oppBJS-2018-13835-cfda16.550-instructions..pdf

OMB No. 1121-0329 Approval Expires 11/30/2020

U.S. Department of Justice Office of Justice Programs Bureau of Justice Statistics

The U.S. Department of Justice (DOJ), Office of Justice Programs (OJP), Bureau of Justice Statistics (BJS), is seeking applications for funding to administer activities under the fiscal year (FY) 2018 State Justice Statistics Program for Statistical Analysis Centers (SJS-SAC) Technical Assistance Program. This program furthers the Department’s mission by supporting the collection, analysis, and dissemination of statistical information on crime and criminal justice at the state and local level.

FY 2018 State Justice Statistics Program for Statistical Analysis Centers

Technical Assistance Program Applications Due: June 15, 2018

Eligibility

Eligible applicants are limited to for-profit (commercial) organizations, nonprofit organizations, faith-based and community organizations, institutions of higher learning, and consortia with demonstrated organizational and community-based experience working with federally recognized Indian tribal governments (as determined by the Secretary of the Interior), including tribal for-profit (commercial) and nonprofit organizations, tribal colleges and universities, and tribal consortia. However, consistent with OJP fiscal requirements, for-profit organizations are not allowed to make a profit as a result of this award or to charge a management fee for the performance of this award.

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

BJS may elect to fund applications submitted under this FY 2018 solicitation in future fiscal years, dependent on, among other considerations, the merit of the applications and on the availability of appropriations.

Deadline

Applicants must register with Grants.gov 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 June 15, 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 https://www.usdoj.gov/ https://ojp.gov/ https://www.bjs.gov/ https://www.bjs.gov/ https://www.grants.gov/web/grants/register.html

BJS-2018-13835

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 BJS 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 Stephanie L. Burroughs, Program Manager, by telephone at 202-307-0765, or by email at askbjs@usdoj.gov. Include SJSSACTA18 in the subject line.

Grants.gov number assigned to this solicitation: BJS-2018-13835

Release date: May 1, 2018 https://ojp.gov/funding/Apply/Grants-govInfo.htm https://www.grants.gov/web/grants/support.html mailto:support@grants.gov mailto:askbjs@usdoj.gov?subject=SJSSACTA18

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

Appendix A: Performance Measures Table

Appendix B: Application Checklist

FY 2018 State Justice Statistics Program for Statistical Analysis Centers

Technical Assistance Program

(CFDA # 16.550)

A. Program Description

Overview The Bureau of Justice Statistics (BJS) announces the Technical Assistance Program, which will support activities under the State Justice Statistics Program for Statistical Analysis Centers (SJS-SAC) in fiscal year (FY) 2018. The SJS-SAC program aims to maintain and enhance each state’s capacity to coordinate statistical activities, conduct research on relevant criminal justice issues, and serve as a liaison to help BJS gather data from state agencies.

Statutory Authority: Under section 302 of the Omnibus Crime Control and Safe Streets Act, BJS is authorized to provide assistance in the development of state and local government justice information systems for the collection, analysis, and dissemination of criminal justice data and statistics and, further, is directed, in carrying out this purpose, to give primary emphasis to the problems of state and local justice systems (34 U.S.C. § § 10131, 10132).

Program-Specific Information BJS seeks a national technical assistance service provider to support the goals and objectives of its SJS-SAC program. The award recipient will provide direct technical assistance and training to Statistical Analysis Centers (SACs), units or agencies at the state government level that use operational, management, and research information from all components of the criminal justice system, to enhance their statistical, research, and organizational capabilities.

The award recipient may either provide the technical assistance or collaborate with an outside expert with relevant experience to perform portions of the work.

The overall goals of this program are to strengthen SAC skills, knowledge, and abilities to collect, analyze, and disseminate statistical data. To date, all states, the District of Columbia, and U.S. territories with SACs that have been established by state legislation or executive order have received funds under the SJS-SAC program. Detailed information about the history of the SJS-SAC program and its accomplishments is available at www.bjs.gov/index.cfm?ty=tp&tid=48. The SJS-SAC program has provided support to SACs in the following areas:

• collecting, analyzing, and publishing criminal justice data

• analyzing data in support of public policy, especially on the themes identified in the

SJS-SAC program announcements

• providing data on program themes for compiling and producing a national report

• maintaining contact with BJS to ensure that information is developed and shared efficiently with BJS, other states, and data users

• informing BJS of the state’s statistical data needs

• providing information and electronic data to the National Archive of Criminal Justice

Data or other designated recipients pursuant to BJS’s request https://www.bjs.gov/index.cfm?ty=tp&tid=48

• establishing and maintaining contacts with state criminal justice agencies, the courts, victims’ organizations, and local governments and their criminal justice agencies

• helping criminal justice agencies define their needs for specific statistical and other information for planning, implementing, and evaluating criminal justice programs.

• maintaining and enhancing each state’s capacity to address criminal justice issues through the SJS-SAC program, which focuses on capacity-building by o carrying out research using incident-based crime data that are compatible with the

National Incident-Based Reporting System (NIBRS) o measuring criminal justice system performance o initiating projects that demonstrably increase access to important statistical data in the state, and by

• supporting special emphasis projects of particular interest to BJS, such as using administrative criminal justice data for research or conducting targeted analyses of the state’s criminal history records.

Goals, Objectives, and Deliverables The recipient of funds selected through this solicitation will deliver technical assistance and training to SACs to enhance their statistical, research, and organizational capabilities; provide technical expertise on types of software or hardware to use for various projects; and help SACs write proposals and reports.

The success of this program is measured by increased —

• collaboration among the SACs

• engagement of SACs with research entities in their state and elsewhere

• ability of SACs to produce analyses and publish and present reports

• sharing of relevant materials among SACs and with BJS.

The recipient of funds must have extensive knowledge of research methodology and statistical analysis techniques and must be familiar with the factors, issues, and processes involved in crime and the criminal justice system, particularly at the state and local levels. Specifically, the recipient of funds should have demonstrated knowledge and experience in the following areas:

• assisting organizations with building statistical capacity and improving the quality of deliverables produced

• providing technical and editorial assistance to SACs

• developing and maintaining a Mutual Assistance Program (described below) for SACs

• maintaining a database of organizational and SAC activities, research projects, and publications

• organizing and operating Institutional Review Boards (IRBs)/protection of human subjects

• publishing materials and disseminating information

• designing and providing skill-building professional seminars/conferences

• providing orientation for new SAC directors.

Enhance the Capacity of SACs SACs are encouraged to participate in the SJS-SAC program in an effort to collect, analyze, and report statistics on crime and justice through programs and policies that affect all levels of government. Many SACs could benefit from greater input and feedback when developing projects for which they will request SJS-SAC program funding and preparing quality applications for such funding. The recipient of funds will review the SACs’ past and current requests for assistance in developing and implementing a plan to build their capacity in the areas that need improvement. BJS may also identify specific areas where SACs may require assistance. The recipient of funds will reach out to SACs that did not submit an application for the SJS-SAC program or did not receive funding in a prior year to determine the reasons, and help them develop a plan for submitting an application for the current year’s program. The recipient of funds will also reach out to states that do not have an active SAC to assess barriers that may prevent them from participating in the SJS-SAC program, and work with those states to determine whether there is another suitable agency that could serve as the SAC.

Technical Assistance SACs may seek support or require technical assistance over the course of an SJS-SAC-funded project. The recipient of funds will survey the SACs to determine the kinds of technical assistance needed (e.g., assistance with research or data collection methods, the use of interagency agreements, or assessing and improving data quality) to ensure the production of high-quality projects and products, and determine the best modes for delivering assistance. In addition, the recipient of funds will convene conference calls of SACs working on similar themes to share information and identify common technical assistance needs. The recipient of funds should facilitate and promote collaboration among the SACs, BJS, and criminal justice experts in statistical matters and activities.

Editorial Review and Assistance At the end of a project period, SACs that received SJS-SAC program funds are required to submit project deliverables to BJS, such as final reports, evaluations, and website enhancements. The recipient of funds will develop a training and technical assistance process to address weaknesses and areas needing improvement for deliverables submitted and provide editorial assistance to SACs as needed. The recipient of funds will also develop and actively promote a peer review process that will allow SACs to obtain feedback on draft publications from other SACs and subject-matter experts.

Provide a Mutual Assistance Program SAC-to-SAC, or mutual assistance, is provided when a SAC has experience or knowledge useful to another SAC. Examples of this include assistance with information system development, data collection, and corrections population forecasting. A Mutual Assistance Program provides travel funds for an expert, often a SAC director, to conduct an onsite visit with the requesting SAC to provide assistance in either the requestor’s state, provider’s state, or another location agreed on by both parties. The recipient of funds must be able to communicate effectively, maintain a sound working relationship with the SACs, and encourage communication between SACs. In addition, the recipient of funds must have a demonstrated track record of providing effective assistance, guidance, and expertise in the areas of research and crime statistics.

Operate an Information Database The recipient of funds will develop and maintain a database of SAC activities, research, and publications, including summaries of SJS-SAC applications by state and by theme. SACs will be required to periodically update the information contained in the database, and provide BJS and the service provider with summaries of BJS-funded projects and products. The recipient of funds may also create and maintain a database of criminal justice researchers and experts who can assist or advise SACs on their activities.

Provide Assistance on Institutional Review Boards (IRB) s/Protection of Human Subjects The federal government requires any grantee conducting research involving human subjects to have its project reviewed and approved by an IRB. The recipient of funds must serve as a resource for the SACs on information about federal regulations regarding human subjects and as a liaison between BJS and the SACs to resolve issues regarding human subjects. In addition, the recipient of funds must help the SACs create their own IRBs and maintain a file of SAC IRB policies as a resource for other SACs and BJS.

Publish Materials and Disseminate Information The recipient of funds will develop and publish a quarterly newsletter to highlight research, evaluation, and statistical studies and reports of relevance to SACs, BJS, and other national organizations and federal agencies. A SAC listserv should be maintained for disseminating information to SACs and allowing communication between SACs. In addition, the recipient of funds will disseminate national and federal newsletters, bulletins, and briefs to the SACs to help keep them informed of pertinent justice issues.

Convene Skill-Building Professional Seminars Webinars, online training, and skill-building professional seminars are tools available to the SACs for training on topics such as statistical and crime analysis, data visualization, evaluation methods, crime geocoding and mapping, “big data” analytics, and prison population forecasting.

Suggestions for topics are solicited from SACs, criminal justice researchers, policy analysts, and practitioners. SAC directors, BJS staff, and outside experts serve as instructors for these webinars and at conferences. The recipient of funds must be experienced in planning seminars, contacting presenters, developing agendas, handling site logistics, and conducting follow-up activities. The recipient of funds may build and maintain an inventory of pertinent training courses and resources that may be available to assist SACs in building statistical experience.

Provide for New SAC Director Orientation New SAC directors will be contacted by the BJS program manager assigned to their state.

Information on BJS resources, including the Grants Management System (GMS), will be provided to the new SAC directors. The recipient of funds must have a system in place that provides an orientation for new SAC directors. The recipient of funds also should provide the SAC director with information and tools to help conduct research, analyze data, and produce publications. The recipient of funds must create or have an established web-based clearinghouse where new SAC directors can view activities, programs, and publications provided by other SACs. New SAC directors will be encouraged to provide information on their activities and update it on an ongoing basis.

Technical Assistance and Training Technical assistance and training provided under this program may include—

• direct onsite visits

• telephone and web services

• webinars and online training tools

• data collection and publication of criminal justice-related surveys and materials

• other activities proposed to meet the goals and objectives of this solicitation.

Direct onsite visits. The successful applicant will have the ability to provide technical assistance to states and territories to improve their use of research and statistical data in policy decisions, including planning for and evaluating the impact of federal funding for criminal justice issues.

The successful applicant will also facilitate the exchange of criminal justice information among SACs for research purposes within the state and between states.

Telephone and web services. The successful applicant will have the capacity and resources to provide in-house technical assistance via phone and the Internet for responding to information requests about issues related to the collection and analysis of data on justice issues that are relevant to the states and the nation.

Webinars and online training tools. The successful applicant will have the ability to develop, organize, and implement web-based trainings to be used in an office setting, including the ability to connect participants with subject matter experts affiliated with specific topic areas. Course offerings proposed should include subjects such as automated systems planning, crime analysis, evaluation research methods, statistics methods, prison and jail population forecasting, crime mapping and analysis, and the integration of criminal justice information systems.

Data collection and publication of criminal justice-related surveys and materials. The successful applicant will collaborate with BJS to share research, definitions, data collection methods, survey materials and techniques, and data analysis procedures among the states—and between the states and the federal government—to improve the availability, quality, and comparability of the data and to reduce the burden on these entities for collecting and disseminating this information.

Other activities. Applicants may propose other activities or projects for achieving the goals, objectives, and deliverables outlined in this solicitation, and that will assist BJS in its efforts to enhance the capabilities of state SACs.

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.

B. Federal Award Information

BJS expects to make up to one award with an estimated total amount awarded of up to $500,000 for a 1-year project period, beginning as early as October 1, 2018 and no later than December 31, 2019. The initial award may be supplemented in subsequent years to provide for a maximum period of performance not to exceed 3 years.

BJS may, in certain cases, provide additional funding in future years to awards made under this solicitation, through continuation awards. In making decisions regarding continuation awards, OJP will consider, among other factors, the availability of appropriations, when the program or project was last competed, OJP’s strategic priorities, and OJP’s assessment of both the management of the award (e.g., timeliness and quality of progress reports), and the progress of the work funded under the award.

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

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

Financial Management and System of Internal Controls Award recipients and subrecipients (including recipients or subrecipients that are pass-through entities1) must, as described in the Part 200 Uniform Requirements2 as set out at 2 C.F.R.

200.303:

1 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.

2 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.

https://www.crimesolutions.gov/

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

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

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

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

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

To help ensure that applicants understand 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

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.

https://ojpfgm.webfirst.com/ https://ojp.gov/funding/Apply/Resources/FinancialCapability.pdf 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 approving pre-agreement costs, the applicant may contact the point of contact listed on page 2 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.3 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. (Nonfederal 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 Director of BJS 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

3 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 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

For eligibility information, see the title page.

For information on cost sharing or matching 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 BJS has designated to be critical, will neither proceed to peer review, nor receive further consideration. For this solicitation, BJS has designated the following application elements as critical: Program Narrative, Budget Detail Worksheet and Budget Narrative, and résumés/curriculum vitae of key personnel. An applicant may combine the Budget Narrative and the Budget Detail Worksheet in one document. However, if an applicant submits only one budget document, it must contain both narrative and detail information

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.

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/index.htm

OJP strongly recommends that applicants use appropriately descriptive file names (e.g., “Program Narrative,” “Budget Detail Worksheet,” “Timelines,” “Memoranda of Understanding,” “Résumés”) 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.

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 Identification Number (EIN) in box 8b exactly as it appears on the prior year award document. An applicant with a current, active award(s) must ensure that its GMS profile is current. If the profile is not current, the applicant should submit a Grant Adjustment Notice updating the information on its GMS profile prior to applying under this solicitation.

A new applicant entity should enter its official legal name in box 8a, its address in box 8d, its EIN in box 8b, and its Data Universal Numbering System (DUNS) number in box 8c of the SF-424. A new applicant entity should attach official legal documents to its application (e.g., articles of incorporation, 501(c)(3) status documentation, organizational letterhead, etc.) to confirm the legal name, address, and EIN entered into the SF-424. OJP will use the System for Award Management (SAM) to confirm the legal name and DUNS number entered in the SF-424; therefore, an applicant should ensure that the information entered in the SF-424 matches its current registration in SAM. See the How to Apply section for more information on SAM and DUNS numbers.

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

2. Project Abstract

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

• Written for a general public audience.

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

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

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

3. Program Narrative

The Statement of the Problem as described in the Program Narrative should detail the applicant’s plan for delivering all of the activities described in Goals, Objectives, and Deliverables. The narrative should also effectively address the selection criteria (page 23).

The narrative should provide a proposed timeline and budget for all project activities. The narrative should clearly demonstrate the applicant’s knowledge and experience administering technical assistance to state and tribal entities and its capabilities for handling a national conference or regional meetings and collecting criminal justice data. The page limit for the program narrative is 30 pages (single-spaced, using a standard 12-point font with 1-inch margins).

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

The following sections should be included as part of the program narrative:4

a. Statement of the Problem

b. Project Design and Implementation

c. Capabilities and Competencies

d. Plan for Collecting the Data Required for this Solicitation’s Performance Measures

OJP will require each successful applicant to submit regular performance data that demonstrate the results of the work carried out under the award (see “General Information about Post-Federal Award Reporting Requirements” in Section F. Federal Award Administration Information). The performance data directly relate to the goals, objectives, and deliverables identified under "Goals, Objectives, and Deliverables" in Section A. Program Description.

Applicants should visit OJP’s performance measurement page at www.ojp.gov/performance to view the specific reporting requirements for this grant program.

Performance measures for this solicitation are listed in Appendix A: Performance Measures Table.

The application should demonstrate the applicant’s understanding of the performance data reporting requirements for this grant program and detail how the applicant will gather the required data should it receive funding.

Please note that applicants are not required to submit performance data with the application. Performance measures information is included as an alert that successful

4 For information on subawards (including the details on proposed subawards that should be included in the application), see “Budget and Associated Documentation” under Section D. Application and Submission Information.

https://www.ojp.gov/performance applicants will be required to submit performance data as part of the reporting requirements under an award.

For the application, applicants should indicate an understanding of these requirements and discuss how they will gather the required data, should they receive funding.

Award recipients will be required to provide relevant performance measurement data as part of the required progress reports that are submitted semiannually in GMS.

Note on Project Evaluations An applicant that proposes to use award funds through this solicitation to conduct project evaluations should be aware that certain project evaluations (such as systematic investigations designed to develop or contribute to generalizable knowledge) may constitute “research” for purposes of applicable DOJ human subjects protection regulations. However, project evaluations that are intended only to generate internal improvements to a program or service, or are conducted only to meet OJP’s performance measure data reporting requirements, likely do not constitute “research.” Each applicant should provide sufficient information for OJP to determine whether the particular project it proposes would either intentionally or unintentionally collect and/or use information in such a way that it meets the DOJ definition of research that appears at 28 C.F.R. Part 46 (“Protection of Human Subjects”).

“Research,” for purposes of human subjects protection for OJP-funded programs, is defined as “a systematic investigation, including research development, testing and evaluation, designed to develop or contribute to generalizable knowledge.” 28 C.F.R. 46.102(d).

For additional information on determining whether a proposed activity would constitute research for purposes of human subjects protection, applicants should consult the decision tree in the “Research and the protection of human subjects” section of the “Requirements related to Research” webpage of the “Overview of Legal Requirements Generally Applicable to OJP Grants and Cooperative Agreements - FY 2018 Awards,” available through the OJP Funding Resource Center at https://ojp.gov/funding/index.htm. Every prospective applicant whose application may propose a research or statistical component also should review the “Data Privacy and Confidentiality Requirements” section on that webpage.

4. Budget and Associated Documentation

The Budget Detail Worksheet and the Budget Narrative are now combined in a single document collectively referred to as the Budget Detail Worksheet. The Budget Detail Worksheet is a user-friendly, fillable, Microsoft Excel-based document designed to calculate totals. Additionally, the Excel workbook contains worksheets for multiple budget years that can be completed as necessary. All applicants should use the Excel version when completing the proposed budget in an application, except in cases where the applicant does not have access to Microsoft Excel or experiences technical difficulties. If an applicant does not have access to Microsoft Excel or experiences technical difficulties with the Excel version, then the applicant should use the 508-compliant accessible Adobe Portable Document Format (PDF) version.

https://ojp.gov/funding/Explore/SolicitationRequirements/EvidenceResearchEvaluationRequirements.htm https://ojp.gov/funding/Explore/SolicitationRequirements/EvidenceResearchEvaluationRequirements.htm https://ojp.gov/funding/Explore/LegalOverview/index.htm

Both versions of the Budget Detail Worksheet can be accessed at https://ojp.gov/funding/Apply/Forms/BudgetDetailWorksheet.htm.

a. Budget Detail Worksheet The Budget Detail Worksheet should provide the detailed computation for each budget line item, listing the total cost of each and showing how it was calculated by the applicant. For example, costs for personnel should show the annual salary rate and the percentage of time devoted to the project for each employee paid with grant funds. The Budget Detail Worksheet should present a complete itemization of all proposed costs.

For questions pertaining to budget and examples of allowable and unallowable costs, see the DOJ Grants Financial Guide at https://ojp.gov/financialguide/DOJ/index.htm.

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

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

The budget narrative should be mathematically sound and correspond clearly with the information and figures provided in the Budget Detail Worksheet. The narrative should explain how the applicant estimated and calculated all costs, and how those costs are necessary to the completion of the proposed project. The narrative may include tables for clarification purposes, but need not be in a spreadsheet format. As with the Budget Detail Worksheet, the budget narrative should describe costs by year.

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

Contracts (if any) Applicants for OJP awards typically may propose to make subawards. Applicants also may propose to enter into procurement contracts under the award.

Whether an action – for federal grants administrative purposes – is a subaward or procurement contract is a critical distinction as significantly different rules apply to subawards and procurement contracts. If a recipient enters into an agreement that is a subaward of an OJP award, specific rules apply – many of which are set by federal statutes and DOJ regulations; others by award conditions. These rules place particular responsibilities on an OJP recipient for any subawards the OJP recipient may make. The rules determine much of what the written subaward agreement itself must require or provide. The rules also determine much of what an OJP recipient must do both before and after it makes a subaward. If a recipient enters into an agreement that is a procurement contract under an OJP award, a substantially different set of federal rules applies.

https://ojp.gov/funding/Apply/Forms/BudgetDetailWorksheet.htm https://ojp.gov/financialguide/DOJ/index.htm

OJP has developed the following guidance documents to help clarify the differences between subawards and procurement contracts under an OJP award and outline the compliance and reporting requirements for each. This information can be accessed online at https://ojp.gov/training/training.htm.

• Subawards under OJP Awards and Procurement Contracts under Awards: A Toolkit for OJP Recipients.

• Checklist to Determine Subrecipient or Contractor Classification.

• Sole Source Justification Fact Sheet and Sole Source Review Checklist.

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

This will be true even if the recipient, for internal or other non-federal purposes, labels or treats its agreement as a procurement, a contract, or a procurement contract. Neither the title nor the structure of an agreement determines whether the agreement – for purposes of federal grants administrative requirements – is a subaward or is instead a procurement contract under an award. The substance of the relationship should be given greater consideration than the form of agreement between the recipient and the outside entity.

1. Information on proposed subawards

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

A particular subaward may be authorized by OJP because the recipient included a sufficiently-detailed description and justification of the proposed subaward in the Program Narrative, Budget Detail Worksheet, and Budget Narrative as approved by OJP.