Operation Drug TEST Solicitation                .
Series: NIJ Solicitation
Published: January
22 pages
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Operation Drug TEST Solicitation

I. Introduction

The National Institute of Justice seeks applicants
to conduct research on drug testing of Federal
arrestees. This solicitation is issued in support
of Operation Drug TEST (Testing, Effective
Sanctions and Treatment), a cooperative testing
and intervention program operated by the
Administrative Office of the US Courts, and
supported by the Department of Justice.

Applications under this special solicitation must
be submitted by February 20, 1997.

Individuals and organizations intending to apply
will be sent supplementary materials that describe
Operation Drug TEST in greater detail. These
materials will be available after January 14,
1997.

II. Background 

Operation Drug TEST was developed as part of a
Presidential mandate to reduce illicit drug use
among individuals under criminal justice
supervision. Operation Drug TEST was developed as
a plan for reducing the consequences of crime and
drug abuse, and is based on three key assumptions.

o drug testing can reliably and inexpensively
identify defendants who abuse drugs;

o test results can in turn be combined with
graduated sanctions and treatment, particularly
when such measures are administered under court
and criminal justice agency supervision;

o sanctions and treatment can in turn deter drug
abuse, thereby reducing the social costs of drug
abuse.

Operation Drug TEST will develop in the Federal
judicial districts a systemic approach to end drug
abuse among defendants in the criminal justice
system. Under such an approach, defendants are
tested for drugs as soon as possible after their
arrest, regardless of the offense for which they
were arrested and judges use test results in
making pretrial detention determinations and in
setting conditions of release that may include
continued testing, sanctions and treatment for
defendants released into the community. In short,
Operation Drug TEST proposes using the lever of
criminal justice supervision to break the cycle of
drug abuse and crime among Federal arrestees.

To develop a policy that takes into account
variations in practices, Operation Drug TEST will
initially be carried out in approximately 25
urban, suburban, and rural districts that vary in
terms of drug testing methodology, sanctions and
treatment programs, and drug abuse problems in the
community. It is anticipated that TEST operations
in these districts will not only provide models
for future drug testing programs in the remaining
federal districts but in state and local
jurisdictions as well. A list of the confirmed
sites appears later in this document.

The districts will follow one of two models --
both of which mark a significant change in
practice for most Federal pretrial services
offices. In the first model, pretrial services
officers will provide for drug testing of
defendants before their first appearance in court.
In the second, defendants will be tested
immediately after that appearance but prior to
their release into the community.

III. Areas of Research Required

The purpose of this Operation Drug TEST
solicitation is to develop proposals for
conducting both implementation and impact
evaluations. A single grant will be awarded, and
thus applications must address both types of
evaluation.

Process and Implementation Evaluation 

This evaluation will document and assess the
degree of program implementation in a sample of
the sites. Many important indicators are simple
descriptors of daily business such as the numbers
of arrestees tested, demographic and criminal
characteristics, results of release hearings,
numbers tested after release into the community,
and outcomes of positive test results. Other
process measures include the number of test
refusals and consequences of refusals; impact of
test results on bail decisions; impact of positive
test while on release on bond revocations;
sanctions imposed for continued positive tests;
referrals to treatment and other services; and
utilization of treatment and other services. These
measures will isolate system bottlenecks, resource
shortages, and signal whether offenders are
complying with program objectives. These basic
statistical measures will also provide some basis
for program refinements. 

It is anticipated that the program will begin
operation before the evaluator is selected.
Applicants should carefully describe a methodology
for retrospective gathering of data from the early
phases of operations.  In addition, applicants are
expected to develop a justification for sampling
or selecting from the enclosed list of
participating Federal districts. Applicants are
reminded that the process evaluation described
here and the impact evaluation described below
cannot exceed the budgetary allotment described
later in the document. 

Impact evaluation

The impact evaluation will assess how, and to what
extent, the program affected both the offenders
and the Federal criminal justice adjudication
process. Because relatively few Federal defendants
in any single district are given probationary
sentences, the impact analysis will likely need to
focus on the program's impact on pre-trial release
behaviors. While a multi-site study of Operation
Drug TEST's impact on individual behavior and on
Federal prosecution, courts, and corrections is
preferable, and may increase the number of
probationers and individuals on pre-trial release
available for the impact analysis, applicants are
reminded that the two components, process and
impact analysis, combined should not exceed the
maximum award amount. Applicants are expected to
explicate a methodology for selecting from among
sites selected for the process analysis, although
the specific site at which the impact analysis
will be executed need not be identified. 

Both offender and system outcomes will be
assessed. Offender effects to be measured include
individuals' compliance with system regulations,
drug use, offending patterns, employment and
family stability, and educational and training
attainment. System effects to be measured include
changes in pretrial detention and post-conviction
incarceration rates; changes in system processing
rates, including time to disposition and plea
bargains; changes in aggregate indicators such as
positive urine tests, pretrial arrest, failure-to-
appear rates and post-release from supervision
rearrest; and changes in adjudication costs.

Additional Research Considerations

Applicants should also specify the type of
research and evaluation presence they anticipate
they will maintain, if any, at the impact
evaluation site and the process evaluation sites. 

Applicants should note that NIJ will expedite the
review and selection process since Operation Drug
TEST sites will already be in operation.
Accordingly, applicants should assume that the
evaluator selected will be expected to commence
work within 60 days of the application deadline. 

NIJ anticipates that additional sites may be added
to the evaluation. Accordingly, applicants should
briefly discuss factors, including fixed and
variable costs and institutional capabilities,
that would need to be addressed as part of a
multi-site evaluation. The discussion of multi-
site issues should be submitted on a separate page
and will not be counted against the page limit. 

Participating sites

The following sites are confirmed participants in
Operation Drug TEST:

o Middle District of Alabama

o District of Columbia

o District of Connecticut

o Northern District of Georgia

o Northern District of Illinois

o Northern District of Indiana

o Northern District of Iowa

o Eastern District of Louisiana

o Western District of Michigan

o Southern District of Mississippi

o Western District of Missouri

o District of Nebraska

o District of New Jersey

o District of New Hampshire

o District of New Mexico

o Northern District of Ohio

o Eastern District of Pennsylvania

o District of Puerto Rico

o Middle District of North Carolina

o Eastern District of Tennessee

o District of Utah

o Western District of Virginia

IV. How to Apply 

This section presents information about how to
apply, recommendations to proposal writers, and
requirements for grant recipients. Proposals not
conforming to these application procedures will
not be considered. 

The application form and related forms are
appended at the end of this solicitation. These
forms are as follows:


o Standard Form (SF) 424 (Application for Federal
Assistance) and instructions 

o Budget Detail Worksheet (OJP form 7150/1)

o Instructions (for the Program Narrative)

o "Assurances" (OJP Form 4000/3)

o "Certifications...." (OJP Form 4061/6)

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Letter of Intent

NIJ is trying to streamline its process to
accommodate the volume of proposals anticipated
under this and other solicitations. Researchers
can help in a significant way by sending NIJ a
non-binding letter of intent by February 7, 1997.
The Institute will use these letters to forecast
the numbers of peer panels it needs and to
identify conflicts of interest among potential
reviewers. Please send a letter of intent (clearly
marked) to the address for applications or send E-
mail to rileyj@ojp.usdoj.gov.

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Due date. Completed proposals must be received at
the National Institute of Justice by the close of
business on February 20, 1997. Extensions of this
deadline will not be permitted.

Number of copies. Send ten (10) copies of the
fully executed proposal.

Where to send. Proposals should be sent to:

Operation Drug TEST Solicitation
Attn: Jack Riley
National Institute of Justice
Room 303
633 Indiana Avenue N.W.
Washington, DC 20531

Award period. In general, NIJ limits its grants
and cooperative agreements to a maximum period of
12 or 24 months. However, longer budget periods
will be considered.

Number of awards. NIJ anticipates supporting 1
grant under this solicitation.

Award amount. Awards totaling $750,000 will be
made available for this NIJ solicitation.

Contact. Applicants who have questions about this
solicitation for proposals may contact the U.S.
Department of Justice Response Center, by phone at
800-421-6770 (local number is 202-307-1480) and by
fax at 202-616-9249. The Response Center also has
materials related to the solicitation.

Certifications. Applicants should read and sign
the certification form regarding lobbying;
debarment, suspension, and other responsibility
matters; and drug-free workplace requirement
included in this solicitation. Signing this form
commits the applicant to compliance with the
certification requirements under 28 CFR (Code of
Federal Regulations) 69, "New Restrictions on
Lobbying," and 28 CFR 67, "Government-Wide
Debarment and Suspension (Nonprocurement) and
Government-Wide Requirements for Drug-Free
Workplace (Grants)." The certification will be
treated as a material representation of the fact
upon which reliance will be placed by the U.S.
Department of Justice in making awards.

Recommendations to Proposal Writers

Over the past 4 years, NIJ staff have reviewed
approximately 1,500 grant applications. On the
basis of those reviews and inquiries from
applicants, NIJ offers the following
recommendations to help potential applicants
present workable, understandable proposals,
especially for applicants new to NIJ. Many of
these recommendations were adopted from materials
provided to NIJ by the State Justice Institute.
Others reflect standard NIJ requirements.

The author(s) of the proposal should be clearly
identified.

Proposals that are incorrectly collated,
incomplete, or handwritten will be judged as
submitted or, at NIJ's discretion, will be
returned without a deadline extension. No
additions to the original submission are allowed.
NIJ suggests that applicants make certain that
they address the questions, issues, and
requirements set forth below when preparing an
application.

1. What is the subject or problem you wish to
address? 

Describe the subject or problem and how it affects
the criminal justice system and the public.
Discuss how your approach will improve the
situation or advance the state-of-the-art or
state-of-the-science knowledge and explain why it
is the most appropriate approach to take. Give
appropriate citations to the research literature.
The source of statistics or research findings
cited to support a statement or position should be
included in a reference list.

2. What do you want to do? 

Explain the goal(s) of the project in simple,
straightforward terms. The goal(s) should describe
the intended consequences or expected overall
effect of the proposed project, rather than the
tasks or activities to be conducted. To the
greatest extent possible, applicants should avoid
a specialized vocabulary that is not readily
understood by the general public. Technical jargon
does not enhance an application.

3. How will you do it? 

Describe the methodology carefully so that what
you propose to do and how you would do it is
clear. All proposed tasks should be set forth so
that a reviewer can see a logical progression of
tasks and relate those tasks directly to the
accomplishment of the project's goal(s). When in
doubt about whether to provide a more detailed
explanation or to assume a particular level of
knowledge or expertise on the part of the
reviewers, err on the side of caution and provide
the additional information. A description of
project tasks also will help identify necessary
budget items. All staff positions and project
costs should relate directly to the tasks
described. NIJ encourages applicants to attach
letters of cooperation and support from agencies
that will be involved in or directly affected by
the proposed project.

4. What should you include in a grant application
for a program evaluation? 

If a grant application is for a program
evaluation, describe how the evaluation will
determine whether the proposed program, training,
procedure, service, or technology accomplished the
objectives it was designed to meet. Applicants
seeking support for a proposed evaluation should
describe the criteria that will be used to
evaluate the project's effectiveness and identify
program elements that will require further
modification. The description in the application
should include how the evaluation will be
conducted, when it will occur during the project
period, who will conduct it, and what specific
measures will be used. In most instances, the
evaluation should be conducted by persons not
connected with the implementation of the
procedure, training, service, or technique, or the
administration of the project.

5. How will others learn about your findings? 

Include a plan to disseminate the results of the
research, evaluation, technology, or demonstration
beyond the jurisdictions and individuals directly
affected by the project. The plan should identify
the specific methods that will be used to inform
the field about the project, such as the
publication of journal articles or the
distribution of key materials. Expectations
regarding products are discussed more fully in the
following section, "Requirements for Award
Recipients." A statement that a report or research
findings "will be made available to" the field is
not sufficient. 

The specific means of distribution or
dissemination as well as the types of recipients
should be identified. Reproduction and
dissemination costs are allowable budget items.
Applicants must concisely describe the interim and
final products and address each product's purpose,
audience, and usefulness to the field. This
discussion should identify the principal criminal
justice constituency or type of agency for which
each product is intended and describe how the
constituent group or agency would be expected to
use the product or report. Successful proposals
will clearly identify the nature of the grant
products that can reasonably be expected if the
project is funded. In addition, a schedule of
delivery dates of all products should be
delineated.

6. What are the specific costs involved? 

The budget application should be presented
clearly. Major budget categories such as
personnel, benefits, travel, supplies, equipment,
and indirect costs should be identified
separately. The components of "Other" or
"Miscellaneous" items should be specified in the
application budget narrative and should not
include set-asides for undefined contingencies.

7. How much detail should be included in the
budget narrative? 

The budget narrative should list all planned
expenditures and detail the salaries, materials,
and cost assumptions used to estimate project
costs. The narrative and cost estimates should be
presented under the following standard budget
categories: personnel, fringe benefits, travel,
equipment, supplies, contracts, other, and
indirect costs. For multi-year projects,
applicants must include the full amount of NIJ
funding for the entire life of the project. This
amount should be reflected in item 15g on Form 424
and in TOTAL PROJECT COSTS in the Budget Detail
Worksheet (OJP Form 7150/1). When appropriate,
grant applications should include justification of
consultants and a full explanation of daily rates
for any consultants proposed. To avoid common
shortcomings of application budget narratives,
include the following information:

o Personnel estimates that accurately provide the
amount of time to be spent by personnel involved
with the project and the total associated costs,
including current salaries for the designated
personnel (e.g., Project Director, 50 percent of 1
year's annual salary of $50,000 = $25,000). If
salary costs are computed using an hourly or daily
rate, the annual salary and number of hours or
days in a work year should be shown.

o Estimates for supplies and expenses supported by
a complete description of the supplies to be used,
nature and extent of printing to be done,
anticipated telephone charges, and other common
expenditures, with the basis for computing the
estimates included (e.g., 100 reports x 75 pages
each x $0.05/page = $375). Supply and expense
estimates offered simply as "based on experience"
are not sufficient.

8. What travel regulations apply to the budget
estimates? 

Transportation costs and per diem rates must
comply with the policies of the applicant
organization, and a copy of the applicant's travel
policy should be submitted as an appendix to the
application. If the applicant does not have a
travel policy established in writing, then travel
rates must be consistent with those established by
the Federal Government. The budget narrative
should state which regulations are in force for
the project and should include the estimated fare,
the number of persons traveling, the number of
trips to be taken, and the length of stay. The
estimated costs of travel, lodging, ground
transportation, and other subsistence should be
listed separately. When combined, the subtotals
for these categories should equal the estimate
listed on the budget form.

9. Which forms should be used?

A copy of (SF) 424, Application for Federal
Assistance, plus instructions, appear in the back
of this document. Please follow the instructions
carefully. In addition, complete the Budget Detail
Worksheet (OJP Form 7150/1), Assurances (OJP Form
4000/3), and certifications regarding lobbying;
debarment, suspension, and other responsibility
matters; and drug-free workplace requirements (OJP
Form 4061/6).

10. What technical materials are required to be
included in the application?

o A one-page abstract of the full proposal,
highlighting the project's purpose, methods,
activities and, when known, the location(s) of
field research.

o A program narrative, which is the technical
portion of the proposal. It should include a
clear, concise statement of the problem, goal(s),
and objectives of the project and related
questions to be explored. A discussion of the
relationship of the proposed work to the existing
literature is expected.

o A statement of the project's anticipated
contribution to criminal justice policy and
practice. It is important that applicants briefly
cite those particular issues and concerns of
present-day criminal justice policy that stimulate
the proposed line of inquiry and suggest what
their own investigation would contribute to
current knowledge.

o A detailed statement of the proposed research or
study design and analytical methodologies. The
proposed data sources, data collection strategies,
variables and issues to be examined, and
procedures of analysis to be employed should be
delineated carefully and completely. When
appropriate, experimental designs are encouraged
because of their potential relevance to policy
making and the strength of the evidence they can
produce.

o The organization and management plan to conduct
the study. A list of major milestones of events,
activities, and products and a timetable for
completion that indicates the time commitments to
individual project tasks should be included. All
grant activities, including writing of the final
report, should be completed within the duration of
the award period.

o The applicant's curriculum vitae should
summarize education, research experience, and
bibliographic information related to the proposed
work.

11. How may grant funds be used? 

Grant funds may be used to purchase or lease
equipment essential to accomplishing the
objectives of the project. The budget narrative
must list such equipment and explain why the
equipment is necessary. Funds may not be used for
operating programs, writing texts or handbooks,
training, etc.

12. To what extent may indirect costs be included
in the budget estimates? 

It is the policy of the Institute that all costs
should be budgeted directly; however, if an
applicant has an indirect cost rate that has been
approved by a Federal agency within the past 2
years, an indirect cost-recovery estimate may be
included in the budget. A copy of the approved
rate agreement should be submitted as an appendix
to the application. If an applicant does not have
an approved rate agreement, the applicant should
contact the Office of the Comptroller, Office of
Justice Programs, at 202-307-0623, to obtain
information about preparing an indirect cost-rate
proposal.

13. What, if any, matching funds are required? 

Units of State and local governments (not
including publicly supported institutions of
higher education) are encouraged to contribute a
match (cash, noncash, or both) of requested funds.
Other applicants also are encouraged to seek
matching contributions from other Federal agencies
or private foundations to assist in meeting the
costs of the project.

14. Should other funding sources be listed? 

Applicants are expected to identify all other
Federal, local, or private sources of support,
including other NIJ programs, to which this or a
closely related proposal has been or will be
submitted. This information permits NIJ to
consider the joint funding potential and limits
the possibility of inadvertent duplicate funding.
Applicants may submit more than one proposal to
NIJ, but the same proposal cannot be submitted in
more than one program area.

15. What is the deadline? 

February 20, 1997.

16. Is there a page limit? 

NIJ has established a limit of 30 double-spaced
pages (with font size not smaller than 12 points)
for all normal grant applications. This page limit
does not include references, budget narrative,
curriculum vitae, forms noted in item 9 above, or
necessary appendixes. Applications for small
grants ($1,000-$50,000) are limited to 15
double-spaced pages. Monitor: indicate here if
your solicitation's page limit is different.
Proposals failing to conform to these page and
font limitations will not be accepted.

17. What elements constitute the proposal? 

The following components, presented in the
following order, are mandatory. Omission can
result in rejection of the application.

a. SF-424 (with Assurances attached), followed by
OJP Form 7150/1 (Budget Detail Worksheet), budget
narrative, negotiated rate agreement, and
certifications.

b. Names and affiliations of all key persons from
applicant and subcontractor(s), advisers,
consultants, and Advisory Board members. Include
the name of the Principal Investigator, title,
organizational affiliation (if any), department
(if institution of higher education), address,
phone, and fax.

c. Abstract.

d. Table of contents.

e. Project narrative.

f. References.

g. Resumes of key personnel.

18. What does the review process entail? 

After all applications for a competition are
received, NIJ will convene a series of peer review
panels of criminal justice professionals and
researchers. NIJ will assign proposals to peer
panels that it deems most appropriate. Panel
members read each proposal and meet to assess the
technical merits and policy relevance of the
proposed research. Panel assessments of the
proposals, together with assessments by NIJ staff,
are submitted to the Director, who has sole and
final authority over approval and awards. The
review normally takes 60 to 90 days, depending on
the number of applications received. Each
applicant receives written comments from the peer
review panel concerning the strengths and
weaknesses of the proposal. These comments may
include suggestions for how a revised or
subsequent application to NIJ might be improved.

19. What are the criteria for an award? 

The essential question asked of each applicant is,
"If this study were successful, how would criminal
justice policies or operations be improved?" Four
criteria are applied in the evaluation process:

o Impact of the proposed project.

o Feasibility of the approach to the issue,
including technical merit and practical
considerations.

o Originality of the approach, including
creativity of the proposal and capability of the
research staff.

o Economy of the approach. 

Applicants bear the responsibility of
demonstrating to the panel that the proposed study
addresses the critical issues of the topic area
and that the study findings could ultimately
contribute to a practical application in law
enforcement or criminal justice. Reviewers will
assess applicants' awareness of related research
or studies and their ability to direct the
research or study toward answering questions of
policy or improving the state of criminal justice
operations.

Technical merit is judged by the likelihood that
the study design will produce convincing findings.
Reviewers take into account the logic and timing
of the research or study plan, the validity and
reliability of measures proposed, the
appropriateness of statistical methods to be used,
and each applicant's awareness of factors that
might dilute the credibility of the findings.
Impact is judged by the scope of the proposed
approach and by the utility of the proposed
products. Reviewers consider each applicant's
understanding of the process of innovation in the
targeted criminal justice agency or setting and
knowledge of prior uses of criminal justice
research by the proposed criminal justice
constituency. Appropriateness of products in terms
of proposed content and format is also considered.

Applicants' qualifications are evaluated both in
terms of the depth of experience and the relevance
of that experience to the proposed research or
study. Costs are evaluated in terms of the
reasonableness of each item and the utility of the
project to NIJ's program.

20. Are there any other considerations in
selecting applications for an award? 

Projects should have a national impact or have
potential relevance to a number of jurisdictions.
Because of the broad national mandate of the
National Institute of Justice, projects that
address the unique concerns of a single
jurisdiction should be fully justified. Projects
that intend to provide services in addition to
performing research are eligible for support, but
only for the resources necessary to conduct the
research tasks outlined in the proposal.

The applicant's performance on previous or current
NIJ grants will also be taken into consideration
in making funding decisions.

21. Who is eligible to apply? 

NIJ awards grants to, or enters into cooperative
agreements with, educational institutions,
nonprofit organizations, public agencies,
individuals, and profit making organizations that
are willing to waive their fees. Where
appropriate, special eligibility criteria are
indicated in the solicitation.
22. Does NIJ accept resubmission of proposals? 

NIJ will accept resubmission of a previously
submitted proposal. The applicant should indicate
on Question 8, Form 424, that the application is a
revision. The applicant should include this
information in the abstract. Finally, the
applicant should prepare a one-page response to
the earlier panel review (to follow the abstract)
and include (1) the title, submission date, and
NIJ-assigned application number of the previous
proposal, and (2) a brief summary of responses to
the review and/or revisions to the proposal.

Requirements for Award Recipients

Required products. Each project is expected to
generate tangible products of maximum benefit to
criminal justice professionals, researchers, and
policymakers. In particular, NIJ strongly
encourages documents that provide information of
practical utility to law enforcement officials;
prosecutors; judges; corrections officers; victim
services providers; and Federal, State, county,
and local elected officials.

Products should include:

o A summary of approximately 2,500 words
highlighting the research findings and the policy
issues those findings will inform. The material
should be written in a style that will be
accessible to policy officials and practitioners
and suitable for possible publication as an NIJ
Research in Brief. An NIJ editorial style guide is
sent to each project director at the time of the
award.

o A full technical report, including a discussion
of the research question, review of the
literature, description of project methodology,
detailed review of project findings, and
conclusions and policy recommendations.

o Clean copies of all automated data sets
developed during the research and full
documentation prepared in accordance with the
instructions in the NIJ publication Depositing
Data with the Data Resources Program of the
National Institute of Justice: A Handbook.

o Brief project summaries for NIJ use in preparing
annual reports to the President and Congress.

As appropriate, additional products such as case
studies and interim and final reports (e.g.,
articles, manuals, or training materials) may be
specified in the proposal or negotiated at the
time of the award.

Prohibition on supplanting funds. Federal funds
must be used to supplement existing funds and not
replace those funds which have been appropriated
for the same purpose. Potential supplanting will
be the subject of application review, as well as
pre-award review, post-award monitoring, and
audit. If there is a potential presence of
supplanting, the applicant or grantee will be
required to supply documentation demonstrating
that the reduction in non-Federal resources
occurred for reasons other than the receipt or
expected receipt of Federal funds.

Public Release of Automated Data Sets

NIJ is committed to ensuring the public
availability of research data and to this end
established its Data Resources Program in 1984.
All NIJ award recipients who collect data are
required to submit a machine-readable copy of the
data and appropriate documentation to NIJ prior to
the conclusion of the project. The data and
materials are reviewed for completeness. NIJ staff
then create machine-readable data sets, prepare
users' guides, and distribute data and
documentation to other researchers in the field. A
variety of formats are acceptable; however, the
data and materials must conform with requirements
detailed in Depositing Data With the Data
Resources Program of the National Institute of
Justice: A Handbook. A copy of this handbook is
sent to each project director at the time of the
award. For further information about NIJ's Data
Resources Program, contact Dr. James Trudeau at
202-307-1355.

Standards of Performance by Recipients

NIJ expects individuals and institutions receiving
its support to work diligently and professionally
toward completing a high-quality research or study
product. Besides this general expectation, NIJ
imposes specific requirements to ensure that
proper financial and administrative controls are
applied to the project. Financial and general
reporting requirements are detailed in Financial
Guide, published in April 1996 by the Office of
Justice Programs. This guideline manual is sent to
recipient institutions with the award documents.
Project directors and recipient financial
administrators should pay particular attention to
the regulations in this document.

Audit requirement. State and local governments,
nonprofit organizations and institutions of higher
education are governed by OMB Circular A-133, as
amended. Whether an audit is required under this
circular is dependent upon the amount of Federal
funds that can be audited during the recipients
fiscal year. If the organization receives $300,000
or more per year in Federal funds, the
organization shall have an organizationwide
financial and compliance audit.

Commercial (for-profit) organizations shall have
financial and compliance audits performed by
qualified individuals who are independent from
those who authorize the expenditure of Federal
funds. This audit must be performed in accordance
with Government Auditing Standards. The audit
thresholds contained in OMB Circular A-133, as
amended applies.

Applicants are required to provide the period of
their organization's fiscal year and the name of
their organization's cognizant Federal agency in
block 11 of the SF-424. The cognizant Federal
agency is generally determined based on the
preponderance of Federal dollars received by the
applicant.

Financial status reports. Financial status reports
(SF 269A) are due quarterly on the 45th day
following the end of each calendar quarter. A
report must be submitted every quarter the award
is active. The final report is due 120 days after
the end date of the award. The Office of the
Comptroller, Office of Justice Programs, will
provide a copy of this form in the initial award
package.

Conditions for suspension or termination of
funding. NIJ may suspend, in whole or in part,
terminate funding for, or impose another sanction
on a recipient for the following reasons:

o Failure to comply substantially with the
requirements or statutory objectives of the
Omnibus Crime Control and Safe Streets Act of
1968, as amended; the Anti-Drug Abuse Act of 1988;
program guidelines issued thereunder; or other
provisions of Federal law.

o Failure to make satisfactory progress toward the
goal(s) or strategies set forth in this
application.

o Failure to adhere to the requirements in the
agreement, standard conditions, or special
conditions.

o Proposing or implementing substantial plan
changes to the extent that, if originally
submitted, the application would not have been
selected for funding.

o Failure to submit reports.

o Filing a false certification in this application
or other report or document.

Before imposing sanctions, NIJ will provide
reasonable notice to the recipient of its intent
to impose sanctions and will attempt informally to
resolve the problem. Hearing and appeal procedures
will follow those in U.S. Department of Justice
regulations in 28 CFR 18.

Program Monitoring

Award recipients and Principal Investigators
assume certain responsibilities as part of their
participation in government-sponsored research and
evaluation. NIJ's monitoring activities are
intended to help grantees meet these
responsibilities. They are based on good
communication and open dialogue, with collegiality
and mutual respect. Some of the elements of this
dialogue follow:

o Communication with NIJ in the early stages of
the grant, as the elements of the proposal's
design and methodology are developed and put into
operation.

o Timely communication with NIJ regarding any
developments that might affect the project's
compliance with the schedules, milestones, and
products set forth in the proposal. (See statement
on "Timeliness" below.)

o Communication with other NIJ grantees conducting
related research projects. An annual "cluster
conference" should be anticipated and should be
budgeted for by applicants at a cost of $1,000 for
each year of the grant.

o Providing NIJ on request with brief descriptions
of the project in interim stages at such time as
the Institute may need this information to meet
its reporting requirements to Congress. NIJ will
give as much advance notification of these
requests as possible but will expect a timely
response from grantees when requests are made. NIJ
is prepared to receive such communication through
electronic media.

o Providing NIJ with copies of presentations made
at conferences, meetings, and elsewhere based in
whole or in part on the work of the project.

o Providing NIJ with prepublication copies of
articles based on the project appearing in
professional journals or the media, either during
the life of the grant or after.

o Other reporting requirements (progress reports,
final reports, and other grant products) are
spelled out elsewhere in this section. Financial
reporting requirements will be described in the
grant award documents received by successful
applicants.

Progress Reports

NIJ Program Managers should be kept informed of
research progress. Written progress reports are
required on a semiannual basis and should inform
the Program Manager of which tasks have been
completed and whether significant delays or
departures from the original workplan are
expected. The first progress report should cover
the period from the beginning date of the project
through the end of the first complete quarter
(quarters are January 1-March 31, April 1-June 30,
July 1-September 30, and October 1-December 31).
Subsequent progress reports should cover the next
two quarters.

All progress reports are due 30 days following the
end of the reporting period. For example, if a
grant is awarded in May, the first progress report
would cover the rest of the current quarter
(through June 30) and the first complete quarter
(July 1-September 30) and would be due October 31;
the second progress report would cover the next
two quarters (October 1-December 31 and January 1-
March 31) and would be due April 30.

Timeliness. Grantees are expected to complete
award products within the timeframes that have
been agreed upon by NIJ and the grantee. NIJ
recognizes that there are legitimate reasons for
project extensions. However, NIJ does not consider
the assumption of additional research projects
that impinge upon previous time commitments as
legitimate reasons for delay. Projects with
unreasonable delays can be terminated
administratively. In this situation, any funds
remaining are withdrawn. Future applications from
either the project director or the recipient
institution are subject to strict scrutiny and may
be denied support based on past failure to meet
minimum standards.

Publications. The Institute encourages grantees to
prepare their work for NIJ publication. In cases
where grantees disseminate their findings through
a variety of media, such as professional journals,
books, and conferences, copies of such
publications should be sent to the Program Manager
as they become available, even if they appear well
after a project's expiration. NIJ imposes no
restriction on such publications other than
inclusion of the following acknowledgment and
disclaimer:

This research was supported by grant number ______
from the National Institute of Justice. Points of
view are those of the author(s) and do not
necessarily represent the position of the U.S.
Department of Justice.

Data confidentiality and human subjects
protection. Research that examines individual
traits and experiences plays a vital part in
expanding our knowledge about criminal behavior.
It is essential, however, that researchers protect
subjects from needless risk of harm or
embarrassment and proceed with their willing and
informed cooperation. NIJ requires that
investigators protect information identifiable to
research participants. When information is
safeguarded, it is protected by statute from being
used in legal proceedings:

"[S]uch information and copies thereof shall be
immune from legal process, and shall not, without
the consent of the person furnishing such
information, be admitted as evidence or used for
any purpose in any action, suit, or other
judicial, legislative, or administrative
proceedings (42 United States Code 3789g)."

Applicants should file their plans to protect
sensitive information as part of their proposal.
Necessary safeguards are detailed in 28 CFR,
paragraph 22. A short "how-to" guideline for
developing a privacy and confidentiality plan can
be obtained from NIJ Program Managers.

In addition, the U.S. Department of Justice has
adopted human subjects policies similar to those
established by the U.S. Department of Health and
Human Services. If an institutional review board
is necessary for this project, a copy of the
board's approval must be submitted to the National
Institute of Justice prior to the initiation of
data collection. Researchers are encouraged to
review 28 CFR 46, paragraph 46.101, to determine
their individual project requirements.