NIJ-2018-13740.pdf

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

April 9, 2018: The “IMPORTANT NOTE” regarding the availability of funds under Section A.

Program Description has been removed.

An “IMPORTANT NOTE” regarding the allocation of funds available for targeting the challenges the opioid abuse crisis has brought to the forensic science community has been added to “Goals, Objectives, and Deliverables” under Section A. Program Description.

Figures listed under “Available Funding” under Section B. Federal Award Information were revised. A note directing applicants to a note on the use of grant funds for projects to address the challenges posed by the opioid abuse crisis was added to this section.

Figures listed under item 2. “Minimum Awards to States” in “Available Funding” under Section B.

Federal Award Information were revised.

Figures listed under item 7. “Facilities” in “Permissible Expenses” under Section B. Federal Award Information were revised.

A “Note on the use of funds to address issues related to the opioid abuse crisis” was added to “Permissible Expenses” under Section B. Federal Award Information.

A note directing applicants to the note on the use of grant funds for projects to address the challenges posed by the opioid abuse crisis was added to “What an Application Should Include” under Section D. Application and Submission Information.

A note regarding the use of grant funds requesting for projects to address the challenges posed by the opioid abuse crisis was added to item 3. “Program Narrative” under Section D.

Application and Submission Information.

A note regarding the use of grant funds requesting for projects to address the challenges posed by the opioid abuse crisis was added to item 4. “Budget and Associated Documentation” under Section D. Application and Submission Information.

The statement “As mentioned earlier in the solicitation, applications requesting Coverdell funds to specifically target the challenges the opioid abuse crisis has brought to the forensic science community will be given priority consideration in award decisions over applications that do not include such requests.” was added under Section E. Application Review Information.

The item “(Budget should be annotated to delineate opioid-related and non-opioid items)” was added to Appendix 5: Application Checklist

March 21, 2018: The following statement was added under Section C. Eligibility Information:

Note: A prospective recipient of grant funds that is found to have an “unresolved audit finding” from a DOJ Office of the Inspector General audit, as described at 34 U.S.C. § 10263, will be ineligible to receive grant funds during the period specified in that statute. See 34 U.S.C. § 10263(2).

The following statement was added under “Review Process” within Section E. Application Review Information:

OJP will give priority in award decisions to eligible applicants that, during the three fiscal years (FY 2015 – 2017) prior to the submission of an application under this solicitation, did not have an “unresolved audit finding” indicating noncompliance with the award terms or conditions of a DOJ grant program. See 34 U.S.C. § 10263(3). In other words, an applicant without such an “unresolved audit finding” will be given priority consideration over any applicant with such an “unresolved audit finding.”

The following statement was appended to “Eligibility Requirement” under Appendix 5:

Application Checklist:

Applicant must not have an “unresolved audit finding,” as described at 34 U.S.C. § 10263(2).

March 12, 2018: Links directing to "Overview of Legal Requirements Generally Applicable to OJP Grants and Cooperative Agreements - FY 2017 Awards" have been updated to the FY 2018 link throughout this funding opportunity document.

The original solicitation document begins on the next page

U.S. Department of Justice OMB No. 1121-0329 Office of Justice Programs Approval Expires 11/30/2020 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 2018 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: April 30, 2018

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 information on eligibility, see Section C. Eligibility Information.

All recipients and subrecipients (including any for-profit organization) must forgo any profit or management fee.

Deadline

Applicants must register with Grants.gov at https://www.grants.gov/web/grants/register.html prior to submitting an application. All applications are due by 11:59 p.m. eastern time on April 30, 2018.

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, 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.

https://www.usdoj.gov/ https://www.ojp.usdoj.gov/ http://nij.gov/Pages/welcome.aspx http://nij.gov/Pages/welcome.aspx https://www.grants.gov/web/grants/register.html https://ojp.gov/funding/Apply/Grants-govInfo.htm

NIJ-2018-13740

Contact Information

For technical assistance with submitting an application, contact the Grants.gov Customer Support Hotline at 800-518-4726, 606-545-5035, at https://www.grants.gov/web/grants/support.html, or at 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 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; some are included in the appendices of this solicitation.

Grants.gov number assigned to this solicitation: NIJ-2018-13740

Release date: March 7, 2018 https://www.grants.gov/web/grants/support.html mailto:support@grants.gov mailto:grants@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

Program-Specific Information

Goals, Objectives, and Deliverables

Information Regarding Potential Evaluation of Programs and Activities

B. Federal Award Information

Type of Award

Financial Management and System of Internal Controls

Budget Information

Cost Sharing or Matching Requirement

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

Limitation on Use of Award Funds for Employee Compensation; Waiver

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

Costs Associated with Language Assistance (if applicable)

C. Eligibility Information

D. Application and Submission Information

What an Application Should Include

How To Apply

E. Application Review Information

Review Criteria

Review Process

F. Federal Award Administration Information

Federal Award Notices

Administrative, National Policy, and Other Legal Requirements

General Information about Post-Federal Award Reporting Requirements

G. Federal Awarding Agency Contact(s)

H. Other Information

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

Provide Feedback to OJP

Appendix 1: Templates for Coverdell Statutory Certifications

Appendix 2: Template for “External Investigations” Attachment

Appendix 3: Frequently Asked Questions

Appendix 4: Performance Measures Table

Appendix 5: Application Checklist

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 medicolegal death investigators, as needed, to eliminate such a backlog. Under the Coverdell program, State Administering Agencies (SAAs) may apply for both formula and competitive funds. Units of local government may apply for competitive funds. This solicitation is ONLY for the competitive funds.1 For purposes of this solicitation, any State/local government entity performing forensic science services is considered a “forensic science laboratory.”

Statutory Authority: The Coverdell program is authorized by Title I of the Omnibus Crime Control and Safe Streets Act of 1968, Part BB, codified at 34 U.S.C. §§ 10561-10566 (the Coverdell law).

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 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. The Coverdell program may not be used for research; however, applicants may address emerging forensic science issues and technology through implementation of new technologies and processes into public laboratories.

Goals, Objectives, and Deliverables

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:

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, 1 An applicant that seeks to apply for Coverdell formula funds (consistent with 34 U.S.C. § 10563(a)(1)) available for grants to eligible States would need to apply under NIJ’s FY 2018 Paul Coverdell Forensic Science Improvement Grants Program (Formula) solicitation.

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,2 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.

IMPORTANT NOTE

The alarming proliferation of heroin and synthetic opioids like fentanyl have had a crushing effect on many crime laboratories. Synthetic opioids in particular may be more difficult to analyze than traditional opiates, and validating methods for new drugs as they emerge may significantly slow processing of these samples. Medical examiners and forensic pathologists have also been overwhelmed with the volume of autopsies as a result of heroin and synthetic drug-related overdose deaths. To address these issues, NIJ plans to allocate approximately 57% of available funds to specifically target the challenges the opioid abuse crisis has brought to the forensic science community.

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.

2 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.

The Goals, Objectives and Deliverables are directly related to the performance measures that demonstrate the results of the work completed, as discussed in Section D. Application and Submission Information, under Program Narrative.

Information Regarding Potential Evaluation of Programs and Activities

The Department of Justice has prioritized the use of evidence-based programming and deems it critical to continue to build and expand the evidence informing criminal and juvenile justice programs to reach the highest level of rigor possible. Therefore, applicants should note that the Office of Justice Programs may conduct or support an evaluation of the programs and activities funded under this solicitation. Recipients and sub-recipients will be expected to cooperate with program-related assessments or evaluation efforts, including through the collection and provision of information or data requested by OJP (or its designee) for the assessment or evaluation of any activities and/or outcomes of those activities funded under this solicitation.

The information or data requested may be in addition to any other financial or performance data already required under this program.

B. Federal Award Information

NIJ expects to make awards of up to $250,000, with an estimated total amount awarded of up to $4,050,000. NIJ expects to make awards for a 12-month period of performance, to begin on January 1, 2019. Applicants should be aware that the total period of an award, including one that receives a project period extension, ordinarily will not exceed three years.

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

Available Funding

The figures and calculations reflected in this solicitation are based on an estimated total amount available of $27,000,000, although the amount ultimately available could be higher or lower.

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 2014, 2015, and 2016; existing resources; and current needs of the potential grant recipient will be considerations in award decisions. For FY 2018, 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 formula 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 $27,000,000 were available for FY 2018, the minimum Coverdell grant to an eligible State would be not less than $270,000.3 In that case, if the amount a State would otherwise receive as its total Coverdell grant (including both formula funds and any competitive funds) is less than $270,000, NIJ will increase that State’s total grant funding to $270,000.

Type of Award

NIJ expects to make any award under this solicitation 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.

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

4 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.

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.

To help ensure that applicants understand the applicable administrative requirements and cost principles, OJP encourages prospective applicants to enroll, at no charge, in the DOJ Grants Financial Management Online Training, available at https://ojpfgm.webfirst.com/. (This training is required for all OJP award recipients.)

Also, applicants should be aware that OJP collects information from applicants on their financial management and systems of internal controls (among other information) which is used to make award decisions. Under Section D. Application and Submission Information, applicants may access and review a questionnaire – the OJP Financial Management and System of Internal Controls Questionnaire – that OJP requires all applicants (other than an individual applying in his/her personal capacity) to download, complete, and submit as part of the application.

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 https://ojpfgm.webfirst.com/ https://ojp.gov/funding/Apply/Resources/FinancialCapability.pdf maintenance fees charged by appropriate accrediting bodies.6 An applicant that proposes to use any portion of the grant amount to fund a forensic science laboratory system, including any laboratory operated by a unit of local government within the State, 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 2018 Coverdell grant-funded unaccredited forensic laboratory system, including any laboratory operated by a unit of local government within the State, not more than two (2) years after the FY 2018 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 (34 U.S.C. § 10564(c)). Maximum amounts are determined by the total amount of the Coverdell grants received (including both formula 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 2018 will be $27,000,000. 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 $162,000), the amount of the grant that can be used for the costs of any new facility

6 Per 34 U.S.C. § 10562(2), such an accrediting body would be “an accrediting body that is a signatory to an internationally recognized arrangement and that offers accreditation to forensic science conformity assessment bodies using an accreditation standard that is recognized by that internationally recognized arrangement[.]” cannot exceed the sum of 80 percent of 0.6 percent of the total available funds (such 80 percent estimated here at $129,600) plus 40 percent of the amount of the grant in excess of 0.6 percent of the total available funds.

For example, if $27,000,000 were to become available for Coverdell awards in FY 2018 and a State were to receive a total Coverdell grant of $200,000, no more than $157,760 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: $162,000 x .80 = $129,600.

Amount in excess of $129,600: $200,000 - $129,600 = $70,400 Forty percent of amount in excess of $129,600: $70,400 x .40 = $28,160.

Sum of $129,600 + $28,160 = $157,760.

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.

Note on the use of funds to address issues related to the opioid abuse crisis: The application should demonstrate, wherever applicable, how any proposed use of funds would address challenges the opioid abuse crisis has brought to the forensic science community, as described in the “Important Note” under “Grant Purposes” in Section A. Program Description. To facilitate this, an applicant should annotate each line item in the budget as “opioid-related” (addressing the opioid abuse crisis) or “non-opioid related.” Coverdell funds are available for permissible uses that would not address the opioid abuse crisis; however, applications requesting Coverdell funds for projects that address specified opioid abuse crisis-related challenges to the forensic science community will be given priority consideration in award decisions over applications not requesting funds for such projects.

Expenses That Are Not Permitted

1. Funds to conduct research. Applicants may address emerging forensic science issues and technology through implementation of new technologies and processes into public laboratories.

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

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

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

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

Cost Sharing or Matching Requirement

This solicitation 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 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 at https://ojp.gov/financialguide/DOJ/index.htm 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 percent of the maximum annual salary payable to a member of the federal government’s Senior Executive Service (SES) at an agency with a Certified SES Performance Appraisal System for that year.7 The 2018 salary table for SES employees is available on the Office of Personnel Management website at https://www.opm.gov/policy-data-oversight/pay-leave/salaries-wages/salary-tables/18Tables/exec/html/ES.aspx. 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.

7 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.

https://ojp.gov/financialguide/DOJ/index.htm https://www.opm.gov/policy-data-oversight/pay-leave/salaries-wages/salary-tables/18Tables/exec/html/ES.aspx https://www.opm.gov/policy-data-oversight/pay-leave/salaries-wages/salary-tables/18Tables/exec/html/ES.aspx

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.

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 https://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 2018 Awards” in the OJP Funding Resource Center at https://ojp.gov/funding/index.htm.

C. Eligibility Information

States8 and units of local government may apply for FY 2018 competitive Coverdell funds.

States may be eligible for both 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.)

Note: A prospective recipient of grant funds that is found to have an “unresolved audit finding” from a DOJ Office of the Inspector General audit, as described at 34 U.S.C. § 10263, will be

8 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.

https://www.ojp.gov/financialguide/DOJ/PostawardRequirements/chapter3.10a.htm https://ojp.gov/funding/Explore/LegalOverview/index.htm https://ojp.gov/funding/Explore/LegalOverview/index.htm https://ojp.gov/funding/Explore/LegalOverview/index.htm https://ojp.gov/funding/index.htm http://www.ojp.usdoj.gov/saa/index.htm ineligible to receive grant funds during the period specified in that statute. See 34 U.S.C. § 10263(2).

For purposes of this solicitation, any State/local government entity performing forensic science services is considered a “forensic science laboratory”.

The Coverdell law (at 34 U.S.C. § 10562) 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 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 2 years after the date on which a grant is awarded under the FY 2018 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 34 U.S.C. § 10564(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, including any laboratory operated by a unit of local government within the State, 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. Medical examiner’s and coroner’s officers are excluded from coverage (by the Coverdell law) with respect to this requirement for a certification regarding forensic science laboratory system accreditation; therefore, an applicant, in determining whether it may make the “Certification as to Forensic Science Laboratory System Accreditation,” is not called upon to certify as to the accreditation status of, or any requirement to use award funds to prepare and apply for accreditation for, medical examiner’s or coroner’s offices in the State. 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.

The accrediting body must be a signatory to an internationally recognized arrangement and must offer accreditation to forensic science conformity assessment bodies using an accreditation standard that is recognized by that internationally recognized arrangement. The scope of the accreditation must include all discipline(s) for which funds are requested. If the current scope of accreditation does not include the discipline(s) for which funds are requested, the applicant must include funds in its budget and plans in its program narrative to prepare and apply for accreditation in those disciplines.

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 34 U.S.C. § 10272; 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…