NIJ-2018-13742.pdf

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 the Sexual Assault Forensic Evidence-Inventory, Tracking, and Reporting (SAFE-ITR) program. The program will fund States and units of local government to implement an evidence management program to inventory, track, and report untested and unsubmitted sexual assault kits (SAKs). From the time an evidence SAK is collected to the time it leaves the laboratory and the case receives final disposition in court, the status and location of the SAK will be known. This program furthers the Department’s mission to combat violent crime and to improve response and services to America’s crime victims.

FY 2018 Sexual Assault Forensic Evidence-Inventory, Tracking, and Reporting Program (SAFE-ITR)

Applications Due: May 21, 2018

Eligibility

Eligible applicants are States1 and units of local government that collect, store, maintain, and/or send forensic DNA evidence to an existing and accredited crime laboratory that complies with the DNA Quality Assurance Standards and participates in the National DNA Index System (NDIS).2

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).

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

Evidence-based initiatives, such as the NIJ action research projects performed in Detroit and Houston,3 have shown that collaboration and coordinated agency responses between primary stakeholders can aid in communication and overall project success. In addition, NIJ’s National Best Practices for Sexual Assault Kits: A Multidisciplinary Approach states that a collaborative multidisciplinary process is beneficial for the implementation of protocols to effectively and comprehensively respond to sexual assault cases.4

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

however, only one entity may be the applicant. Any others must be proposed as subrecipients

1 For purposes of this announcement, the term “State” means a State of the United States, the District of Columbia, the Commonwealth of Puerto Rico, the United States Virgin Islands, American Samoa, Guam, and the Northern Mariana Islands. 34 U.S.C. § 40701(i).

2 See https://archives.fbi.gov/archives/about-us/lab/forensic-science-communications/fsc/july2000/quality-assurance-standards-for-forensic-dna-testing-laboratories and https://www.nij.gov/topics/law-enforcement/investigations/sexual-assault/Pages/untested-sexual-assault.aspx for more information.

3 http://www.nij.gov/topics/law-enforcement/investigations/sexual-assault/Pages/untested-sexual-assault.aspx.

4 https://www.ncjrs.gov/pdffiles1/nij/250384.pdf.

https://www.usdoj.gov/ https://www.ojp.usdoj.gov/ http://nij.gov/Pages/welcome.aspx https://archives.fbi.gov/archives/about-us/lab/forensic-science-communications/fsc/july2000/quality-assurance-standards-for-forensic-dna-testing-laboratories https://archives.fbi.gov/archives/about-us/lab/forensic-science-communications/fsc/july2000/quality-assurance-standards-for-forensic-dna-testing-laboratories https://www.nij.gov/topics/law-enforcement/investigations/sexual-assault/Pages/untested-sexual-assault.aspx https://www.nij.gov/topics/law-enforcement/investigations/sexual-assault/Pages/untested-sexual-assault.aspx http://www.nij.gov/topics/law-enforcement/investigations/sexual-assault/Pages/untested-sexual-assault.aspx https://www.ncjrs.gov/pdffiles1/nij/250384.pdf

NIJ-2018-13742

(subgrantees).5 The applicant must be the entity that would have primary responsibility for carrying out the award, including administering the funding and managing the entire program. Under this solicitation, only one application by any particular applicant entity will be considered. An entity may, however, be proposed as a subrecipient (subgrantee) in more than one application.

Deadline

Applicants must register with Grants.gov 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 May 21, 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.

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.

Grants.gov number assigned to this solicitation: NIJ-2018-13742

Release date: April 4, 2018

5 For additional information on subawards, see "Budget and Associated Documentation" under Section D. Application and Submission Information.

https://www.grants.gov/web/grants/register.html https://ojp.gov/funding/Apply/Grants-govInfo.htm 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

Evidence-Based Programs or Practices

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

Application Checklist

Appendix 1: Certification Template

FY 2018 Sexual Assault Forensic Evidence- Inventory, Tracking, and Reporting

Program (SAFE-ITR)

CFDA no. 16.741

A. Program Description

Overview

According to the NIJ Special Report, The Road Ahead: Unanalyzed Evidence in Sexual Assault Cases, it is not known how many unanalyzed sexual assault kits (SAKs) there are nationwide.

Evidence from sexual assaults may include weapons, bedding, clothing, and SAKs, which can be used to corroborate that a crime occurred, identify or eliminate a possible perpetrator, and ascertain whether a suspect may have been involved in other crimes. SAKs also contain biological and trace evidence along with other physical evidence collected from a victim. While all evidence from sexual assaults is important, this program focuses on SAKs.

Advances in DNA technology, along with the expansion of the Combined DNA Index System (CODIS), have increased the value of sexual assault evidence to help identify perpetrators and also to enhance investigations. As well, transparency and accountability are critical to ensuring a victim centered approach in responding to sexual assault cases. Gaps have been found not only in agencies’ knowledge of how many SAKs they have in their possession, but also exactly where they are located. For example, across the nation, SAKs are being stored in a number of places such as crime laboratories, police department evidence storage units, hospitals, and clinics.

NIJ’s recently published National Best Practices for Sexual Assault Kits: A Multidisciplinary Approach offers 35 recommendations that focus on sexual assault kit collection and processing;

and on establishing and maintaining government agency accountability with respect to the storage, tracking, and movement of sexual assault kit evidence in the criminal justice system.

Knowing what evidence an agency has and the status of that evidence is vital at the onset of a case, during the case, and when evidence is requested, including during appellate or postconviction processes. National Best Practices for Sexual Assault Kits: A Multidisciplinary Approach recommends that a comprehensive inventory should be conducted to determine the number, status, location, and individual descriptive information (e.g., unique kit identifier, date collected) for all SAKs.6

Additionally, all SAKs that the victim has consented to reporting to law enforcement should be submitted to the laboratory for DNA analysis. Agencies should have an electronic system to track evidence from the time of collection of the SAK, handing over possession of the evidence to law enforcement, forensic laboratory submission and analysis, through disposition/storage or destruction. It is critical that law enforcement agencies be able to track all SAKs in their possession, and should consider implementing electronic records management systems that also incorporate investigative workflows to improve case investigations and communication.7

6 See chapter 3, recommendation 18: https://www.ncjrs.gov/pdffiles1/nij/250384.pdf.

7 See chapter 4, recommendations 20 and 23: https://www.ncjrs.gov/pdffiles1/nij/250384.pdf.

https://www.ncjrs.gov/pdffiles1/nij/233279.pdf https://www.ncjrs.gov/pdffiles1/nij/233279.pdf https://www.ncjrs.gov/pdffiles1/nij/250384.pdf https://www.ncjrs.gov/pdffiles1/nij/250384.pdf

Protocols should also be put into place to ensure the collected SAKs are transported from the collection site to law enforcement custody, and then to the appropriate laboratory for testing in a timely manner, as recommended in the Best Practices guide.8

It is important that the community of practice — from medical facilities, to law enforcement, to laboratories — work together. As such, the Best Practices guide recommends that a collaborative multidisciplinary approach be implemented for sexual assault cases in order to help ensure accountability.9

NIJ seeks applications from eligible States and units of local government that will inventory, track, and report the status of SAKs. As an integral part of these activities, applicants are also expected to identify and prioritize (for testing) SAKs for which prosecution of a perpetrator is soon to be barred by the expiration of an applicable statute(s) of limitations.

Since multiple grant programs for testing evidence related to sexual assault are offered through the Office of Justice Programs (OJP), including the Bureau of Justice Assistance (BJA) and NIJ, funding from the SAFE-ITR program will not be made available for testing evidence.

Nonetheless, in order to facilitate the prioritization of cases (for testing) in which an applicable statute(s) of limitations is soon to expire, applicants are to include in the application detailed plans to clearly identify such potentially time-limited cases in the applicant’s SAK inventory, implement methods and approaches to track such cases, and report on the disposition of any such cases during the period of performance under the award.

Statutory Authority: Department of Justice Appropriations Act, 2018 (Public Law 115-141);

section 3(a) of the Justice for All Reauthorization Act of 2016 (Public Law 114-324).

Program-Specific Information

The SAFE-ITR program will help defray costs associated with the following three tasks, defined for purposes of this program as set out immediately below:

Task 1: Inventory. The term “inventory” refers to a detailed and descriptive list of articles or items (for purposes of this solicitation, SAKs) containing information such as, but not limited to: item identifiers, quantity, and location of the item.

Task 2: Tracking. The term “tracking” refers to the monitoring and accounting of SAKs through the course, or path, of their movement from collection through final disposition.

Task 3: Reporting. The term “reporting” refers to the task of delivering a written report to the appropriate entity within the prescribed time period and with the applicable data provided. See pages 8-9 for reporting requirements.

Funds may be requested for all three tasks, or, if an inventory has already been completed, for Tasks 2 and 3 only. For applicants funded under this program, upon completion of the inventory, whether completed using the federal grant funds from this program or other applicant funding

8 See chapter 3, recommendations 15 and 16: SAKs should be received by the local law enforcement agency from the hospital or clinic as soon as possible, ideally, no later than three (3) business days from the collection of the kit, or as specified by statute. Law enforcement agencies should submit the SAK to the laboratory for analysis as soon as possible, ideally, no later than seven (7) business days from the collection of the SAK, or as specified by statute.

https://www.ncjrs.gov/pdffiles1/nij/250384.pdf.

9 See chapter 1, recommendation 1: https://www.ncjrs.gov/pdffiles1/nij/250384.pdf.

sources, the applicant must submit a certification of inventory completion to NIJ; see below for additional information. Program narratives should address all three of the aforementioned tasks, even if funding is not requested for all tasks. For example, if an inventory has already been completed, the applicant should provide information regarding the results of the inventory.

Applicants may design project plans (or strategies) to include concurrent tasks; however, the inventory task is a priority.

All three tasks are applicable to all SAKs within the possession of an applicant.

Task 1: Inventory of all existing SAKs in the possession of an applicant

Applicants must inventory all existing SAKs in the applicant’s possession. For applicants that will be conducting an inventory, a count of the SAKs in the applicant’s possession must be provided. A recipient (or subrecipient) of a grant under this program must complete this inventory by no later than one (1) year after it receives the grant (or subgrant, in the case of a subrecipient).

As part of conducting its inventory, or for applicants requesting funds to begin at Task 2, as part of the implementation of any tracking system, a recipient (or, as applicable, a subrecipient) under this program will be required to assign a unique numeric or alphanumeric identifier to each sample of sexual assault evidence in its possession. The recipient (or, as applicable, a subrecipient) also must identify the date or dates after which the State or unit of local government would be barred by any applicable statute of limitations from prosecuting a perpetrator in the case to which the sample of sexual assault evidence relates.

If an eligible applicant has completed an inventory of all SAKs in its possession, then the applicant must submit a certification from the applicant jurisdiction’s chief law enforcement officer indicating the inventory is complete and accurate, and how many SAKs are currently (as of the date of the certification) in the applicant’s possession. For an award that includes funds to complete Task 1 (inventory), this certification must be submitted prior to the initiation of any other tasks, as outlined in the application.

Regarding the inventory task, an applicant, in the project plan, should address:

How it will complete an inventory of the SAKs in its possession in the given time frame of 12 months after the grant (or subgrant) is received.

How it will identify, manage, or process — specifically including its prioritization (for testing) of soon-to-be-time-barred cases, as applicable — SAKs in its possession for which a statute(s) of limitations will expire.

The Best Practices guide recommends that law enforcement agencies and crime laboratories partner to use one evidence tracking system (recommendation 13). Applicants should keep this in mind for Task 1 and Task 2. Applicants should also consider recommendations 18 and 19, as well:

Recommendation 18 states: A comprehensive inventory should be conducted to determine the number, status, location, and individual descriptive information (e.g., unique kit identifier, date collected) for all SAKs.

Recommendation 19 states: Law enforcement agencies should perform an annual audit verifying that all SAKs in the property room are present and in their specified location.10

Required certification: A certification is required for this program.

If an applicant is requesting funds for all three tasks under the SAFE-ITR program, a certification must be submitted upon completion of Task 1 (Inventory – as described above).

If the applicant is requesting funding to begin at Task 2 (Tracking — as described above), then an applicant, prior to the award start date, should submit a certification with the application asserting completion of its inventory. Access to award funds may be withheld until NIJ receives a properly executed certification from the applicant (see Appendix 1 page 41).

The certification must be signed by the applicant jurisdiction’s chief law enforcement officer.

Task 2: Track movement of SAKs for a period not less than 12 months

For 12 months or more after the certification date of a completed inventory under this program, an applicant must track SAKs from the time the applicant takes possession of the SAK through final disposition of the case. Project plans should be designed to allow Task 2 (tracking) and Task 3 (reporting) activities to occur concurrently.

Applicants should consider recommendations 16 and 17 of the Best Practices guide:

Recommendation 16 states: Law enforcement agencies should submit the SAK to the laboratory for analysis as soon as possible, ideally, no later than seven (7) business days from the collection of the SAK, or as specified by statute.

Recommendation 17 states: Law enforcement or laboratories should be responsible for the long-term storage of all SAKs, unless applicable law provides otherwise.11

Tracking requirements:

The chief law enforcement officer of the applicant State, or unit of local government must be the identified individual accountable for compliance and reporting within the applicant jurisdiction.

o The chief law enforcement officer can appoint a designee as long as the designee is not an employee of any governmental laboratory or vendor laboratory.

If funded, the applicant must track SAKs in accordance with the following requirements:

For each sample of sexual assault evidence in its possession, a unique numeric or alphanumeric identifier must be assigned.

10 https://www.ncjrs.gov/pdffiles1/nij/250384.pdf.

11 https://www.ncjrs.gov/pdffiles1/nij/250384.pdf.

The applicant must identify the date(s) after which the State or unit of local government would be barred by an applicable statute(s) of limitations from prosecuting a perpetrator in the case to which the sample of sexual assault evidence relates.

For SAKs not in the possession of the applicant at the initiation of the program, by not later than 60 days after receiving possession, the applicant must incorporate the SAK into the inventory, track it consistent with its required tracking protocol, and incorporate any associated SAK data into the required metrics listed under Task 3.

Task 3: Reporting the tracking results

Reporting requirements include reports to NIJ, as well as posting of required metrics, every 60 days on an applicant’s website. An applicant must report to NIJ during the 12-month period in which it tracks SAKs in its possession (see Task 2: Tracking). All 60-day reports captured by an applicant must be included in the semi-annual progress reports submitted to NIJ.

In addition to posting required metrics (as detailed further below) on the applicant’s website, the applicant must provide to NIJ its 60-day report data in an electronic format — contemporaneously with the recipient’s publication of such data on the applicant’s own website.12 NIJ will use such data to update a DOJ website that publishes 60-day report information from all SAFE-ITR grantees.

Every 60 days the applicant must post the following metrics (listed below) to an appropriate website hosted by the applicant and open to the public. Data must include:

a. The name of the State or unit of local government filing the report.

b. The period of dates covered by the report.

c. The cumulative total number of samples of sexual assault evidence that, at the end of the reporting period:

i. are in the possession of the State or unit of local government;

ii. are awaiting testing; and

iii. the State or unit of local government has determined should undergo DNA or other appropriate forensic analyses.

d. The cumulative total number of samples of sexual assault evidence in the possession of the State or unit of local government that, at the end of the reporting period, the State or unit of local government has determined should not undergo DNA or other appropriate forensic analyses (regarding which the State or unit of local government may elect to explain its reasoning for the determination in some or all cases).

12 A State or unit of local government may elect to, at its discretion, report the data specified under Task 3 on a more frequent basis than the 60-day intervals set out under this program. If a State or unit or local government so elects to submit more frequent reports, the recipient must provide NIJ advance written notice of its intention. The written notice should specify the reduced reporting interval the recipient is electing to maintain throughout the required 12-month reporting period.

e. The cumulative total number of samples of sexual assault evidence (of the cumulative total number provided as consistent with item c., above) that have been submitted to a laboratory for DNA or other appropriate forensic analyses.

f. The cumulative total number of samples of sexual assault evidence for which DNA or other appropriate forensic analysis has been completed at the end of the reporting period.

g. The total number of samples of sexual assault evidence identified by the State or unit of local government since the previous reporting period.

h. The cumulative total number of samples of sexual assault evidence (of the cumulative total number provided as consistent with item c., above) for which the State or unit of local government will be barred within 12 months by any applicable statute of limitations from prosecuting a perpetrator of the sexual assault to which the sample relates.

Exceptions from reporting

Reporting is not required for SAKs that:

Are not considered criminal evidence, such as a SAK collected anonymously from a victim who is unwilling to make a criminal complaint; or

Relate to a sexual assault for which the prosecution of each perpetrator is barred by a statute of limitations.

Publication of reports on applicant-hosted website

Reports submitted during the tracking and reporting tasks of this program must be published and disseminated on a website hosted by the applicant and open to the public. Such reports submitted or published under this program must not include personally-identifiable information (PII) or any details about a sexual assault that might lead to the identification of the individuals involved.

Personally-identifiable information is defined as: "information which either—(1) Is labelled by name or other personal identifiers, or (2) Can, by virtue of sample size or other factors, be reasonably interpreted as referring to a particular private person." 28 C.F.R. § 22.2(e).13

Definitions for this solicitation

Sexual Assault Kit (SAK): A package of materials used to collect samples (evidence) from the victim’s or suspect’s body by a medical professional, often a medical-forensic examiner, such as a Sexual Assault Nurse Examiner (SANE). The type of evidence collected depends on what occurred during the assault.

Unsubmitted SAK: A SAK in the possession of a law enforcement agency that has not been submitted to a forensic laboratory for analysis. This includes SAKs that will undergo testing, but have not yet been sent to the laboratory, SAKs that are being stored in a laboratory but for

13 Also see definitions of “personally identifiable information (PII)” and “protected personally identifiable information (protected PII)” in the Part 200 Uniform Requirements at 2 C.F.R. § 200.79 and 2 C.F.R. § 200.82.

which a request for analysis has not been made, SAKs for which a request for analysis will not be made, and SAKs for which the decision on whether to test has not been made.

Untested SAKs: SAKs that are in the possession of a State or local government forensic laboratory for analysis, but DNA analyses have not been performed on the kit samples.

Possession: With respect to SAKs, possession by a State or unit of local government includes the storage, control, or custody by an agency (or individual who is acting as an agent) of the State or unit of local government.

Final Disposition: With respect to a criminal case or investigation in which a SAK relates, the term final disposition refers to the conviction or acquittal of all suspected perpetrators of the crime; a determination by the State or unit of local government in possession of the SAK that the case is unfounded; or a declaration by the victim of the crime that the act constituting the basis of the crime was not committed.

DNA Analyses Conducted Over the Course of the Project

Expenses associated with DNA testing are not permissible under this program. See the “Budget Information” section under Section B. Federal Award Information for details on expenses that may be funded under this program.

With respect to any DNA analyses that may be conducted over the course of the project, NIJ encourages applicants to give strong consideration to the following:

NIJ suggests that all DNA analyses conducted during the tracking and reporting tasks of this program be performed by a laboratory (government-owned or fee-for-service) that is accredited and currently undergoes external audits not less than once every two (2) years. These audits must demonstrate that the laboratory maintains compliance with the DNA Quality Assurance Standards established by the Director of the Federal Bureau of Investigation.

NIJ also suggests that no profiles generated during the tracking portion of this program be entered into any non-governmental DNA database. All DNA analyses conducted and profiles generated during the tracking portion of this program must be maintained pursuant to all applicable federal privacy requirements, including those described in 34 U.S.C. § 12592(b)(3).

Goals, Objectives, and Deliverables

The goal of NIJ's SAFE-ITR program is to establish and maintain accountability for participants in the criminal justice system as it relates to sexual assaults and sexual assault evidence collection and analysis.

The objectives include:

To gain an understanding of the number of SAKs that remain in possession of law enforcement agencies.

To understand the movement of SAKs through the criminal justice system.

Establishing and maintaining accountability for law enforcement and laboratories will help ensure that evidence is promptly submitted to and analyzed by an accredited laboratory. Once analyzed, sexual assault evidence can provide investigative leads to the law enforcement agency, allowing the perpetrator to be apprehended before more crimes are committed.

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.

Evidence-Based Programs or Practices

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

Improving the quantity and quality of evidence OJP generates;

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

Improving the translation of evidence into practice.

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

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

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

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.

https://www.crimesolutions.gov/

B. Federal Award Information

NIJ expects to make awards of up to $1,000,000 with an estimated total amount of up to $5,500,000. NIJ expects to make awards for a period of performance of up to 36 months, to begin on January 1, 2019.

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 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 entities14) must, as described in the Part 200 Uniform Requirements15 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.

14 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.

Additional information on proposed subawards is listed under What an Application Should Include, Section 4c of this solicitation.

15 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 uses of funds provided under this program may include:

1. Salary and benefits of additional employees

Funds may be used to hire additional full-time or part-time employees for the applicant or proposed subrecipient(s) to directly inventory, track and/or report on the SAKs as a part of this project. Funds may also be used to hire additional full-time or part-time employees for the applicant or subrecipient(s) to implement information technology solutions for the inventory, tracking, and reporting of the status of SAKs through the criminal justice process. Applicants should demonstrate that additional full-time/part-time employee(s) would be directly engaged in these activities. Supplanting is not permitted.

2. Overtime for existing employees

Funds may be used to pay overtime to existing employees of the applicant or proposed subrecipient(s) to directly inventory, track and/or report on the SAKs as a part of this project. Funds may also be used to pay overtime to existing employees of the applicant or subrecipient(s) to implement information technology solutions for the inventory, tracking, and reporting of the status of SAKs through the criminal justice process of the applicant jurisdiction (or, subrecipient(s) jurisdiction(s), as applicable). Any payments for overtime must be in accordance with the applicable provisions of the Financial Guide, available at http://ojp.gov/financialguide/DOJ/index.htm.

3. Purchase of Automated Information Technology (AIT) systems

Funds may be used to purchase and implement an AIT system for the applicant to aid it in conducting inventory, tracking, and reporting activities for SAKs as they progress through the criminal justice system. It is critical that an applicant jurisdiction be able to adequately account for and track sexual assault evidence. The system may include the software, hardware, accessories (e.g., barcode readers), supplies (e.g., barcode labels for barcode printers), and warranties or service contracts for systems purchased with funding from an award made under this program.

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4. Travel (limited)

Funds may be requested for reasonable and justified travel for purposes including, but not limited to:

Inventorying SAKs that may be in multiple facilities owned or operated by the applicant and its subrecipient(s).

Meetings with agencies that have implemented SAK inventories, procedures for SAK tracking and testing, and AIT systems for the purpose of gaining insight to the applicant’s own plan for SAK inventory and tracking.

Professional meetings with workshops dedicated to SAK issues in the law enforcement and criminal justice communities.

Professional meetings where the applicant will disseminate findings from this project.

Funds used for travel are limited to no more than 3 percent of the total award. Travel expenses must be reasonable and must comply with the applicable provisions of the DOJ Financial Guide and any applicable special conditions on the award. Justifications for the number of staff traveling and the benefit of their attendance at the event must be included.

5. Direct administrative expenses

Up to 5 percent of the federal portion of an award under this program may be used for direct administrative expenses specifically related to grant administration and management.

6. Website hosting and maintenance

Any expenses, within the grant period, specifically associated with the hosting and maintenance of an applicant’s webpage for the purposes of reporting program required metrics.

7. Contracts

Funds may be used to enter into a contract with an outside entity to conduct an inventory of the SAKs in possession of the applicant. The outside entity must NOT be a non-governmental vendor laboratory.

Expenses That Are Not Permitted

Federal funds awarded under this program may not be used for:

1. Construction and renovations.

2. Travel, other than authorized travel expenses as discussed in permissible uses of funds, number 4.

3. Direct administrative expenses that exceed 5 percent of the federal portion of the award.

4. Laboratory equipment for forensic biology and DNA testing.

5. Supplies for forensic biology and DNA testing.

6. Establishing contracts to send SAKs to fee-for-service forensic biology and DNA testing laboratory.

7. Establishing a contract or agreement with a non-governmental vendor laboratory to conduct an inventory (or “audit”) of SAKs awaiting testing.

8. Personnel expenses for forensic biology and DNA testing.

9. Salaries and benefits for existing employees, other than discussed in permissible uses of funds, numbers 1 and 2.

10. Vehicles and related expenses.

11. Cell phones and cell phone plans.

12. Rental costs for space.

13. Office furnishings and general office supplies such as paper, pens, printer cartridges, etc.

14. General enhancement of capabilities of applicant not directly related to one of the three inventory, tracking, or reporting tasks outlined in this solicitation.

15. Work that is funded under another federal award.

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.

For additional information on cost sharing and match, see the DOJ Grants Financial Guide at https://ojp.gov/financialguide/DOJ/PostawardRequirements/chapter3.3b.htm.

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 https://ojp.gov/financialguide/DOJ/PostawardRequirements/chapter3.3b.htm 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.16 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.

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.

16 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.

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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

For eligibility information, see title page.

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.

NOTE: OJP has combined the Budget Detail Worksheet and Budget Narrative in a single document collectively referred to as the Budget Detail Worksheet. See “Budget Information and Associated Documentation” below for more information about the Budget Detail Worksheet and where it can be accessed.

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

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

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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. On the SF-424, current OJP award recipients, when completing the field for “Legal Name” (box 8a), 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.) Also, these recipients should enter the Employer…