MENU TITLE: Solicitation for Law Enforcement,
.
Courts and Corrections Technology Development,
Implementation and Evaluation
Series: NIJ Solicitation
Published: August 1996
36 pages
77,807 bytes

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Solicitation for Law Enforcement, Courts and
Corrections Technology Development, Implementation
and Evaluation 

Solicitation Purpose

This solicitation seeks proposals for the
development, testing, evaluation, adoption and
implementation of new and innovative technologies
and techniques to support and enhance law
enforcement, courts, and/or corrections operations,
particularly at the State and local level, and with
an eye toward successfully developing new
commercial products for their near-term use.

Proposals submitted under this solicitation should
describe projects which will assist criminal
justice agencies in their efforts to identify,
select, develop, modernize, and make purchasing
decisions regarding new technology applications. 

There are four major project category areas, which
may contain overlaps, to guide the formulation of
proposals. Proposals may address one or more of
these category areas:

1)  General Technology Thrust Areas for Law
Enforcement, Courts and Corrections.

2)  Special Law Enforcement, Courts and Corrections
Technology Development and Demonstration Projects.

3)  Behavioral and Organizational Impact of
Technological Advances.

4)  Creative Technology Solutions to Law
Enforcement, Courts, and Corrections Problems.

There is an intentional overlap between Category 1)
and Category 2) to ensure the technology and key
application needs of Law Enforcement, Courts, and
Corrections are addressed. Proposals can address
one or more of the areas addressed in the
solicitation.

This solicitation seeks proposals representing
either projects carried out by a single
organization or partnerships between the public and
private sectors; for example, between a police
department and a company with technological
expertise, or a consortium which includes a police
department and one or more companies or academic
institutions. Partnership groups are encouraged to
include as an active member a recognized law
enforcement, courts or corrections agency.

Proposals are expected to describe efforts to move
technologies in support of law enforcement, courts,
and/or corrections operations beyond the current
state-of-the-art. Proposals should focus on the
research, development, testing, evaluation,
adoption, and implementation phases of new
technologies, or the use or modification of
existing technologies in new or innovative ways.
Technological innovations will enable localities to
enhance operations in law enforcement, courts,
and/or corrections systems, address crime and
disorder, and enhance public safety. 

An additional focus of this solicitation is an
examination of the organizational and behavioral
consequences of technology adoption and
implementation in law enforcement, courts, and/or
corrections operations. Proposals dealing with
organizational and behavioral issues should explore
the dynamics and examine the impact of the adoption
and implementation of new technologies or the
modification of existing technologies in law
enforcement, courts, and/or corrections settings. 

This solicitation is not intended to fund the
purchase of existing systems, but rather it is
intended to support the development of new
technologies or the innovative adaptation of
existing technologies to deal effectively with law
enforcement, courts, and/or corrections problems. 

NIJ expects to have $10 million to $15 million
available to fund awards made under this
solicitation. There are two proposal submittal
deadline dates: September 16, 1996, and November 1,
1996. Award decisions for the proposals submitted
for the November 1 deadline will be based on
remaining funds available.

Background

The United States Department of Justice has the
responsibility of implementing the Violent Crime
Control and Law Enforcement Act of 1994 (the "Crime
Act"), Pub. L. No 103-322, 108 Stat. 1796, (1994),
codified as amended, 42 U.S.C. paragraph 13701 et.
seq.

The Fiscal Year 1996 Omnibus Appropriations Act,
Pub. L. No. 104-134, ___Stat. ___, (1996), which
amends the Crime Act, provides that one percent of
funds authorized to be appropriated under the Crime
Act in fiscal years 1996 through 1998 are to be
reserved for Government efforts to assist State and
local agencies to identify, select, develop,
modernize, and assist in making purchasing
decisions of new technologies for use by law
enforcement, courts, and correction agencies.

The National Institute of Justice (NIJ), the
research and development agency of the U.S.
Department of Justice (DOJ), is responsible under
the Crime Act for providing funding for technology
development projects to enhance law enforcement,
courts, and corrections technologies; and the
demonstration and evaluation of innovative
approaches to the development, application, and
utilization of leading edge technologies.

The Need for Enhanced Law Enforcement, Courts, and
Corrections Technologies

There is a continuing need to improve the
foundations of our understanding of where and how
technology can improve the criminal justice system
and what impact the introduction of new
technologies into the fight against crime has on
both criminal justice agencies and the public they
serve.

For example, a sizable gap exists in our ability to
provide law enforcement with the best policy and
procedural advice on police pursuit as well as
developing technological methods to safely halt
fleeing vehicles or individuals on foot. Much also
remains to be known about how to optimize the
application of technology and how to change
management structures or operations in the face of
new technology challenges and opportunities.

This solicitation is open to a wide variety of
proposals in order to achieve a balanced mixture of
product development, implementation and evaluation
projects. This solicitation focusses on near-term
(one to three years) development and implementation
projects.

A central goal in the effort to prevent and reduce
crime and violence in the United States is to
provide law enforcement, courts, and corrections
officials with modern tools to increase their
options in dealing with the unpredictable
situations which are a part of their daily duties.
Utilization of enhanced technologies can change the
way the criminal justice system is managed, and
ultimately, how crime prevention and control is
achieved in communities throughout the country.

Improved law enforcement, courts and corrections
technologies can:

o  enhance professionalism by giving criminal
justice officials the skills, technology, and
motivation to act innovatively to solve law
enforcement, courts and corrections problems; 

o  lead to restructuring of agencies and refinement
of management techniques to allow the fullest use
of an agency's resources;

o  serve to increase the effective flow of
information from the sources inside and outside of
the law enforcement, courts, and correction
agencies; and 

o  enhance the ability of law enforcement, courts,
and correction agencies to be more effective and
equitable in their service delivery. 

Consistent with the letter and spirit of the Crime
Act, research and development supported under this
solicitation therefore is intended to: (1) improve
the variety of technology options available to law
enforcement, courts and corrections officials in
their day-to-day duties; (2) increase the ability
of police to innovatively solve law enforcement
problems; (3) develop technologies which may serve
as work force multipliers to allow the fullest use
of agency resources; (4) promote the effective flow
and use of information both within and outside an
agency; and (5) improve the responsiveness of law
enforcement, courts and corrections officials to
enhance the quality of life in the communities they
serve. This solicitation further seeks to assist
police chiefs, sheriffs, judges, court
administrators, wardens and other law enforcement,
courts and corrections officials in the assessment
of technology improvements they can utilize to
better serve their communities.

Technology has already been identified as a
potential work force multiplier for criminal
justice operations. The key is to identify and
bring to law enforcement, courts, and corrections
agencies appropriate technologies that enhance
their operational efforts. Such technologies must
be affordable, reliable and, moreover, effective in
the prescribed criminal justice function area.

General Guidelines

Proposals should describe research, development,
testing, evaluation, adoption, and implementation
of new and innovative equipment or systems to
address law enforcement, courts, or corrections
problems. Proposals describing innovative and
resourceful use of existing technologies to address
law enforcement, courts, or corrections problems
may also be considered. 

Applicants are encouraged to consider and, to the
extent possible, utilize matching funds and/or
creative cost sharing mechanisms to fully leverage
the potential benefit from the proposed technology
development, implementation or evaluation project.

Proposers are encouraged to use the resources and
expertise of the NIJ National Law Enforcement and
Corrections Technology Center
(NLECTC) located in Rockville, Maryland, and the
regional NLECTCs located in Rome, New York;
Charleston, South Carolina; Denver, Colorado; El
Segundo, California; and the Border Research and
Technology Center (BRTC) located in San Diego,
California.

Proposal writers should keep in mind that cost
considerations of resulting technology development
products are a major concern for law enforcement,
courts, and corrections. Most criminal justice
agencies around the Nation are quite small and
under funded. Most agencies have a very limited
portion of their budgets available for equipment,
technology, supplies, or computer procurement.
Costs associated with personnel and related
overtime; vehicle fuel and maintenance; and
communications take up the vast majority of the
typical law enforcement, courts or corrections
agency's budget. 

These and related factors all influence the
timeliness and the degree to which new technologies
are accepted by law enforcement, courts, and
corrections administrators. Thus, a number of
considerations should be taken into account when
determining the usefulness of a proposed new
technology development effort:

o  How important is the new technology to the
overall operation of the law enforcement, courts,
and/or corrections agency? What will be its impact
on organizational structure and personnel
requirements?

o  How much will the technology cost to purchase,
customize to fit local needs (if necessary), and
maintain?

o  How many units will be needed?

o  What are the hidden costs? For example, new
computers may require additional data input
personnel.

o  What, if any, are the net savings in labor or
other costs?

o  Will the technology help law enforcement,
courts, and/or corrections officers to better serve
the community?

o  What is the value-added service to the
community?

o  How much training is required to use and
maintain the technology?

o  How will the courts view the technology -- in
terms of liability and interference with personal
freedom? What constitutional or other legal issues
may arise from utilization of the technology?

Major Development, Implementation and Evaluation
Categories

There are four major research and development
categories for which grants, contracts, or other
transactions will be awarded in support of the law
enforcement, courts and/or corrections technology
development project. All proposals should include a
discussion on the value of the concept proposed --
that is, how it will improve the capabilities of
law enforcement, courts and/or corrections
agencies. These four major research and development
categories are:

1)  General Technology Thrust Areas for Law
Enforcement, Courts and Corrections.

2)  Special Law Enforcement, Courts and Corrections
Technology Development and Demonstration Projects.

3)  Behavioral and Organizational Impacts of
Technological Advances.

4)  Creative Technology Solutions to Law
Enforcement, Courts, and Corrections Problems.

For each proposal submitted in response to the four
major research and development categories, the
applicant (industry, academia, non-profit
organizations, public agencies, and individuals) is
encouraged to develop projects that directly
benefit, in the near-term, law enforcement, courts,
and/or corrections operations. Proposals that
include active partnerships and cost sharing
mechanisms are encouraged.

Applicants are expected to understand and describe
current law enforcement, courts and/or corrections
practices where the proposed technology could be
applied. Applicants should also be cognizant of
publicly available information on technologies
under development that may compete with their
proposed approach and distinguish, as far as
practical from known information, their unique
differentiating features.

Category 1:

General Technology Thrust Areas for Law
Enforcement, Courts, and Corrections.

The focus of this category is on the research,
development, test, and evaluation of technologies
that address solutions to identified current needs
of law enforcement, courts and/or corrections
operations. The needs are based on input from
surveys, studies, and councils provided to the
National Institute of Justice.

The following focus areas have been identified as
key to the identification, selection, and
development of new technologies for use by law
enforcement, courts, and/or corrections agencies.
While these areas have been uniquely separated,
there are many instances of overlap of topics
between all of the areas. There is also an
intentional overlap between Category 1) General
Technology Thrust Areas for Law Enforcement, Courts
and Corrections, and Category 2) Special Law
Enforcement, Courts and Corrections Technology
Development and Demonstration Projects. This
overlap is to ensure the technology and key
application needs of Law Enforcement, Courts, and
Corrections agencies are addressed. (Note:
proposals can address one or more of the areas
addressed in the solicitation.) 

Within the following focus areas, specific topics
have been identified that are judged to meet
critical law enforcement needs. These topics are
not considered to be exclusive; the Government will
entertain ideas in other areas.

Focus Areas

(a) Less-Than-Lethal (LTL) Area. Technologies are
sought that will provide new or significantly
improved options to conventional use-of-force
methods sanctioned by law enforcement or
corrections agencies to counter violent behavior or
effect a resisted arrest. Scenarios where LTL
technologies, devices, and/or techniques might be
appropriately employed include, but are not limited
to: (1) confrontation with subjects who assault
officers or refuse to comply with lawful orders,
and who may be armed with a non-firearm weapon; (2)
encounters with individuals on foot advancing
toward or fleeing from an officer when ordered to
stop; (3) riots, civil disturbances, or crowd
control; (4) encounters with fleeing vehicles
(vehicle stopping techniques); (5) arrestees,
prisoners, or individuals who become violent or
uncooperative; and (6) barricaded individuals or
groups - with or without hostages.

Safety of proposed devices from the effect produced
to the means of deployment to both officers and
subjects is essential and must be thoroughly
addressed. Any disabling effect must be of a short
duration and completely reversible. The
expectations of any reduction in the incidence of
death or injury to officers, suspects, prisoners,
or the general public to be achieved by the
proposed technology must be clearly and
convincingly articulated. Cogent arguments must be
made concerning the proposed technique or device
that is quantitatively more effective and/or safer
than currently used products to achieve the same
objective.

(b) Officer Protection and Safety Area. Technology
development is needed to address techniques,
materials, and methods to improve the protective
and safety equipment used by law enforcement,
courts, and corrections officials. Emphasis should
be placed on improving the degree of protection,
comfort, fit, ease of use, and cost of protection
equipment.

Specific applications of protection equipment
includes, but is not limited to: (1) body armor
(torso and extremity); (2) puncture/slash/pathogen
resistant gloves/armor; (3) helmet/face shields;
and (4) restraints.

Technology development is also needed to indirectly
address (i.e., preventative techniques that avoid
confrontation and potentially dangerous situations)
officer protection and safety in areas such as (5)
bio-medical/telemedicine technology; (6) non-
intrusive drug testing; (7) smart guns; and (8)
laser systems.

(c) Situational Awareness and Crime Prevention
Area. This area addresses various applications that
require unique or innovative sensor, detection,
monitoring, surveillance, communications, and
processing techniques and products. Emphasis should
be placed on developing concepts that are easy to
use, require low power (primarily for man-portable
or unattended applications), and inexpensive to
purchase and operate. Applications and need areas
include, but are not limited to, the following: (1)
through-wall sensors; (2) surveillance and
monitoring (perimeter/physical security; asset
protection; officer or offender tracking by Global
Positioning System or other technologies; prison
staff/inmate tracking; domestic violence or
stalking alarms; court surveillance;
probation/parole personnel monitoring; etc.); (3)
sniper detection/location; (4) explosives/drug
detection; (5) covert wires or sensors; (6)
interagency communications interoperability; (7)
continuous communication coverage in urban or rural
environments; (8) secure communications; (9)
image/audio processing and enhancement (including
noise and false alarm reduction); (10) video/data
capture, transmission (including video
conferencing), and/or compression (including noise
and false alarm reduction); (11) language
translation; (12) speaker identification; (13)
techniques to determine "original" digital
recordings for evidential purposes; (14) data
exchange remediation; (15) 911 system to
handle/locate cellular callers and more efficiently
handle information flow from caller to responders;
(16) caller/officer locator transmitter; (17)
concealed weapons detection; and (18) information
management in prison and court systems.

(d) Forensic Sciences Area. Forensic Sciences
technologies are used to identify and develop
evidence to solve criminal cases. A major goal of
this focus area is to develop DNA technology that
can reduce costs and processing time for DNA
testing and that can enable DNA testing to be
performed at the crime scene. Technologies that can
address this goal include, but are not limited to,
mass spectrometry, robotics, and micro-chips. Other
Forensic Science technology areas of interest
include, but are not limited to: DNA/serology,
firearms, trace evidence, odontology, questioned
documents, fingerprints, pathology, entomology, and
toxicology. Of these, technologies which identify
or develop the scientific bases of forensics are of
interest, especially odontology, questioned
documents, and trace evidence.

(e) Simulation and Modeling Technology for Training
and Operational Use Area. The operational duties
and tasks required of law enforcement, courts, and
corrections personnel are becoming increasingly
complex, diverse, situation-dependent, and highly
interactive. Traditional classroom training
techniques are somewhat limited because they lack
realism. While live exercises provide the necessary
realism, they are expensive, manpower intensive,
sometimes unfeasible, and potentially unsafe. New
methods of training are required to address areas
such as, but not limited to: (1) use of force or
judgment training; (2) officer safety/survival
training; (3) event modeling and simulation; (4)
capturing and use of lessons learned; (5) team
engagement training; (6) weapons training; (7)
policy and procedures training; (8) interpersonal
skill development; and (9) supervisor, management,
and resource allocation training. Training
technologies, such as computer-based training,
interactive/multi-media, video-based, distributed,
and virtual reality should be considered. 

Simulation and statistical modeling technology can
also be used to enhance operational capability and
capacity. Areas this technology can be applied to
include, but are not limited to: (1) geo-coded
crime information that may provide a basis for new
deployment strategies; (2) statistical modeling,
neural network, or expert-based methods to classify
probationers or other criminals on community
supervision; (3) general crime prevention
practices; and (4) other areas that will improve
strategies and procedures to more efficiently and
effectively use law enforcement, courts, or
corrections resources. The simulation and modeling
technologies should be inexpensive to procure, easy
to learn and sufficiently flexible to adapt to
specific needs of individual law enforcement and
corrections agencies.

Category 2:

Special Law Enforcement, Courts, and Corrections
Technology Development and Demonstration Projects.

There are several high priority, special project
areas delineated below that have been identified by
the Law Enforcement and Corrections Technology
Advisory Council (LECTAC) and highlighted for
accelerated near term development and
demonstration. Category 1) and Category 2)
intentionally overlap to ensure the technology and
key application needs of Law Enforcement, Courts,
and Corrections are addressed.

These projects include efforts in:

(a)  Information Technology and Database 
Integration Assessment and Adoption;

(b)  Concealed Weapons Detection;

(c)  Vehicle Stopping Technology;

(d)  Non-invasive Drug Testing;

(e)  Crime Mapping;

(f)  Integrated Smart Gun/Laser Systems;

(g)  Electronic Monitoring; and

(h)  Improved Judicial Processing, Court 
Proceedings, and Corrections Monitoring

The following focus areas have been identified as
key projects that support the Crime Act focus on
identification, selection, and development of new
technologies for use by law enforcement, courts,
and corrections agencies. The following special
projects have been identified to meet critical near
term law enforcement needs, and specific proposals
are herewith solicited. 

Focus Areas

(a) Information Technology and Database Integration
Assessment and Adoption. Due to rapid technological
growth; hardware and software implementation costs;
and training requirements, implementation of
information technology has not fully been adopted
by the law enforcement, courts, and corrections
community. Proposals are solicited that examine
information technology needs and methods for
computer justice information database integration
from State and local organizations. 

Proposals are solicited that address the creation
of a "National Assessment of Law Enforcement,
Court, and Corrections Criminal Information
Database Systems". Today we have a series of stand-
alone databases that do not provide local,
regional, or national connection, effective
networking, or timely access for the communities'
effective utilization. Proposals are solicited that
would (1) delineate current law enforcement,
courts, and corrections databases; (2) provide
brief descriptions that characterize the current
data bases; (3) illustrate the interdependence of
current database systems or the lack thereof; (4)
describe the technical, organizational, and
operational barriers to linking separate databases
within, to and from Federal, State, and local
organizations; (5) describe the common database
needs and new or modified requirements for law
enforcement, court, and corrections database
applications; (6) describe which of the current
databases could or should be linked together; and
(7) develop a conceptual plan for implementation of
integrated database law enforcement and
corrections, courts, and corrections applications.
These databases could provide for the examination
of the need for, current utilization of, or
development and demonstration of new or enhanced
multi-jurisdictional outstanding warrant databases,
sex offender databases, homicide databases, and
abuser/batterer/stalker-type databases. Other
appropriate databases could also be included in
this effort.

Proposals are also solicited to address the
potential for integration of existing unique stand
alone State and local law enforcement, courts, and
corrections databases (gang tracking,
abuser/batter/stalker tracking, and crime mapping,
etc.) that support large, medium, and small size
law enforcement, corrections, and other criminal
justice organizations. 

Proposals should consider the viability of
facilitating increased data flow between law
enforcement, courts, and corrections agencies, as
well as increased data flow between and among
jurisdictions. This effort could include the
creation of an on-going assessment and or
evaluation of key information on the databases
currently available in State and local law
enforcement, courts, and corrections organizations.
The results of this database survey and
recommendations would focus on the integration and
broader use of "benchmark/best practice"
information technology database products.

Proposals are solicited that address information
sharing between criminal justice agencies and the
evaluation of barriers to information technology
(computers, integrated unique software products,
special purpose application software products, and
management practices) adoption and modernization.

In the realm of post-conviction release,
information technologies for case management are
needed. Tools to facilitate the tracking of
probationer/parolee progress with respect to
conditions of release might include detailed
electronic checklists for an individual's terms of
release. Automated, hand-held systems to provide
for direct input by officers may be desirable.

(b) Concealed Weapons Detection. The increasing
illegal use of handguns by juveniles, and the
growing number of States that support concealed
weapon permits to the general public, has given
rise to increasing concern by the law enforcement
and court community in being able to detect
concealed weapons. The National Institute of
Justice, in concert with the Department of Defense,
are the leaders in the development of concealed
weapon detection technology. NIJ is soliciting new
and innovative concealed weapons detection
technology for development and
demonstration. Current concealed weapons technology
focusses on extremely low-dose back-scatter X-rays,
passive millimeter wave imaging, low intensity
electromagnetic or "Heaviside" pulse technology,
long wave infrared receivers, radar and ultrasound
technology, passive magnetic gradient technology,
and low-frequency magnetic imaging technology.
Proposals are solicited for new and innovative
concealed weapons detection technology that is
cheaper, easier to use, and portable.

(c) Vehicle Stopping Technology. Vehicle pursuit
has been identified by the law enforcement
community and the general public as a very
significant area of concern. The LECTAC places
vehicle stopping technology in the top five
priorities for near-term development. Proposals are
solicited for new and innovative technologies,
procedures, and concepts that can be effectively
used to stop a fleeing vehicle that will avoid
injuring the pursuers, suspects, and innocent
bystanders. This technology could be for fixed
border crossing points, police vehicle-based
systems, hand-held portable, and airborne based
systems.

(d) Non-invasive Drug Testing. Testing for drug use
or impairment is a continuing concern by law
enforcement, courts, and corrections officers.
Proposals are solicited for innovative drug testing
technologies that address new approaches such as
hair analysis, eye tracking, telemetered
perspiration, micro-assay card, drug abuse relay
bracelet/patch and non-invasive blood sensors. The
focus of this effort is to develop and demonstrate
lower cost non-invasive non-urine based technology
that can be used for screening and actual drug
testing. 

(e) Crime Mapping. The intersection between
information technology and presentation of current
crime data for community oriented policing analysis
and action is being developed in several
communities. Proposals are solicited for the
identification, selection, development, and
demonstration of innovative crime mapping products
(hardware and software) as well as software
analysis tools. Software analysis tools include,
but are not limited to, the inferential analysis of
spatial data that will improve the ability to
evaluate interventions and promote development of
early warning systems. Assessment of currently
available and under development crime mapping
products and tools could be followed by an analysis
that evaluates the current state of the practice
and recommends national demonstration options. 

(f) Integrated Smart Gun/Laser Systems. There is
growing interest and support for the development
and demonstration of "Smart Gun" technology. These
initiatives are in part driven by increasing
liability cost issues, and the need to develop
integrated weapons systems that include "Smart Gun"
self-protection features and laser aiming "point
and avoid-shooting" less than lethal technology.
Proposals for the development of integrated "Smart
Gun" and laser aiming technology are solicited.
This effort can address these technologies
separately or together. Joint proposals from
weapons and/or laser organizations are welcome. The
key is to address the reduction of cost of the
final integrated product. 

(g) Electronic Monitoring. Electronic monitoring
for persons on pre-trial release, probation, or
parole is in widespread use, but the number of
individuals covered is still relatively small.
Proposals are sought for assessment of the policy,
public acceptability, liability, and legal
implications of continuous electronic monitoring
for persons on pre-trial release, probation, or
parole. Proposals are solicited on the enhancement
of existing electronic monitoring technology,
including, but not limited to, the implementation
of global positioning systems that would facilitate
the monitoring of specialized populations including
sex offenders and stalkers; and the integration of
substance abuse technologies. Proposals are also
solicited for lower cost, reliable (i.e., low false
alarms), continuous electronic monitoring
technology that could be deployed to more
communities in the near-term. 

(h) Improved Judicial Processing, Court
Proceedings, and Corrections Monitoring Scheduling
conflicts and travel limitations among judges,
attorneys, law enforcement officers, probation
officers, victims, defendants and witnesses often
result in delays in the judicial process.
Technologies to increase efficiencies and speed the
time frame of judicial proceedings and correction
monitoring might include, but are not limited to:
(1) the application of secure teleconferencing
mechanisms to conduct judicial proceedings; (2)
advanced software applications to optimize
scheduling management; (3) database
interoperability to maximize court and probation
records and access; and (4) remote check-in
capability for paroled or community supervised
criminals.

Category 3:

Behavioral and Organizational Impacts of
Technological Advances.

Purpose: While considerable literature about
technology development and transfer exists, there
is a need for more knowledge and greater
understanding about the infusion and impacts of
specific new technologies within the criminal
justice system. This part of the solicitation seeks
proposals that explore the dynamics of technology
infusion processes, and the resulting behavioral,
operational, and organizational consequences of
technologies which have, or could be, introduced
into law enforcement, courts, and/or corrections.

Key Issues to be Examined: Key issues to be
examined through this solicitation include, but are
not limited to: (a) early identification and the
overcoming of barriers to technology adoption and
modernization; (b) adoption processes through which
existing technologies not currently in use by the
criminal justice system can be identified,
modified, and/or imported for law enforcement,
courts, or correctional use; ( c) development of
methods to identify significant new areas of
technologies that respond to emerging social and
demographic trends; examine and assess the need for
proposed technologies, particularly through cost-
benefit analysis; and to predict the acceptance by
stakeholders (including component managers and
staff, community members and organizations, policy
makers, etc.) of technology development and use
within the criminal justice system; and (d) ways to
increase the capacity of criminal justice personnel
to employ technologies innovatively, to the fullest
potential, while also ensuring implementation and
operational accountability; and to develop and
evaluate effectiveness of implementation efforts.

Additional issues to consider might include the
implications of technology use for an
organization's structure, the effect on performance
and practices of law enforcement, courts, and/or
corrections officials, requirements for training,
issues of potential liability or other legal or
constitutional issues pertaining to the use of the
technology, and measurable outcomes in terms of
reduced criminal activity, or other indicators of
benefits to public safety.

Proposals accepted under this portion of the
solicitation will conduct research on the interplay
between the introduction of technologies to
criminal justice agencies, and behavioral or
organizational processes. Areas of interest
include, but are not limited to, the analysis of
lessons learned regarding the introduction of
technologies to criminal justice agencies, assess
the current state of use of particular technologies
in criminal justice agencies, and/or evaluate the
introduction of a specific technologies in criminal
justice agencies. One or more specific technologies
can be used as the basis for study in one or more
criminal justice agencies. Technology categories
which are appropriate to serve as a basis for study
include, but are not limited to computerized
information management, communications,
area/facility control, body and vehicle armor,
explosives and contraband drug detection and
tracking, forensics, medical (including
telemedicine), prisoner and subject control,
surveillance and tracking, simulation and training,
vehicle stopping, weapons detection and
disablement, and interagency access to databases. 

Category 4:

Creative Technology Solutions to Law Enforcement,
Courts, and Corrections Problems

The intent of this category is to serve as an "open
window" to encourage the submission of research,
development, and application proposals which will
result in creative, innovative technologies to
benefit law enforcement, courts, and/or corrections
efforts. All proposals in technology application or
practice areas not addressed in the previous three
categories will be considered in this category.

The burden of proof in demonstrating the
relationship and benefit law enforcement, courts,
and/or corrections agencies will derive from the
applicant's proposal rests entirely with the
applicant. 

As with other category areas, proposal writers are
reminded that technological solutions should serve
as work force multipliers which relieve law
enforcement, courts, and/or corrections officials
of excess burdens in order to substantially enhance
their ability to efficiently perform their duties.
Such research, development, testing, evaluation,
adoption, and implementation projects should
address real and significant law enforcement,
courts, and/or corrections problem areas. 

Applicants are reminded that the resulting
technological solutions should be affordable to
acquire as well as to maintain.

---------------------------------------------

Application Procedures

Requirements

The components listed below comprise a complete
application. All forms listed are required, except
where specific exceptions are noted. All forms
required to complete an application are included at
the end of this document. Applicants should be
aware that the volume and complexity of
applications received are an administrative and
logistical workload that precludes NIJ staff from
editing applications and contacting applicants to
make corrections. Omission of a form; unsigned
forms; or applications not collated in the order
listed below are among the reasons for which an
application can be rejected for administrative
reasons without further consideration nor appeal:

Tab A. SF 424, Application for Federal Assistance
[signature required]. 

Tab B. OJP Form 7150/1, Budget Detail Worksheet. 

NOTE: Attach a copy of your approved Federal
indirect cost rate, when applicable. See item 11
under the "Recommendations to Proposal Writers"
section for more information on indirect costs. 

Tab C. Budget Narrative. 

Tab D. OJP Form 4000/3, Assurances [signature
required].

Tab E. OJP Form 4061/6, Certifications Regarding
Lobbying; Debarment, Suspension and Other
Responsibility Matters; and Drug-Free Workplace
Requirements [signature required].

Tab F. OJP Form 7120/1, Accounting System and
Financial Capability Questionnaire [signatures
required, including that of an independent CPA]. 

NOTE: This form is required only for first-time NIJ
applicants from nonprofit and for-profit
organizations. All other applicants should insert a
sheet of paper with the following phrase centered
on the middle of the page:

        This Tab Not Applicable

Tab G. Project Abstract.

Tab H. Project Narrative.

Tab I. Qualifications of the Applicants.

Due Date. Ten (10) copies of fully executed
proposals should be sent to:

Solicitation for Law Enforcement, Courts and
Corrections
   Technology Development, Implementation and
Evaluation
National Institute of Justice 
Office of Science and Technology, Room 903 
633 Indiana Avenue, N.W. 
Washington, D.C. 20531 

Completed proposals must be received at the
National Institute of Justice by the close of
business on September 16, 1996, or November 1,
1996. Extension of these deadlines will not be
considered under any circumstances.

Discussion of the Application Package

Project Abstract. The abstract of the full proposal
should highlight the research and development
project's purpose (need or application addressed),
technical approach, value added with technical
approach, cost (both proposed effort and end-
product cost), and proposed individual or
partnership efforts. The abstract should not exceed
one page. 

Project Narrative. Included among the components of
the proposal's project narrative should be sections
addressing the following areas:

o  Description of the technology research and
development project. Applicants should give a
detailed description of the proposed research and
development technology project. A description of
the law enforcement, courts, or corrections problem
or challenge to be addressed by the proposal should
be included, as well an explanation of how the
proposed technology could be utilized as a work
force multiplier in law enforcement, the courts,
and/or corrections. Applicants should include an
explanation of the attributes of the technology
which make it sufficiently different from any other
currently available or in-development technology.
They also should offer a per unit cost forecast
that would make any product resulting from the
research and development realistically affordable
given the severe budgetary limitations of the vast
majority of law enforcement, courts, and
corrections agencies throughout the United States. 

o  Description of the project team. Projects may be
carried out by either an individual organization
acting independently, or by a partnership group
with a law enforcement, courts, and/or corrections
organization playing an active role in the
technology development process. If the project is
to be carried out by a partnership group,
applicants should provide a description of the
active partnership between a law enforcement,
courts, and/or corrections agency and a private
company, academic institution or other
organization(s) to implement the research and
development project. Applicants are reminded that
assurance of active input and participation from a
recognized law enforcement, courts, and/or
corrections agency throughout the term of the
project is a central factor in determining whether
a proposal will receive a grant award.

o  Management plan/project implementation plan.
Applicants should provide a sufficiently detailed
plan that outlines the major activities (tasks)
involved in implementing the project, describes how
resources will be allocated to implement the
project, describes how the project will be managed,
and includes a schedule (time line) for completing
major aspects of the project.

Qualifications of the Applicants. The proposal
should include resumes. Applicants should
demonstrate education, current knowledge, and
recent experience in field(s) relevant to the
technology to be developed. 

Budget and Budget Narrative. Applicants should
provide an appropriate budget along with a detailed
budget narrative that justifies all costs and
provides a basis for computation of these costs. 

Award Period. In general, NIJ limits its grants and
cooperative agreements to a maximum period of
twelve (12) to twenty-four (24) months. However,
longer budget periods may be considered, and there
may exist the possibility of renewal.

Award Amount. NIJ expects to have $10 million to
$15 million available to fund awards made under
this solicitation. It is anticipated that this
amount will support numerous awards. Actual
individual funding allocations will be based on the
quality of proposals submitted.

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

Letter of Intent. NIJ is working to streamline its
solicitation processing system to accommodate the
volume of proposals anticipated under this and
other Crime Act solicitations. Grant applicants can
help in a significant way by sending a non-binding
letter of intent at least two weeks prior to the
closing date for submission of their proposal. NIJ
will use these letters to forecast the number of
peer panels it needs and to identify conflicts of
interest among potential reviewers. 

There are several ways to transmit the
notification: fill out the letter of intent form on
the last page of this solicitation, or draft a
letter with the necessary information and mail it
to the address listed above. The notification may
also be faxed to: (202) 307-9907; or it can be
transmitted via electronic mail to:
SL168@OJP.USDOJ.GOV.

Cost Sharing. As stated above, proposal writers are
encouraged to explore opportunities to utilize
matching funds and/or other creative cost sharing
mechanisms to fully leverage the potential benefit
from the proposed technology development project.

Points of Contact

Applicants are strongly encouraged to contact NIJ
to discuss topic viability, administrative
questions, data availability, or proposal content
before submitting proposals. To obtain further
information, potential applicants may write to the
attention of one of the following Program Managers
at the address stated previously for application
submission:

Mr. Trent DePersia (focus areas: All); 
Dr. Raymond Downs (focus areas: Less-Than-Lethal
and Concealed    Weapons Detection); 
Dr. Richard Rau (focus area: Forensics); 
Dr. Steven Edwards (focus area: Category 3)

or contact the relevant program manager by fax at
202-307-9907, or by electronic mail at
SL168@OJP.USDOJ.GOV. Please include the name of the
relevant program manager in your correspondence.
Applicants may also contact the Justice Response
Center at (800) 421-6770, or (202) 307-1480 for
general information. Inquiries may also be sent to
the Justice Response Center by fax at 202-616-9249.

Selection Criteria

Proposals will be selected for funding through a
technical, operational, capability and business
decision process with recommendations from a NIJ
peer review panel. The peer review panel will
consist of members with technical and operational
expertise in the subject areas of this
solicitation.

Evaluations will be performed using the following
criteria:

1. Quality and Technical Merit

o  Innovation; potential for revolutionary advance

o  Soundness of approach

o  Potential for highly reliable use in Law
Enforcement, Courts, and Corrections 

o  Awareness of state-of-art; ability to apply the
work of others

o  Design of demonstration systems

o  Usefulness to Law Enforcement, Courts and/or
Corrections 

2. Relevance to Law Enforcement, Courts, and/or
Corrections

o  Well defined and realistic problem domains

o  Potential for revolutionary advance to Law
Enforcement, Courts, and/or Corrections operations

o  Relevance of demonstration plan to application
domain

o  Ability to evaluate contribution to Law
Enforcement, Courts, and Corrections operations

3. Capabilities and Experience

o  Qualifications/demonstrated productivity of
personnel

o  Quality of related experience of personnel

o  Responsiveness to goals of solicitation

o  Ability to manage proposed effort

o  Adequacy of resources to perform effort

4. Cost Realism and value of proposal to law
enforcement, courts, and corrections agencies

o  Total cost relative to benefit

o  Facilities and staff at realistic cost levels

o  Cost-effective use of existing equipment and
software

o  Cost-effective technology transition

Monitoring 

Each award under this solicitation will be
monitored according to the Office of Justice
Programs (OJP) Handbook 4500.2C (revised Chapter 7
Monitoring). 

Products

In addition to any technology developed through the
grant award, at a minimum the project should
include a summary report of activities and
accomplishments.

Grant Funds Must Supplement and Not Supplant

Grant funds may not be used to replace State or
local funds (or, where applicable, funds provided
by the Bureau of Indian Affairs) that would, in the
absence of Federal aid, be available or forthcoming
to or for law enforcement purposes. The possibility
of supplanting will be the subject of careful
application review, post-award monitoring, and
audit. Any supplanting of non-Federal funds by
grant funds is a ground for potential suspension of
funding or termination of grant funding, recovery
of funds already provided, and other civil or
criminal sanctions. 

Eligibility requirements

NIJ awards grants to, or enters into cooperative
agreements with, educational institutions, non-
profit organizations, public agencies, individuals,
and profit making organizations that are willing to
waive their fees.

-------------------------------------------------

Recommendations to Proposal Writers

Over the past four years, NIJ staff have reviewed
approximately 1,500 grant applications. On the
basis of those reviews and inquiries from
applicants, the Institute offers the following
recommendations to help potential applicants
present workable, understandable proposals. Many of
these recommendations were adopted from materials
provided to NIJ by the State Justice Institute,
especially for applicants new to NIJ. 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. The Institute
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 of
knowledge or state of the science 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
goals 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. The
Institute 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, fringe
benefits, travel, equipment, supplies and indirect
costs should be identified separately. "Other"
costs should be addressed in detail in the budget
narrative, and should not include set-asides for
undefined contingencies. The budget is prepared on
OJP Form 7150/1. When completing this form,
applicants should ensure they separately list
Federal funds from any other source of funding for
each cost category. 

7. How much detail should be included in the budget
narrative? The narrative should describe how the
applicant arrived at the numbers presented on OJP
Form 7150/1. This is the place where all cost
assumptions and other cost items that may need
explanation can be detailed. For multi-year
projects, applicants must include the full amount
of NIJ funding for the entire life of the project,
and provide a detailed breakout for each year of
proposed funding. This amount should be reflected
in item 15g on SF 424 and on the line for TOTAL
PROJECT COSTS on the last page of OJP Form 7150/1.
When appropriate, 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
one 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 = $375.00). 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. 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, goals, 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. 

10. 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.

11. 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 two 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 OJP Form 7150/1 (see
item 6). 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.

12. 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. 

13. 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.

14. What are the deadlines? Deadlines for
submission of proposals are September 16, 1996, and
November 1, 1996.

15. Is there a page limit? The Institute has
established a limit of 30 double-spaced pages (with
font size not smaller than 12 point) for all grant
applications. This page limit does not include
references, budget narrative, curriculum vitae,
forms, or necessary appendices. Applications for
small grants ($1,000 to $50,000) are limited to 15
double-spaced pages. Proposals failing to conform
to these page and font limitations will not be
accepted. 

16. 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, NIJ, who has sole and final authority
over approval of awards. The review normally takes
60 to 90 days, depending on the number of
applications received. 

17. What are the criteria for an award? The
essential question asked of each applicant is, "If
this effort were successful, how would criminal
justice policies or operations be improved?"
Evaluations will be based on the criteria described
in the "Selection Criteria" section in this
solicitation.

18. 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. Performance factors
include not only the efficacy or previous or
current projects, but also the thoroughness,
timeliness and accuracy of all reporting
requirements. 

19. 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.

20. Does NIJ accept resubmission of proposals? The
Institute will accept resubmission of a previously
rejected proposal. The applicant should indicate on
Question 8, SF 424, that the application is a
revision. The applicant should also include this
information in the abstract. Finally, the applicant
should prepare a one-page response to the earlier
panel review (to follow the abstract) including:
(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
the law enforcement, courts and corrections
community. In particular, NIJ strongly encourages
efforts that provide products or information of
practical utility to law enforcement officials;
prosecutors; judges; corrections officers; victims
services providers; and Federal, State, county, and
local elected officials.

Research report products should include: 

o  A summary of approximately 2,500 words
highlighting the findings of the research 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 the 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. 

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.

Reporting Requirements

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, the
Institute imposes specific requirements to ensure
that proper financial and administrative controls
are applied to the project. Financial and general
reporting requirements are detailed in the Office
of Justice Program's Financial Guide. This manual
provides policy guidance and controls, and is sent
to recipient institutions with the award documents.
Project directors and recipient financial
administrators should pay particular attention to
the requirements in this document. 

Audit requirements. 

State and local governments are governed by the
Single Audit Act of 1984 and OMB Circular A-128,
"Audits of State and Local Governments." The audit
requirements are as follows: 

o  If the organization receives $100,000 or more
per year in Federal funds, an organization-wide
financial and compliance audit is required.

o  If the organization receives between $25,000 and
$100,000 per year in Federal funds, the
organization may elect to have an organization-wide
audit or program audit.

o  If the organization receives less than $25,000
per year in Federal funds, the organization is
exempt from the audit requirement.

Nonprofit organizations and institutions of higher
education are governed by the Single Audit Act of
1984 and OMB Circular A-133, "Audits of
Institutions of Higher Education and Other
Nonprofit Institutions." The audit requirements are
as follows: 

o  If the organization receives $300,000 or more
per year in Federal funds, an organization-wide
financial and compliance audit is required.

o  If the organization receives less than $300,000
per year in Federal funds, the organization is
exempt from the audit requirement.

Commercial (for-profit) organizations are required
to 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
described above) apply.

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.

Progress Reports. NIJ Program Managers must be kept
informed of research progress. Written progress
reports are required on a semi-annual basis and
should inform the Program Manager of which tasks
have been completed and whether significant delays
or departures from the original work plan 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.

Standards of Performance by Recipients

Conditions for suspension or termination of
funding. The National Institute of Justice 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
goals 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; or

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

Before imposing sanctions, the National Institute
of Justice 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
part 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 are:

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

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.

Timeliness 

Grantees are expected to complete award products
within the time frames that have been agreed upon
by NIJ and the grantee. The Institute 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 Code of
Federal Regulations (CFR), Part 22.

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 Part 46, paragraph 46.101 to
determine their individual project requirements.

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Call NCJRS at 800-251-3420 to obtain application
forms for the Solicitation for Law Enforcement,
Courts and Corrections Technology Development,
Implementation and Evaluation. NIJ application
forms available online are not applicable to this
solicitation. Therefore, please contact NCJRS at
the above number to obtain the correct application
forms for this particular solicitation. Ask for
document number SL000168.