PKG00249704-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 the fiscal year 2019 National Criminal History Improvement Technical Assistance Program (NCHIP TA). This program furthers the Department’s mission to enhance the crime fighting and criminal justice capabilities of state and tribal governments. The NCHIP-TA supports efforts to improve the accuracy, utility, and interstate accessibility of criminal history records. It enhances records of protection orders involving domestic violence and stalking, relevant mental health information, automated fingerprint identification systems, and other state systems supporting national records systems and their use for criminal history background checks.

FY 2019 National Criminal History Improvement Technical Assistance Program (NCHIP TA)

Applications Due: June 3, 2019

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 organization- and community-based experience working with American Indian and Alaska Native communities, including tribal for-profit (commercial) and nonprofit organizations, tribal colleges and universities, and tribal consortia. Experience working with tribal communities applies only to the consortia and not a requirement of the other eligible applicants listed.

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

BJS 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 (subgrantees).1 The applicant must be the entity that would have primary responsibility for carrying out the award, including administering the funding and managing the entire project.

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

1 For additional information on subawards, see “Budget and Associated Documentation” under Section D. Application and Submission Information.

https://www.usdoj.gov/ https://ojp.gov/ https://www.bjs.gov/ https://www.bjs.gov/ https://www.grants.gov/web/grants/register.html

BJS-2019-15725

prior to submitting an application. All applications are due by 11:59 p.m. eastern time on June 3, 2019.

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 per day, 7 days per 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 Devon B. Adams, Chief, Criminal Justice Data Improvement Program, by telephone at 202-307-0765 or by email at askbjs@usdoj.gov. Include “NCHIPTA19” in the subject line.

Grants.gov number assigned to this solicitation: BJS-2019-15725

Release date: April 4, 2019 http://ojp.gov/funding/Apply/Grants-govInfo.htm https://www.grants.gov/web/grants/support.html mailto:support@grants.gov mailto:askbjs@usdoj.gov?subject=NCHIPTA19

Contents A. Program Description

Overview

Program-Specific Information

Goals, Objectives, and Deliverables

B. Federal Award Information

Type of Award

Financial Management and System of Internal Controls

Budget Information

Cost Sharing or 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 2019 National Criminal History Improvement Technical Assistance Program (NCHIP-TA)

(CDFA # 16.554)

A. Program Description

Overview Administered by the Bureau of Justice Statistics (BJS), the continuation of the National Criminal History Improvement Technical Assistance Program (NCHIP TA) will support activities under the National Criminal History Improvement Program (NCHIP) and the National Instant Criminal Background Check System (NICS) Act Record Improvement Program (NARIP) in fiscal year (FY) 2019. The NCHIP was initiated in 1995 and has encompassed evolving efforts to support state activities for the establishment of records systems and the collection and use of criminal history and related records. The NARIP program was implemented in 2009, resulting from the passage of the NICS Improvement Amendments Act of 2007 (P.L. 110-180).

Statutory Authority: BJS is authorized to provide for improvements in the accuracy, quality, timeliness, immediate accessibility, and integration of state criminal history and related records;

support the development and enhancement of national systems of criminal history and related records, including the NICS and relevant records of the National Crime Information Center (NCIC); facilitate state participation in national records and information systems; and support statistical research for critical analysis of the improvement and utilization of criminal history records (34 U.S.C. §§ 10132, 40301).

Program-Specific Information Through this solicitation, BJS seeks a national technical assistance service provider to support the goals and objectives of its NCHIP and NARIP grant programs. Direct technical assistance is provided to states, territories, and tribal jurisdictions to ensure that records systems are developed and managed to conform to FBI standards, ensure jurisdictions are using the most appropriate technologies, and adhere to the highest standards of practice with respect to privacy and confidentiality. This program also routinely collects and evaluates performance measures to assess the level of improvement of state and national records holdings and information sharing and exchanges. BJS has supported the NCHIP TA program since 1995.

To date, all states, the District of Columbia, and five U.S. territories have received funds under the NCHIP. Beginning in FY 2011, federally recognized tribes are also eligible to apply for funds under the NCHIP. Detailed information about the history of the NCHIP and its accomplishments is available at https://bjs.ojp.usdoj.gov/index.cfm?ty=tp&tid=47. The NCHIP and NARIP have provided support to states in the following areas:

• improving disposition reporting and support for courts

• facilitating participation in the FBI’s Next Generation Identification (NGI), Interstate

Identification Index (III)

• improving record automation and fingerprint data

• increasing participation in the NICS

• improving identification and access to domestic violence records/protection orders https://bjs.ojp.usdoj.gov/index.cfm?ty=tp&tid=47

• improving automation, access, and submission of prohibiting mental health information to the NICS Indices.

Issues and Needs to be Addressed

Despite the tremendous progress made toward criminal record improvements, several shortcomings remain:

• According to available state and FBI data, many arrest records are missing case outcome information (i.e. dispositions) in the FBI’s Criminal History File. Missing case disposition information also continues to be a problem for many state record systems. It is vitally important for the courts and prosecutors to improve and increase submissions of records to criminal records systems. Involving these officials at state and local levels is key to helping ensure the timely and accurate transmittal of disposition information, including nonprosecution outcomes, to criminal record repositories.

• Several states and territories are not submitting all available qualifying records to the NICS Indices, including relevant mental health data.

• Some states and territories are not submitting all qualifying records to the NCIC Protection Order File and the Wanted Persons File.

Goals, Objectives, and Deliverables The goals, objectives, and deliverables of this program are described in the sections below.

Statement of Work and Deliverables The recipient of funds will deliver technical assistance and training to state, local, and tribal justice agencies as needed in the development, management, improvement, acquisition, and integration of their automated criminal history and related information systems. The recipient of funds must be able to work effectively with individual justice agencies (such as a state record repository implementing a new computerized criminal history system) and with multidisciplinary groups of justice agencies to assist them in developing and implementing integrated information systems at state, local, and regional/tribal levels.

The recipient of funds must have significant demonstrable expertise in the creation, maintenance, and transmission of criminal history record information to and between repositories at the federal, state, and local levels of government. Specifically, the recipient of funds should have demonstrated knowledge and experience in the following areas:

• state and federal criminal history record repositories

• integration planning and requirements

• the National Information Exchange Model (NIEM), Justice Reference Architecture (JRA), and Web Services

• privacy and information quality policy development and implementation

• the III

• the NICS and criminal history background check processes.

State and Federal Criminal History Record Repositories The NCHIP aims to improve the quality and completeness of criminal history record information to support effective criminal history background checks at the state and federal levels. A crucial aspect of BJS’s national strategy has been to help identify and work toward solving information management problems of state, local, and tribal justice agencies confronted with the need to exchange information with other state, local, or tribal agencies; agencies in other states; or with the federal government. One of the most critical ways justice agencies exchange information is through criminal history record background checks. The recipient of funds must have significant experience working with the federal government and states on legal, policy, and operational aspects of criminal history background checks. The recipient must also have a demonstrable track record of providing effective assistance, guidance, and expertise on various criminal history background check initiatives, including data quality assessments.

Integration Planning and Requirements Criminal history record information improvements directly relate to the effectiveness of state and local information-sharing practices, which frequently depend on multiple independent partners, each with its own mission and capabilities. The partners’ consensus around well understood, clearly documented requirements provides a stable foundation for design, implementation, and deployment of information-sharing solutions. Establishing this consensus is a key step in the planning of any information-sharing initiative. The recipient of funds must be experienced in assessing information exchange requirements and planning, developing, and implementing integrated information-sharing projects.

National Information Exchange Model (NIEM), Justice Reference Architecture (JRA), and Web Services The NCHIP supports states in adopting the NIEM and implementing criminal history record improvement initiatives. The NIEM provides a vocabulary that practitioners use to represent the meaning and structure of the information they share. This vocabulary represents best practices and common understanding across the country, which allows the NIEM to ensure interoperability across jurisdictions, while accelerating the definition of information requirements within a jurisdiction. The recipient of funds must have significant experience working with and promoting the use of the NIEM (and its predecessor, the Global Justice XML Data Model), and they must be well placed to offer practitioners advice on its proper and efficient use.

Using the NIEM involves building Information Exchange Package Documentation (IEPD) for specific exchanges (a process that involves several complex steps and tools). The recipient of funds must have significant experience in developing this process and in assisting jurisdictions in navigating it. The recipient of funds must also be experienced in the utilization of pre-built IEPDs that are already available from the community and specialized NIEM tools such as the Law Enforcement Exchange Specification and have demonstrable experience assisting jurisdictions in applying these off-the-shelf assets where appropriate. The recipient of funds should also have significant experience in utilizing service-oriented architecture for justice information-sharing projects, especially the Global JRA specifications and guidelines.

As justice and public safety practitioners use the NIEM to represent the semantics of their information exchanges, they also must address how they will transport the information between systems to ensure interoperability and conformity with open standards. The Web Services stack of industry standards provides a flexible, comprehensive, and standards-based approach to messaging. The recipient of funds must have experience in delivering technical assistance for web services implementations, particularly any related to justice information-sharing initiatives.

Privacy and Information Quality Policy Development and Implementation A critical component of NCHIP-supported information-sharing systems and strategies is to ensure such efforts include some examination of the policies that address criminal history record information quality and protect the privacy of the information maintained within criminal record systems. The primary objective of a privacy policy is to demonstrate how an agency intends to abide by existing laws and public expectations for handling personally identifiable information (PII). Effective privacy policies should address how a justice entity intends to deal with gaps or vulnerabilities in existing laws that govern PII management. To protect privacy, agencies should adopt sound operational policies and practices that promote information quality. BJS’s NCHIP and NARIP aim to implement guidance and procedures that ensure the quality of the nation’s criminal history records. The recipient of funds must have experience in assisting justice entities in developing and implementing such policies.

Interstate Identification Index (III) The III is a fingerprint-supported “index-pointer” system for the interstate and federal/state exchange of criminal history record information. Through the III system, the FBI provides an index listing the names of individuals on whom it maintains criminal history record information.

An agency seeking information on a specific individual will submit his or her name to the FBI.

The Bureau will match the name against the index and then “point” the information request to the database (either state or federal) where the requested information is maintained. The index contains information on persons arrested for fingerprintable felonies and misdemeanors under state or federal law. It includes identification information (e.g., name, birth date, race, sex), and FBI and state identification numbers from each state that has information about an individual. In many ways, the III provides key technological infrastructure that supports national criminal history background checks. The recipient of funds must have extensive expertise on all operational aspects of the III, including all policies and regulations that govern its use, particularly for noncriminal justice purposes like background checks on persons seeking positions of responsibility involving national security, employment with vulnerable populations, money handling and other activities.

NICS and Criminal History Background Checks The NICS is a computerized system that queries several national databases simultaneously in order to process a name-based background check. The systems include the (1) III, which provides access to more than 75 million criminal history records; (2) NCIC, which includes files of protection orders, convicted sex offenders, and wanted persons; (3) NICS Indices, which includes information relevant to firearm background checks not found in the III or NCIC; and (4) in cases where the prospective transferee is a non-U.S. citizen, databases of the Department of Homeland Security, U.S. Immigration and Customs Enforcement. The NICS is designed to respond to a Federal Firearms Licensee (FFL) instantly with a determination of whether a prospective buyer is prohibited from receiving or possessing a firearm under federal or state law.

FBI personnel are responsible for processing NICS checks generated by most states, but states can elect to serve as a point of contact (POC) for purchases occurring in their states. As a POC, a state-designated law enforcement agency processes NICS checks for the FFLs in that state.

Currently, 13 states serve as POCs for all firearms transactions within those states. An additional seven states serve as partial POCs for background checks for either handgun sales or handgun permits within those states, with the FBI conducting checks on long gun transfers.

The recipient of funds must have significant expertise on all operational aspects of the NICS and be able to provide assistances to state, local, and tribal agencies regarding the types of records that qualify for entry into the NICS and minimum data entry requirements. This expertise is particularly valuable in light of the recent passage of the Fix NICS Act of 2018 (P.L. 115-141;

enacted under Title VI of the Consolidated Appropriations Act of 2018) and new requirements for states to develop NICS Implementation Plans. Several states may require assistance in developing or updating plans that support the ability to measure annual benchmarks of progress in making records available to NICS.

Deliverables

Technical assistance and training provided under this program includes—

• direct on-site visits

• telephone and web services

• regional conferences and workshops

• data collection and publication of criminal history-related surveys and materials.

Direct on-site visits. The successful applicant will provide technical assistance to states, territories, and tribes as needed to help respond to increasing demands at the federal and state level for access to complete, accurate, and timely criminal history record information. Assistance includes efforts to meet the NCHIP goals, comply with record and data provisions as specified in the Fix NICS Act, and participate in NCIC and the NGI initiatives. The successful applicant will provide technical assistance as needed to assist the National Crime Prevention and Privacy Compact Council on III-related issues and to support efforts to increase the number of states participating in the National Fingerprint File.

Telephone and web service. The successful applicant will have the capacity and resources to provide in-house technical assistance via phone and web in response to requests for information about issues related to the collection, maintenance, use, dissemination, quality, and protection of criminal history and related record information.

Regional conferences and workshop. The successful applicant will develop, organize, and implement at least two regional workshops focused on one or more issues of importance to criminal record repositories and other relevant criminal justice agencies that affect the quality and completeness of the nation’s criminal history record information. Workshop topics will derive from an organized effort to solicit input from repository officials and other key stakeholders.

Possible issues include—

• development and successful deployment of NICS implementation plans

• data quality auditing and analysis practices to support repository operations and effective planning for the use of federal record improvement grant programs

• effective outreach and training programs to maintain the accuracy and completeness of criminal history records

• recommended practices for reporting/recording important criminal history events, such as— o arrests on warrants o violations of community supervision, probation, parole, etc.

o cite and release, notifications to appear in court, etc.

• revisiting the utility of the criminal history record and evaluating if the needs of users/consumers are effectively met.

Such work may result in one or more reports to BJS.

Data collection and publication of criminal history-related surveys and materials. The successful applicant will work in collaboration with BJS to collect complete, comprehensive, and relevant data on the number and status of state-maintained criminal history records and on the increasing number of operations and services provided by state repositories. Such collaboration may result in one or more publications or other products to benefit repositories or other stakeholders. Since 1989, a biennial survey of state record repositories has been conducted as part of the NCHIP TA. In collaboration with BJS, the FBI, and state agencies, the successful applicant will continue efforts to analyze progress and improvements of criminal history record data and information systems maintained by state record repositories. The most recent biennial report of state criminal history information systems is available here:

https://www.ncjrs.gov/pdffiles1/bjs/grants/251516.pdf. Data from this survey help BJS and the FBI gauge the efficacy of initiatives designed to improve criminal history records for criminal justice and noncriminal justice purposes.

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.

B. Federal Award Information

BJS expects to make one award of up to $750,000 for an 18-month period of performance. The project period start date may begin as early as July 1, 2019, or as late as January 1, 2020.

Subsequent to the initial 18 months, an 18 month continuation grant may be awarded subject to, among other factors, the availability of funds and satisfactory performance of the grantee.

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, the OJP will consider, among other factors, the availability of appropriations, when the program or project was last completed, OJP’s strategic priorities, and OJP’s assessment of both the management of the award (for example, timeliness and quality of progress reports) and the progress of the work funded under the award.

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

Type of Award 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 entities2) must, as described in the Part 200 Uniform Requirements3 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

2 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 D of this solicitation.

3 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.ncjrs.gov/pdffiles1/bjs/grants/251516.pdf 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 Department of Justice (DOJ) Grants Financial Management Online Training, available at https://onlinegfmt.training.ojp.gov. (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 individuals applying in their 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.

Pre-agreement Costs (also known as Pre-award Costs) Pre-agreement costs are costs incurred by the applicant prior to the start date of the period of performance of the federal award.

OJP does not typically approve pre-agreement costs; an applicant must request and obtain the prior written approval of OJP for all such costs. All such costs incurred prior to award and prior to approval of the costs are incurred at the sole risk of the applicant. (Generally, no applicant should incur project costs before submitting an application requesting federal funding for those costs.) Should there be extenuating circumstances that make it appropriate for OJP to consider approving pre-agreement costs, the applicant may contact the point of contact listed on the title page of this solicitation for the requirements concerning written requests for approval. If approved in advance by OJP, award funds may be used for pre-agreement costs, consistent https://onlinegfmt.training.ojp.gov/ https://ojp.gov/funding/Apply/Resources/FinancialCapability.pdf 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% 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.4 The 2019 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/19Tables/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 nonfederal 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 BJS 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 individuals with their qualifications and expertise, and for the work they would do under the award.

Prior Approval, Planning, and Reporting of Conference/Meeting/Training Costs Before submitting an application, 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 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, and 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

4 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 https://www.ojp.gov/financialguide/doj/PostawardRequirements/chapter3.10a.htm 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.

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,” “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 https://ojp.gov/funding/Explore/LegalOverview/index.htm https://ojp.gov/funding/Explore/LegalOverview/index.htm https://ojp.gov/funding/Explore/LegalOverview/index.htm https://ojp.gov/funding/index.htm 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, current 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 (GAN) 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 subject to Executive Order 12372. An applicant may find the names and addresses of State Single Points of Contact (SPOCs) at the following website: https://www.whitehouse.gov/wp-content/uploads/2017/11/Intergovernmental_-Review-_SPOC_01_2018_OFFM.pdf. If the State appears on the SPOC list, the applicant must contact the State SPOC to find out about, and comply with, the State’s process under E.O. 12372. In completing the SF-424, an applicant whose State appears on the SPOC list is to make the appropriate selection in response to question 19 once the applicant has complied with its State E.O. 12372 process.

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

2. Project Abstract

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

• Written for a general public audience

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

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

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

3. Program Narrative

This should describe the applicant’s detailed plan for delivering the activities described in Statement of Work and Deliverables and address the evaluation criteria. The narrative https://www.archives.gov/federal-register/codification/executive-order/12372.html https://www.archives.gov/federal-register/codification/executive-order/12372.html https://www.whitehouse.gov/wp-content/uploads/2017/11/Intergovernmental_-Review-_SPOC_01_2018_OFFM.pdf https://www.whitehouse.gov/wp-content/uploads/2017/11/Intergovernmental_-Review-_SPOC_01_2018_OFFM.pdf should provide a proposed timeline and budget for project activities. The narrative should clearly demonstrate the applicant’s knowledge and experience administering technical assistance to state and tribal entities and its capabilities to handle a national conference and collection of criminal justice data. The program narrative is limited to 25 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. The program narrative must also address all of the elements included in the solicitation above under the section “Statement of Work and Deliverables.”

The following sections should be included as part of the program narrative5:

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 for an overview of performance measurement activities at

OJP.

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 applicants will be required to submit performance data as part of the reporting requirements under an award.

5 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

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.

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.

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

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) and 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, 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.

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 https://ojp.gov/financialguide/DOJ/index.htm https://ojp.gov/training/training.htm https://ojp.gov/training/pdfs/Subaward-Procure-Toolkit-D.pdf https://ojp.gov/training/pdfs/Subaward-Procure-Toolkit-D.pdf https://ojp.gov/training/pdfs/Subrecipient-Procure-cklist-B.pdf https://ojp.gov/training/pdfs/Sole-Source-FactSheet-C.pdf

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