program narrative must describe accreditation activities and plans and, as applicable, the projected schedule for preparation for and application for accreditation. Under the Coverdell program, any forensic science laboratory system that is not accredited (as set out in the Coverdell law) and that will receive a portion of the grant amount must use a portion of the grant amount to prepare and apply for accreditation not more than two (2) years after the date of the Coverdell grant award.

State applicants.