U.S. Department of Justice

Office of Justice Programs

National Institute of Justice

DEPARTMENT OF JUSTICE

OFF ICE OF JUSTICE PROGRAMS

BJA NI J OJJDP BJS OVC

National Institute of Justice

NIJ

RESEARCH

PLAN
From the Director

Dear Colleague:

I am pleased to present the National Institute of Justice Research Plan for 1995-1996.

This Research Plan represents both continuity and change. We have reaffirmed the Institute’s

commitment to develop knowledge that will assist the Nation in achieving six important goals:

reduce violent crime, reduce drug- and alcohol-related crime, reduce the consequences of

crime, improve crime prevention, improve law enforcement and criminal justice, and develop

new technologies.

This Research Plan is significantly shorter than in previous years. We have described the

Institute’s research interests in the broadest possible terms, leaving to the research community

the important responsibility of recommending specific topics and strategies for funding consideration. This new format underscores our commitment to investigator-defined research.

Other changes are noteworthy. For the first time, the Institute’s Plan is defined as a Research

Plan, not as a Program Plan. The Institute’s programmatic initiatives, such as our research fellowships, internships, and collaborations with professional associations, will be described in a

separate document. Since we have merged the research and evaluation offices within the Institute, we no longer ask applicants to characterize a proposal as research or evaluation. We have

placed a special emphasis on our research partnerships with other Federal research entities and

private foundations, encouraging the field to pursue interdisciplinary research proposals and

collaborative funding strategies.

Finally, we note in the Plan that the Institute expects to release, by mid-1995, special solicitations for research studies in four topical areas — policing, boot camps, violence against women,

and treatment drug courts. In each of these areas, the 1994 Crime Act provided support for

continuing innovation at the local level. Accordingly, the Institute is developing separate

research and evaluation strategies to inform the development of these important innovations

and to assess the effectiveness of specific initiatives. Within the same timeframe, we also

expect to release a solicitation for proposals to evaluate specified programs funded by the

Bureau of Justice Assistance.

We value our partnership with the research and practitioner communities. We encourage you

to contact us to ask questions, seek advice, or provide feedback on the Research Plan itself.

Your views matter to us.

We look forward to fruitful collaborations in the months and years to come.

Jeremy Travis

Director
National Institute of Justice

NIJ

RESEARCH

PLAN

1995–1996
ii

National Institute of Justice

Jeremy Travis

Director

This document reflects the significant contributions of all the National Institute of Justice staff, whose

names appear on page iv of this document.

Primary staff responsibilities were coordinated by Edwin Zedlewski, Ph.D. and Winifred Reed, Office

of Research and Evaluation.

Editorial assistance was provided by Eugene E. Hebert, Mary Graham, and Daniel Tompkins, National

Institute of Justice, with production responsibilities carried out by Joan Alpert, David L. Schmidt, and

Stephanie Melis of the National Criminal Justice Reference Service.
iii

Telephone Contacts

National Institute of Justice

Research Plan 1995–1996

For general information regarding NIJ’s 1995–96 Research Plan, please contact Edwin Zedlewski, at

(202) 307–2953, or Winifred Reed, at (202) 307–2952. For other general NIJ information, contact

Carrie Smith, at (202) 616–3233. For document publication information, contact Mary Graham, at

(202) 514–6207.

For information about the Violent Crime Control and Law Enforcement Act of 1994 (Crime Law),

contact the Department of Justice Response Center, at (202) 307–1743 or (800) 421–6770.

For substantive questions regarding specific Goals, please contact the appropriate Program Manager.

Names and telephone numbers of all Program Managers are listed at the end of each Goal.

To inquire about NIJ receipt of applications, contact Louise Loften, at (202) 307–2965.

For general information about NIJ programs and funding opportunities, and application procedures; for

requests for reprints, literature, final reports, funded grants on related topics, etc.; for names of researchers or practitioners working on related topics, contact the National Criminal Justice Reference Service

(NCJRS), at (800) 851–3420.

The NIJ 1995–96 Research Plan is also available electronically via the National Criminal Justice Reference Service Bulletin Board System. You can access the Bulletin Board through the Internet (telnet to

ncjrsbbs.aspensys.com or gopher to ncjrs.aspensys.com 71) or through a modem (set at 9600 baud and

8–N–1; dial 301–738–8895). The NIJ Research Plan is listed under the “National Institute of Justice

Information” menu.

For Internet access information, e-mail lively@justice.usdoj.gov.
iv

Pamela Lattimore

Edwin Zedlewski

Office of Science and Technology

David Boyd, Director

Audrey Blankenship

Raymond Downs

Kevin Jackson

Richard Rau

Robert Tolle

Office of Communication and Research

 Utilization

Paul Cascarano, Director

Tamara Ross

Reference and Dissemination Division

Paul Estaver, Director

Mary Graham

Eugene Hebert

G. Martin Lively

Daniel Tompkins

Research Applications and Training

 Division

Virginia Baldau, Director

Cheryl Crawford

Marilyn Moses

Carolyn Peake

Samuel McQuade

John Spevacek

John Thomas

Jeremy Travis

Director

Office of the Director

Margaret Battle

Chriss Wetherington

Christy Visher

Planning and Management Division

Carol Petrie, Director

Sheila Parker-Darby

Denise Gadson

Phyllis Poole

Carrie Smith

Office of Research and Evaluation

Sally T. Hillsman, Director

Louise Lofton

Evelyn Washington

Criminal Behavior

Thomas Feucht

James Trudeau

Crime Control

Lois Mock

Rosemary Murphy

Richard Titus

Winnie Reed

Criminal Justice

Bernard Auchter

Laurie Bright

Voncile Gowdy

National Institute of Justice Staff
v

Table of Contents

From the Director .....................................................................................................................inside cover

Contacts ................................................................................................................................................... iii

National Institute of Justice Staff............................................................................................................. iv

Introduction .............................................................................................................................................. 1

Goal I: Reduce Violent Crime.............................................................................................................. 5

Goal II: Reduce Drug- and Alcohol-Related Crime ............................................................................. 7

Goal III: Reduce the Consequences of Crime ...................................................................................... 11

Goal IV: Improve the Effectiveness of Crime Prevention Programs .................................................... 13

Goal V: Improve Law Enforcement and the Criminal Justice System................................................ 15

Goal VI: Develop New Technology for Law Enforcement and the Criminal Justice System .............. 19

Administrative Guidelines ...................................................................................................................... 23

Application Information .................................................................................................................. 23

Recommendations to Grant Writers ................................................................................................ 23

NIJ Policy Regarding Unsolicited Proposals .................................................................................... 28

Requirements for Award Recipients ................................................................................................. 28

Application Forms ................................................................................................................................... 31
vi
1

Introduction

The National Institute of Justice (NIJ) is the research and development agency of the U.S. Department of Justice. Created in 1968 by Congress

pursuant to the Omnibus Crime Control and Safe

Streets Act, the Institute is authorized to:

❖ Sponsor research and development to improve

and strengthen the Nation’s system of justice with

a balanced program of basic and applied research.

❖ Evaluate the effectiveness of criminal justice

and law enforcement programs and identify those

that merit application elsewhere.

❖ Support technological advances applicable

to criminal justice.

❖ Test and demonstrate new and improved

approaches to strengthen the justice system.

❖ Disseminate information from research,

development, demonstrations, and evaluations.

This Plan signals the new administrative direction

that NIJ will follow to achieve its research and

evaluation goals. Conceptually, the Plan is the

basis of NIJ’s pyramid of research. It will be

supplemented over the coming months by a series

of solicitations on topics that speak to current or

persistent policy concerns that warrant research

investments. By their nature, those solicitations

will represent a somewhat more focused part of

this pyramid. Intramural studies are at the apex of

the research pyramid. Questions with strong

policy orientation or immediate concern may best

be addressed by NIJ staff who can interact directly

with the policymakers asking the questions.

Readers of prior NIJ Plans will find that this Plan

has been substantially shortened. Much of the

traditional background text has been discarded;

suggested research topics have been reduced from

paragraphs to phrases. This change in style, however, implies no change in the kinds of research

being sought. NIJ believes that this abbreviated

format is more consistent with the spirit and

intent of the Plan as a vehicle to encourage the

field to submit original ideas on a wide range of

research issues.

Focused solicitations will appear intermittently

over the next year. These will address more specific topics for which special funding is available.

Certain activities funded under the Violent Crime

Control and Law Enforcement Act of 1994

(Crime Law) will be focal points—specifically,

community policing, violence against women,

boot camps, and drug courts—as will evaluations

of selected Bureau of Justice Assistance programs.

NIJ will also initiate solicitations in collaborative

arrangements with other Federal agencies, as

well as for topics that NIJ believes merit special

attention for the development of knowledge.

These solicitations will be announced through the

Federal Register and other NIJ communications

channels including the Internet (the Department

of Justice and NCJRS Online) and special

mailings. Interested applicants should telephone

the National Criminal Justice Reference

Service (NCJRS) at 800–851–3420 or e-mail

askncjrs@ncjrs.aspensys.com for pending

releases and dates of announcement.

Partnerships are another new priority for the

Institute. NIJ believes that many of today’s crime

problems require solutions that extend beyond

criminal justice boundaries. The Institute has

been active in discussions with other Federal

agencies and private foundations and has established a variety of collaborative relationships.

Some of these will manifest themselves in the

form of special solicitations on specific topics or

programs. Others will simply encourage collaborative or interdisciplinary research and offer the

prospect of joint funding. Still others will result in

the development of shared research agendas. NIJ

encourages researchers from all disciplines to explore the opportunities for collaborative efforts

presented in this Plan and subsequent announcements, and to propose arrangements that they are

able to construct beyond those mentioned. NIJ
2

III. Reduce the consequences of crime.

IV. Improve the effectiveness of crime

prevention programs.

V. Improve law enforcement and the criminal

justice system.

VI. Develop new technology for law enforcement

and the criminal justice system.

Studies that involve the use of randomized experimental designs are encouraged, as are multiple

strategies for data collection, and well-controlled,

quasi-experimental designs and equivalent comparison group designs. Qualitative studies, including ethnographic data collection, are also

encouraged.

Research Collaborations

NIJ encourages joint research and evaluation

projects with other Federal agencies and private

foundations interested in crime and criminal justice issues. Applicants may wish to consider

whether their proposed project might lend itself

to joint funding with another agency or foundation. Applicants interested in exploring possible

partnerships should contact the potential partner

agency directly, or the relevant NIJ program manager, to discuss specific topics for possible collaborative projects. NIJ has entered into memorandums of agreement or is in other ways collaborating with the Departments of Defense, Education,

Energy, Health and Human Services, Housing and

Urban Development, and Treasury. Agencies and

foundations that have indicated a desire to collaborate with NIJ on projects of mutual interest,

or are currently involved in joint research efforts

with NIJ, include:

Agencies

Advanced Research Projects Agency (DOD)

Bureau of Alcohol, Tobacco, and Firearms

Bureau of Justice Assistance

Centers for Disease Control and Prevention

Center for Mental Health Services

particularly encourages coordination of research

applications with submissions in other OJP agency

Plans.

An organizational change has also occurred. The

factors that distinguish “research” from “evaluation” are subtle and secondary to the substance of

the issues. Therefore, the Institute has merged

these functions into a single Office of Research

and Evaluation that will review submissions for

both areas. The Plan invites proposals for a range

of funding amounts. It includes a category of small

grants (less than $50,000) across all goals and

subjects. Readers should consult the administrative sections of the Research Plan for additional

information on the differences in application

requirements.

Six Strategic

Long-Range Goals

In FY 1993, the Institute set forth six long-range

goals as the focus of NIJ research, evaluation, and

development in the coming years. The creation

of this long-range agenda was well received; a

large number of research and evaluation proposals

were submitted, providing an interdisciplinary

framework for 1994.

In this 1995-96 Research Plan, the Institute specifies the research, evaluation, and technology

projects that NIJ anticipates supporting under

each goal. The numeric order of the goals does

not indicate levels of priority for the Institute.

Many of the special grant programs for individuals—such as the Data Resources Program,

various Fellowship programs, the NIJ Internship

Program—are now described in a separate publication, which will be announced in the Federal

Register.

NIJ solicits research and evaluations to develop

knowledge that will further these long-range

goals:

I. Reduce violent crime.

II. Reduce drug- and alcohol-related crime.
3

Center for Substance Abuse Treatment

Corrections Program Office (OJP)

Drug Courts Program Office (OJP)

National Aeronautics and Space Administration

National Institute of Mental Health

National Institute on Alcohol Abuse and

Alcoholism

National Institute of Corrections

National Institute on Drug Abuse

National Science Foundation

Office of Community-Oriented Policing

Services (DOJ)

Office of Juvenile Justice and Delinquency

Prevention

Office of Assistant Secretary for Planning and

Evaluation (HUD)

Office of National Drug Control Policy

Office for Victims of Crime

State Justice Institute

Violence Against Women Program Office (OJP)

Foundations

The Annie E. Casey Foundation

The Carnegie Corporation of New York

The Ford Foundation

The Daniel and Florence Guggenheim

Foundation

The J.C. Kellogg Foundation

John D. and Catherine T. MacArthur Foundation

The Pew Charitable Trusts

The Prudential Foundation

The Ronald McDonald Foundation

The Rockefeller Foundation

The Institute cannot guarantee that joint funding

for research and evaluation projects will be forthcoming from these sources. Applicants should

consider whether their proposals are in accord

with the goals of these agencies and private

foundations.

Specific information about applying for Institute

grants is contained in the section “Administrative

Guidelines.” See p. 23 of this Plan.
5

Goal I: Reduce Violent Crime

Purpose

The purpose of this solicitation is to encourage

research and evaluation projects spanning six

broad areas: family violence, violence against

women, homicide, firearms and violence, gangs,

and juvenile violence. Through this solicitation

the National Institute of Justice (NIJ) expects to

support research that will improve the criminal

justice knowledge base on crimes and criminal

behavior that increasingly concern the public.

Background

Violent crime is a leading concern among the

American public today. According to the National Crime Victimization Survey (NCVS), in

1992 there were 6.6 million violent victimizations

in the United States—including 141,000 rapes,

1.2 million robberies, and 5.3 million assaults.

The violent crime rate is steadily increasing, especially among juveniles, and in 1992 was the highest ever recorded for blacks; homicide is now the

leading cause of death for young black males.

Handguns are a major factor in the increasing

violence, especially in the commission of homicide. Of the 23,760 murders reported to the FBI

in 1992, handguns were used in 55 percent. One

of the most critical issues in any consideration

of ways to reduce violence and its consequences

is the role firearms play in contributing to violent

crime, serious injury, and death. The NCVS estimates the rate of nonfatal handgun victimizations

in 1992 at 4.5 crimes per 1,000 persons aged 12

or older—the highest such figure on record. Findings from an NIJ and Office of Juvenile Justice

and Delinquency Prevention (OJJDP) study of

incarcerated juveniles and inner-city high school

students showed that 83 percent of inmates and

22 percent of students had possessed guns, with

55 percent and 12 percent respectively having

carried guns all or most of the time.

Between 1988 and 1992, arrests of juveniles for

violent crimes increased by 47 percent—more

than double the increase for persons 18 years of

age or older. Over the same period, juvenile arrests for homicide increased by 51 percent and

statistics on weapons law violations indicate that

juvenile use of guns has increased dramatically.

Spousal abuse commonly comes to mind when

violence against women is discussed, but violence

against women is much broader. According to the

NCVS, more than 2.5 million women experience

violence each year; nearly two in three female

victims of violence were related to or knew their

attacker; about a third were injured as a result of

the crime; nearly half the victims of rape believed

the offender to have been under the influence of

drugs or alcohol at the time of the attack. The

issue has emerged as a topic of national interest

and led to the inclusion of the Violence Against

Women Act (VAWA) in the 1994 Crime Law.

The Crime Law contains many other provisions

directed toward the prevention, control, and reduction of violent crimes—enhancements for law

enforcement, correctional facilities, and drug

treatment options; restrictions on firearms; provisions to deal with juvenile crime and gangs; and

increases in the programs and research about family violence as well as violence against women.

Through this general solicitation NIJ encourages

studies that will address these areas of broad general concern and that examine the specific priorities identified in the 1994 Crime Law, particularly

with regard to violence among juveniles and the

illegal possession and use of firearms. The Institute is especially interested in filling critical gaps

in current knowledge and identifying and evaluating existing programs of crime prevention and

control.
6

Research Areas of Interest

Listed below are examples of research areas that

could advance criminal justice knowledge and

practice under Goal I of the NIJ Research Plan.

Individuals are encouraged to suggest their own

topics of interest. Research is encouraged in, but

not limited to, the following areas:

❖ Studies of Offenders and Offenses. Criminal

careers of offenders who engage in violent crime,

including risk and protective factors, and initiation, frequency, and termination patterns. Studies

of specific offenses and offenders, including robbery, sexual assault, child sexual assault, stalking,

and homicide. Offender perceptions of criminal

justice response to violent offenders. Juvenile violence, including escalation patterns, racial conflicts, and influence of peers and gangs. Family

violence involving intimate partners, spouses,

children, and elders.

❖ Violent Situations. Role of gangs and group

offending in criminal violence. Studies of patterns

in violent events, including triggering events,

situational elements, and predisposing influences.

Protective factors in neighborhoods and communities at high risk of violence. Violence in specific

situations and locations including schools, families, recreational settings, and the workplace.

❖ Firearms Violence. Adult and juvenile patterns of gun availability, sources of guns, and use

in violent crime. Role of illegal markets in weapons on patterns of firearms violence, especially

among juveniles. Impact of firearms laws on gun

crimes, substitution of other weapons, and offense

patterns. Feasibility studies of innovative firearms

regulations.

❖ Responses to Violent Offenders. Differentiating system responses to violence from responses to

other crimes. Violence prevention. Evaluation of

innovative programs and practices. Evidentiary

concerns, including uncooperative witnesses.

Management of violent offenders on probation

and parole including risk assessment, treatment

programs, and community supervision.

❖ Violence Against Women. Note: NIJ is not

receiving applications for research on violence

against women under the June and December

1995 deadlines. Instead, researchers should await

the special solicitation to be issued in 1995, as

noted in the Introduction to this Plan.

Contact

Applicants are encouraged to contact NIJ Program Managers to discuss topic viability, data

availability, or proposal content before submitting

proposals. To obtain specific information on the

programs described under this goal, potential

applicants may contact:

Bernard Auchter, (202) 307–0154, for family

violence and violence against women.

Lois Mock, (202) 307–0693, for firearms violence.

Winifred Reed, (202) 307–2952, for gangs.

James Trudeau, (202) 307–1355, for studies of

offenders and offenses, violent situations, and

responses to violent offenders.
7

Goal II: Reduce Drug- and

Alcohol-Related Crime

Purpose

The purpose of this solicitation is to encourage

research and evaluation projects that will improve

the criminal justice knowledge base about crimes

and criminal behavior involving the use of drugs

and alcohol. Through this solicitation the National Institute of Justice (NIJ) seeks to clarify

further the relationship between substance abuse

and crime and to reduce drug- and alcohol-related

crime.

Background

Substance abuse and drug-related crimes continue

to affect the lives of countless Americans residing

in both urban and rural neighborhoods across the

Nation. NIJ’s Drug Use Forecasting (DUF) data

show an increase in marijuana use and relatively

stable but high levels of major addictive substance

use among booked arrestees in the 23 urban areas

monitored by DUF. Recent data from the Drug

Abuse Warning Network (DAWN) indicate

that the use of heroin and cocaine is on the rise.

Efforts to prevent and reduce drug-related crime,

and thereby improve the quality of life in these

areas, continue to occupy the criminal justice

community.

Alcohol is used by both offenders and victims in

a significant proportion of violent events, with

documented connections between both situational and chronic drinking and aggressive or

violent behavior. The National Academy of Sciences Panel on the Understanding and Control of

Violent Behavior has called for more research into

the role of alcohol in promoting violent events,

particularly since little is known about how alcohol and violence may reinforce one another or

how the alcohol-violence relationship may vary

depending on type of violence.

The criminal justice system is the largest single

source of external pressure influencing abusers

who otherwise would not enter substance abuse

treatment programs. Half or more of the admissions to community-based residential and outpatient substance abuse treatment programs are offenders on probation or parole. Criminal justice

referral to treatment relieves courts and prisons

of overcrowding and reduces the high cost of continued incarceration, while providing an added

degree of supervision beyond what probation or

parole offices may be able to afford. When successful, treatment further reduces criminal justice

costs by breaking the pattern of recidivism that

brings typical substance abusers back into the

criminal justice system again and again.

Research on criminal justice-involved populations

suggests that substance abuse treatment can be

effective in reducing substance abuse and criminal

activity while the client is in treatment and for

some time thereafter. As substance abuse programs are implemented, it is important to provide

critical feedback on how they are working and for

whom they are most effective. It is also important

to determine how best to provide treatment—

through public criminal justice agencies or

through private treatment agencies under

contract.

Substance abuse prevention programs continue to

proliferate in response to public concerns. Comprehensive substance abuse programs for youths

can promote anti-drug social norms and thereby

reduce or prevent the use of cigarettes, alcohol,

marijuana, heroin, and cocaine. NIJ seeks to

evaluate comprehensive community-based substance abuse programs that develop partnerships

among criminal justice and schools, health

centers, families, peers, and media.
8

NIJ’s Drug Use Forecasting (DUF) program gathers offense and drug use information from samples

of adult and juvenile arrestees at 23 sites nationwide, providing access to a national sample of

arrestees within hours of arrest. Along with a

brief, voluntary interview, urine specimens are

obtained to test for evidence of recent use of

drugs. For 7 years, data from NIJ’s DUF program

have traced the trends in drug use among persons

arrested for a wide range of offenses. Beginning

in 1995, NIJ solicits proposals that capitalize and

expand upon the research potential provided

through the DUF program’s quarterly collection

of interviews and urine specimens from samples

of adult and juvenile arrestees brought to jails in

23 cities nationwide.

Researchers are encouraged to develop proposals

that present innovative ways of utilizing the DUF

program as a research “platform” for pursuing a

wide range of hypotheses related to drug use and

criminal activity. For instance, in collaboration

with existing DUF sites, the basic data collection

protocol could be supplemented with additional

interview assessments or bio-assays. NIJ is also

interested in proposals that examine specific research questions by applying the DUF protocol to

targeted samples of arrestees such as those in suburban or rural jails, or those arrested for specific

offenses.

Research Areas of Interest

Listed below are examples of research areas that

could advance criminal justice knowledge and

practices under Goal II of the NIJ Research Plan.

Individuals are encouraged to suggest their own

topics of interest. Research is encouraged in, but

not limited to, the following areas:

❖ Substance Abuse and Criminal Behavior.

Relationships between drugs, alcohol, and violence, including the individual and environmental circumstances. Relationship between substance abuse and related criminal behavior of

all types, including family violence. Understanding substance abuse careers and how they track

with criminal careers over time. Inventory of

the validity, scope, and gaps in current substance

abuse data sets.

❖ Substance Abusing Offenders and the Criminal Justice System. Impact of pretrial services,

adjudication, sentencing, and corrections (including community corrections) programs. Effect of

strategies implemented in one segment of the

system on the rest of the system. Offender attitudes, perceptions, and experiences as they move

through particular components/programs. Effective use of a series of graduated sanctions for

noncompliance behaviors. (For research on

treatment drug courts, see page 16.)

❖ Substance Abuse Prevention. Cost benefit

analyses. Impact of criminal justice-based strategies on later substance abuse and other related

criminal behavior. Development and identification of demand-reduction strategies and programs

for high-risk populations.

❖ Treatment and Aftercare Evaluations. Assessment of treatment drop-outs. Determination of

the optimal mix of various treatment and aftercare components for various criminal justice

populations.

❖ Drug Use Forecasting (DUF) Research Platform Initiatives. Expansion of adult and juvenile

research protocols to address additional research

questions such as drug market analysis, drug treatment history of arrestees, the onset of drug use

among arrestees, the relationship between drug

acquisition and other criminal activities, and

the role of alcohol and drug consumption in the

commission of crimes.

❖ Drug Enforcement. Research on the effectiveness of interdiction efforts and control strategies

such as increased penalties for drug trafficking in

prisons and drug dealing in drug-free school zones.

Contact

Applicants are encouraged to contact NIJ Program Managers to discuss topic viability, data
9

availability, or proposal content before submitting

proposals. To obtain specific information on the

programs described under this goal, potential

applicants may contact:

Laurie Bright, (202) 616–3624, for substance

abuse research and evaluations related to the

criminal justice system.

Thomas E. Feucht, (202) 307–2949, for substance

abuse research related to DUF research platform

initiatives.

James Trudeau, (202) 307–1355, for substance

abuse research related to criminal behavior.
10
11

Goal III: Reduce the

Consequences of Crime

Purpose

The purpose of this solicitation is to encourage

research and evaluation projects that explore the

causes of victimizations, their consequences in

injury, fear, property damage, and other forms of

cost; and the institutional responses of criminal

justice agencies to victims. In addition to individual victims, the Institute is interested in the

ways that households, organizations, and communities become victims, and how victimizations

harm and otherwise alter daily functioning. NIJ is

also interested in how victim service institutions

can best serve victims to reduce the harm done.

The goals of the research solicited are to understand how natural circumstances can lead to victimizations, as well as the nature and extent of

harm caused by crime, and to use these findings

to reduce both victimization risk and severity.

Background

The extent of criminal victimization within the

United States is disturbing: In 1992, approximately 1 in every 4 households was victimized by

1 or more crimes, and 1 in 20 had at least one

member age 12 or older who was the victim of a

violent crime. Violent crime victimization rates,

after declining through most of the 1980’s, have

again begun to increase, most notably among

blacks and persons ages 12–24.

National public opinion surveys consistently indicate that crime has displaced other issues as the

Nation’s most serious concern. In a 1994 New

York Times/CBS News nationwide telephone poll,

23 percent of respondents listed crime as “the

most important problem facing this country today,” and 40 percent said they live within a mile

of an area where they would be afraid to walk

alone at night.

The harm of victimization includes injury, dollar

loss, and a pervasive sense of insecurity that

disrupts and truncates the victim’s daily activities

and satisfactions. This harm also touches those

close to or acquainted with the victim. The

victim’s needs are imperfectly understood by researchers and practitioners and are inadequately

responded to by available programs of assistance.

The victim’s dealings with the criminal justice

system often compound the damage rather than

serving to restore the victim and create a sense

of justice.

We are limited in our understanding of the antecedents and causes of victimization. “Routine activities” research—that includes the victim along

with the offender, environment, and “guardians”—has the potential to improve the validity

and effectiveness of crime prevention programs.

Such research might examine specific types of

victims, specific activity domains, or specific

locations. A special emphasis might be topics

suggested by the Violence Against Women Act,

which is discussed in Goal I.

The effects of crime reach far beyond their impact

on individuals and households, extending into

businesses, public housing areas, neighborhoods,

and ultimately into entire communities. Within

the community, violent crime, gangs and the

threat they pose, vandalism, drugs, and disorder

may cause businesses to close or relocate, reduce

employment and shopping opportunities, and decrease property values. Where this grim process is

not interrupted, urban neighborhoods and communities decay, investments dwindle or disappear,

and law-abiding residents and their organizations

move out.

Crimes against business range from the armed

robbery of a neighborhood grocery to the electronic swindle of an international corporation
12

and include such offenses as the theft of cash

or property (by customers, employees, and suppliers), burglary, vandalism, billing scams, embezzlement, extortion, computer hacking, hijacking

of shipments, kidnaping, arson, and theft of intellectual property. The cost of crime to business is,

of course, ultimately borne by consumers, employees, and residents of areas that experience a decline because of crime’s effect on local business.

Through this general solicitation NIJ encourages

studies that will address these critical areas of citizen concern. The Institute is particularly interested in research that advances our knowledge

of the extent and consequences of criminal victimization in the following areas: assessing the

harm caused by victimization, improving the delivery of services to victims and their treatment by

the criminal justice system, increasing our understanding of the causes and means of prevention

of victimization, improving data about the victimization of businesses, and the effects of crime

and victimization on the delivery of services in

affected areas.

Research Areas of Interest

Listed below are examples of research topics that

will advance criminal justice knowledge of the

extent, causes, and consequences of criminal victimization under Goal III of the NIJ Research

Plan. Individuals are encouraged to suggest their

own topics of interest. Research is encouraged

in, but not limited to, the following areas:

❖ Assessing Victim Needs. Diagnostic instruments for use by victim services providers that

would assist staff intake assessment of victim harm

and required services. Victim-based evaluations

of services.

❖ Program Evaluations. Evaluations of victim

services programs in such areas as restorative

justice, use of computers by victim services, incorporation of victim services in community policing, programs tailored to victims with special

needs, including child victims, and local program

compliance with victim services mandated by

State legislation.

❖ Criminal Justice System Response to Victims. How treatment of victims and witnesses by

the criminal justice system affects the public’s

willingness to cooperate with the system at all

stages of its processes.

❖ Victimization Patterns. How routine activities, behavior, perceptions, and knowledge interact with situational variables and offender behavior to increase or lower the risk of victimization.

Knowledge that can contribute to reducing the

level of victimization.

❖ Impact of Crime on Business. The quality of

data on the costs of victimization of business, its

customers, suppliers, and employees, and the community. Priorities for new data collection and the

utility of the data for combating crimes against

business.

❖ Impact of Crime on Service Delivery. Effects

of fear of crime and victimization on the ability of

communities, public agencies, and nonprofit organizations to provide services and meet the needs

of residents of affected neighborhoods.

Contact

Applicants are encouraged to contact NIJ Program Managers to discuss topic viability, data

availability, or proposal content before submitting

proposals. To obtain specific information on the

programs described under this goal, potential

applicants may contact Richard Titus, at (202)

307–0695.
13

Goal IV: Improve the Effectiveness

of Crime Prevention Programs

Purpose

The purpose of this solicitation is to encourage

research and evaluation projects that will increase

the safety of individuals within families, and in

schools, businesses, workplaces, and community

environments; that will advance the knowledge

of criminal justice practitioners and help prevent

crime and criminal behavior, and develop and

improve crime prevention programs. NIJ seeks

research and evaluations aimed at preventing involvement in crime, and individual, community,

and workplace efforts to improve safety and

security.

Background

Crime prevention takes many forms. NIJ research

in crime prevention continues to focus on potential offenders, potential victims, and particular

locations and emphasizes both individual and

community responses to crimes that occur in various settings. There is a need to examine how certain characteristics of neighborhoods, households,

schools, businesses, public housing developments,

parks and other public areas promote or constrain

criminal activity. It is equally important to study

populations that may be especially vulnerable, or

invulnerable, to crime in those locations. It is also

important to examine crime prevention programs

and strategies in the context of the communities

and jurisdictions in which they are found.

Crime prevention can and should focus on deterring potential offenders by formulating strategies

directed at high-risk groups that are likely to become involved with the criminal justice system.

NIJ research emphasizes prevention strategies that

may influence the attitudes and behaviors of persons living in high-risk environments by addressing their needs in a comprehensive manner and

by promoting positive and constructive forms of

behavior. This approach to crime prevention

requires the coordination of mutually reinforcing

efforts that involve the family, school, and community as crime prevention agents. Research has

shown that efforts to assist youths at risk are more

likely to be effective when they start early and

provide forms of intervention based on an understanding of the developmental processes that influence the attitudes and behavior of youths over

time.

Crime prevention programs can also focus on potential victims of crime and ways to prevent their

victimization. A major issue in prevention research is how to influence the behavior of individuals, households, organizations, and community groups. Lessons learned in studies of citizen

patrols, changes in physical design, the relationship between fear and physical signs of disorder,

and the redeployment of police officers, have all

been incorporated in national crime prevention

campaigns and in the development of programs

and strategies designed to reduce crime victimization. Citizens and community groups can accept

and respond to the challenge of shared responsibility for community security. Diverse crime prevention efforts undertaken include means of preventing victimization as well as ways of addressing

the personal and social needs of victims resulting

from crime and drug abuse. In addition, citizen

and community anti-crime efforts are more likely

to be effective when they are part of a comprehensive approach to neighborhood problem solving that involves citizens in a partnership with

police and other municipal agencies.

We have learned that crime can be reduced

through the proper design and effective use of

environmental crime prevention methods in commercial sites, public and private housing, recreational areas, and transportation systems. Research has underscored the importance of incorporating environmental strategies as key components of community crime prevention programs.
14

One possible way to protect people from crime is

to develop a more thorough understanding of such

factors about offenders as how they select their

victims and targets; their modus operandi during

the commission of an offense, including any involvement with co-offenders; their methods of

disposing of noncash proceeds from crime; their

perceptions of the opportunity structure of different locations, environments, and situations; and

their perceptions of the criminal justice system’s

effectiveness in apprehending and prosecuting

them.

Research Areas of Interest

Listed below are examples of research areas that

could advance crime prevention knowledge and

practice under Goal IV of the NIJ Research Plan.

Individuals are encouraged to suggest their own

topics of interest. Research is encouraged in, but

not limited to, the following areas:

❖ Crime Prevention Programs for High-Risk

Youths. (In coordination with the Office of Juvenile Justice and Delinquency Prevention.) Development of methods that foster positive and constructive forms of behavior. Focus on resilient

youth and families. Interaction between community, family and individual factors in promoting

positive behavior.

❖ Developing Community-Based Crime

Prevention Partnerships. Identification of factors

that enhance or diminish partnerships. Development and testing of strategies to revitalize and

reclaim high-crime areas. Ways to organize community resources in an integrated manner. How

to develop useful problem-solving strategies.

❖ Location-Specific Crime Prevention

Programs. Schools and routes to and from school.

Public housing. Commercial settings. Parks and

recreation facilities. Parking lots. Use of traffic

barriers for crime and drug prevention. Understanding the actions and responses of potential

victims and offenders in these and other settings.

(See Goal III: “Routine Activities and Victimization” for a description of victim-related research

using the routine activities approach). Focus on

environmental and design features. Focus on a

comprehensive approach.

❖ Crimes and Offender Behavior. Offender

daily activity patterns. Offense selection and planning. Target and victim selection. Modus operandi

during the commission of an offense including cooffending. Disposition of noncash proceeds from

crime. Offender perception of criminal justice

system effectiveness. Disruption of stolen property

markets.

❖ Crime By and Related to Illegal Aliens. Recruitment, transportation, and smuggling of illegal

aliens into the United States. Provision of false

documentation to illegals. Employers’ role in committing crimes related to hiring illegals and fostering crime among illegal aliens.

Contact

Applicants are encouraged to contact NIJ Program Managers to discuss topic viability, data

availability, or proposal content before submitting

proposals. For specific information on the programs described under this goal, potential

applicants may contact:

Rosemary Murphy, (202) 307–2959, for schoolbased prevention programs, crime prevention in

public housing, crime prevention partnerships

and prevention for high-risk youths.

Richard Titus, (202) 307–0695 for location specific prevention (except schools and public housing), crimes and offender behavior, and crime

by and related to illegal aliens.
15

Goal V: Improve Law Enforcement

and the Criminal Justice System

Purpose

The purpose of this solicitation is to encourage

efforts in research and evaluation that will advance criminal justice knowledge in the areas of

policing, prosecution, defense, adjudication, and

corrections. The primary focus of research and

evaluation under this goal is improvement of the

efficiency, effectiveness, and fairness of the system. Certain types of cases, however, take priority.

These involve violent juvenile and adult offenders, drug and alcohol abusers, and family violence

offenders. Also of interest are the consequences

of decisions and practices in one part of the system on other criminal justice agencies and on

related social service agencies. Through this solicitation, NIJ also seeks a greater understanding

of the relationship among the offender, victim,

and the criminal justice system. All issues surrounding the case are of interest, but projects

that focus on an issue from the perspective of

the various participants—prosecutor, defender,

judge, legislator—are encouraged.

Background

Each part of the criminal justice system faces new

challenges. Juvenile arrests for violent crimes increased by 47 percent between 1988 and 1992;

juvenile arrests for homicide increased by 51 percent during the same period. FBI data indicate

that juvenile use of guns has risen dramatically.

Prosecutors nationwide note that youthful offenders are being brought to their offices in increasing

numbers.

The Nation’s prison and jail population reached

1 million in the past year, with more than 5 million persons under some form of correctional supervision. Data from jails and prisons show a high

incidence of substance abuse disorders among inmates. Approximately 70 percent of jail detainees

have a history of substance abuse; 56 percent

were under the influence of drugs or alcohol

at the time of arrest.

A significant proportion of inmates with drug

abuse problems have a high prevalence of other

disorders. About 75 percent of inmates with mental disorders, for example, are also substance abusers. Other inmates abuse both drugs and alcohol.

Few programs exist for such inmates who have

special needs. In most State prison systems, for

example, inmates may receive services from either

mental health or substance abuse programs but

not from programs designed to treat those with

both conditions.

The 1994 Crime Law encourages innovations to

improve criminal justice effectiveness in many of

these areas, including community policing; prison

construction and construction of alternative facilities such as boot camps for nonviolent offenders; and drug courts that combine court-supervised

abstinence with outpatient treatment and sanctions for those who fail to comply. NIJ expects to

issue separate solicitations for research in these

areas by mid–1995.

White collar and organized crime pose a serious

threat to the stable and orderly functioning of

society. These complex and sophisticated crimes

threaten our economic stability, corrupt legitimate

institutions, and undermine the public respect for

government and law.

Research is also needed on the consequences of

the decisionmaking process within the criminal

justice system. Much criminal justice research has

been specific to a single criminal justice agency,

such as the decisions of police in using deadly

force, charging decisions and plea bargaining

practices of prosecutors and use by judges of intermediate sanctions. However, such studies rarely

focus on the relationship among police, defense

attorneys, public prosecutors, and judges in plea

or sentence bargaining.
16

Moreover, much research on criminal justice

evaluates effectiveness in terms of standards internal to a particular agency rather than the consequences that decisions and practices in one part of

the system have for other components in the system or on system processes. There are studies of

jail and prison overcrowding and of early release

as a result of judicially mandated standards for

maintaining correctional facilities, but little is

known about their consequences for the criminal

careers of offenders who have been released early.

Likewise, there is little research on the effect of

sentence length or a given type of sentence for

any given offense.

Relatively little is known about how different

kinds of crime are detected and selected by social

service and other agents and the processes by

which they are referred to law enforcement. NIJ

seeks research addressing these broader issues.

Research Areas of Interest

Listed below are examples of research topics that

could advance criminal justice knowledge under

Goal V of the NIJ Research Plan. Individuals are

encouraged to suggest their own topics of interest.

Research is encouraged in, but not limited to, the

following areas:

Law Enforcement

Note: NIJ is not receiving applications for policing research against the June and December 1995

deadlines. Instead, researchers should await the

special solicitation to be issued in 1995, as noted

above.

Prosecution, Defense, and

Adjudication

❖ Issues at the Pretrial Stage. Effective release

and detention decisions, charging decisions, and

diversion decisions. Effective responses to witness

intimidation. Impact of variations in discovery

policy.

❖ New Approaches. Specialized courts, e.g.

domestic violence, firearms offenses. Community

courts. Restorative justice. Community-based

prosecution and defense services.

❖ Drug Courts. Note: NIJ is not receiving applications for research on drug courts under the

June and December 1995 deadlines. Instead, researchers should await the special solicitation to

be issued in 1995, as noted above.

❖ Juvenile Justice. (In coordination with the

Office of Juvenile Justice and Delinquency Prevention.) Juvenile case processing, emphasizing

waiver to adult courts. Diversion to noncriminal

justice programs. Postarrest preconviction programs for chronic, serious juvenile offenders.

Community and

Institutional Corrections

❖ Boot Camps. Note: NIJ is not receiving applications for research on boot camps under the June

and December 1995 deadlines. Instead, researchers should await the special solicitation to be

issued in 1995, as noted above.

❖ Sanctions and Punishments. Operating community-based sanctions as a system. Prosecutors’

role in intermediate sanctions. Innovative programs in domestic violence, child abuse, firearms.

❖ Meeting Offender Needs. Offenders with

mental health and drug addiction conditions.

Creating parity in services for incarcerated

women. Coordinating transitional care and

community reintegration.

❖ Preserving Safety. Planning and managing

“super” maximum security prisons. Managing juvenile offenders in adult facilities. Correctional

officer health and safety risks.

❖ Managing Change. Understanding the impacts of prison expansion. Correctional management of changing inmate populations. Inmate and

correctional officers’ safety. Managing offenders

in the community.
17

Systemwide Issues

❖ Consequences of Decisions on System

Responses. The impact that reforms or major

resources changes in one part of the system may

have on another. Perceived fairness of the criminal justice system, particularly in minority communities, and appropriate responses by criminal

justice professionals.

❖ Sentencing. Costs and benefits of various State

sentencing reforms. Impact of sentencing policy

changes on prosecution, defense, and the courts,

e.g.“truth in sentencing” and “three strikes” legislation, abolition of parole, mandatory minimums,

enhanced sentencing schemes for juvenile

offenders.

❖ Illegal Aliens. U.S. policy toward arrested

illegal aliens. Impact on local criminal justice

system. Links with immigration. Management

of foreign language populations in correctional

settings.

❖ White Collar and Organized Crime. For

White Collar Crime, research on the prevention

and control of health care fraud, insider insurance

fraud, and environmental crime, including regulatory issues, detention, investigation, and prosecution. For Organized Crime, research on the criminal justice response to international organized

crime networks and enterprise, and organized

crime corruption of legitimate industries and

markets.

Contact

Applicants are encouraged to contact NIJ Program Managers to discuss topic viability, data

availability, or proposal content before submitting

proposals. To obtain specific information on the

programs described under this goal, potential

applicants may contact:

Lois Mock, (202) 307–0693, and Winifred Reed,

(202) 307–2952, for policing.

Bernard Auchter, (202) 307–0154, for

adjudication.

Laurie Bright, (202) 616–3624, for prosecution

and defense.

Voncile Gowdy, (202) 307–2951, for corrections

and sanctions.

Richard Titus, (202) 307–0695, for illegal aliens

and the criminal justice system.

Lois Mock, (202) 307–0693, for white collar

and organized crime.
18
19

Goal VI: Develop New Technology

for Law Enforcement and the

Criminal Justice System

Purpose

The purpose of this solicitation is to encourage

technological development projects that will improve the operational efficiency of the criminal

justice system. Through this solicitation the National Institute of Justice (NIJ) expects to support

research that will enhance the safety and effectiveness of law enforcement and correctional

officers and other officers of the court.

Background

Science and technology programs cut across the

entire range of criminal justice issues and goals at

NIJ; programs already in progress or in the early

stages of planning and development promise to

provide significant benefits in the 21st century.

The Institute’s science and technology mission is

accomplished through three major program areas:

the collection and dissemination of technical information, the development of standards and operation of an equipment testing program, and a

research and development grants program.

To strengthen the collection and dissemination

of technology information, NIJ is developing the

capabilities of the National Law Enforcement

Technology Center (NLETC) (the former Technology Assessment Program Information Center)

and establishing regional law enforcement technology centers. The purpose of these centers is to

provide criminal justice professionals with information on available technology, guidelines and

standards for these technologies, and technical

assistance in implementing them. These centers

will be linked through a Technology Information

Network (TIN) to provide Federal, State and local agencies with objective, reliable, and timely

information on technologies and equipment,

such as who are the producers and users; where

high-cost, seldom-used equipment can be borrowed for temporary or emergency situations;

what the current equipment standards are; tests

and evaluations; and what safety, health, or procedure bulletins have been issued. The TIN will

also link the centers with the current Regional

Information Sharing Service (RISS) that will

then create an overall law enforcement technology exchange network. NIJ is also in the process

of establishing an Office of Law Enforcement

Technology Commercialization (OLETC) to help

bring technology to the market place for criminal

justice procurement.

One of the most significant developments of NIJ’s

criminal justice technology and standards program

was the development of soft body armor for police

officers and standards governing its manufacture

and sale. NIJ has also developed standards for vehicle tracking devices, security systems for doors

and windows, breath alcohol testing, autoloading

pistols, mobile antennas, and other equipment.

The Institute is currently completing the development of performance standards for two DNA testing procedures: Restriction Fragment Length

Polymorphism (RFLP) and Polymerase Chain

Reaction (PCR). The standards program is funded

by NIJ through the Office of Law Enforcement

Standards (OLES) at the National Institute of

Standards and Technology (NIST).

NIJ’s research and development efforts have also

been significant and broad in scope in other areas.

In the area of forensic science, NIJ has supported

a wide range of research on fingerprints, blood

and semen, DNA, trace evidence, bite marks, and

forged or altered documents. Further research is

needed, particularly in DNA testing, weapons

identification, fingerprinting, and trace evidence.
20

Progress is also being made to develop alternatives

to lethal force. When confronted with the need

to use force, officers are limited to the use of firearms, batons, physical “hands-on” restraint, or,

more recently, chemical agents such as pepper

spray. To provide alternatives, NIJ initiated a LessThan-Lethal technology program to develop innovative, nonlethal measures suitable for use in

situations involving fleeing suspects, domestic

disturbances, barricades, issuing search warrants,

drug raids, prison or jail disturbances, etc.

This announcement also supports research recommendations of the Department of Justice (DOJ)

and the Department of Defense (DOD) under a

Memorandum of Understanding (MOU) for interagency collaboration in developing and sharing

dual-use technologies for law enforcement agencies and military operations other than war. Congress has appropriated fiscal year 1995 funds for

this program through the Defense Authorization

Bill. The day-to-day management of the program

is carried out at the DOD Advanced Research

Projects Agency (ARPA) under a Joint Program

Steering Group (JPSG) with equal numbers of

program managers from the Defense and Justice

Departments.

In soliciting research and development topics, NIJ

principally focuses on technologies and studies

that will support the needs of State and local

criminal justice agencies. The Institute’s science

and technology research also addresses the legal

and social issues related to the employment of

new technologies in order to ensure that they will

be acceptable to the agency and the community.

Research Areas of Interest

Listed below are examples of research areas under

Goal VI of the NIJ Research Plan where new or

improved technologies could enhance the efficacy

of the criminal justice system and reduce the level

of injuries and death during policing and correctional operations. Individuals are encouraged to

suggest their own topics of interest. Projects

should be directed toward the production of

affordable and practical equipment or systems

that will have reasonably wide application to Federal, State, and local agencies. Research is encouraged in, but not limited to, the following areas:

❖ Forensic Sciences. Identification and development of evidence in DNA/serology, fingerprints, trace evidence, pathology, entomology,

odontology, toxicology, questioned documents,

and weapons identification.

❖ Less-Than-Lethal Technology. Reduction in

the incidence of injuries and death to officers and

the public during confrontations, especially those

requiring the use of force, arrest of suspects, transport of suspects or prisoners, pursuit of fleeing suspects on foot or in vehicles, and control of violent

individuals or crowds in the streets or in prisons

and jails. Enhancement of officer safety. Field

evaluations of new less-than-lethal technology.

❖ Science and Technology. Virtual reality technology for officer training; command and control

operations; providing improved courtroom security; improving the efficiency of probation and

parole operations; identifying concealed weapons;

monitoring the status, health, and location of officers or prisoners; and detecting and disabling

explosives. Technology useful in the detection

and apprehension of persons engaged in computer

crime.

❖ Drug Testing. Developing or adapting analytic

techniques for extracting drug-related material

from hair and urine and other body fluids. Comparative efficiencies and relative costs as well as

the utility of the testing techniques in various

criminal justice settings.

Contact

Grant Proposals:

Applicants are encouraged to contact NIJ Program Managers to discuss topic viability, data

availability, or proposal content before submitting

proposals. To obtain specific information on the

programs described under this goal, potential

applicants may contact:
21

Richard M. Rau, (202) 307–0648, for the Forensic

Sciences Program and the Drug Testing Program.

Raymond Downs, (202) 307–0646, for the

Less-Than-Lethal Program and the Science

and Technology Program.

Kevin Jackson, (202) 307–2956, for the Standards

Development and Testing Program and the Law

Enforcement Technology Centers.

DOD/DOJ Memorandum of Understanding:

Peter Nacci, (703) 351–8608, for information on

the law enforcement aspects of the DOJ/DOD

MOU.

John Pennella, (703) 696–2372, for information

on the Military Operations Other Than War

aspects of the DOJ/DOD MOU.

General Law Enforcement

Technology Information:

Marc Caplan, National Law Enforcement

Technology Center, (800) 248–2742, for information on specific law enforcement technologies

that are under development or in production,

technologies in use by law enforcement agencies,

soft-body armor and other equipment standards,

equipment testing and results, and other such

nongrant-related questions.
22
23

Administrative Guidelines

In this section applicants will find recommendations to grant writers, requirements for grant recipients, general application information, and a

reiteration of the 1995–1996 grant application

deadlines.

Application Information

Please see “Requirements for Award Recipients”

below for general application and eligibility requirements and selection criteria. Proposals not

conforming to these application procedures will

not be considered.

Award Period. NIJ limits its grants and cooperative agreements to a maximum period of 24

months.

Due Date. Ten (10) copies of fully executed

proposals should be sent to:

[Name and Number of Specific Goal]

National Institute of Justice

633 Indiana Avenue N.W.

Washington, DC 20531

Completed proposals must be received at the National Institute of Justice by the close of business

on June 15 and December 15, 1995, and June 17

and December 16, 1996. Extensions of these

deadlines will not be permitted.

Contact. Applicants are encouraged to contact

NIJ Program Managers in the appropriate goal

areas to discuss topic viability, data availability,

or proposal content before submitting proposals.

Recommendations to

Grant Writers

Over the past 4 years, Institute 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 scientific 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
24

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? An evaluation

should 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 multiyear 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

line 6k on 424A. 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:

❖ Personnel estimates that accurately provide

the amount of time to be spent by personnel involved with the project and the total associated
25

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.

❖ 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. Which forms should be used? A copy of Standard Form (SF) 424, Application for Federal Assistance, plus instructions, appears in the back of

this book. Please follow the instructions carefully

and include all parts and pages. In addition to SF

424, recent requirements involve certification

regarding (1) lobbying; (2) debarment, suspension, and other responsibility matters; and (3)

drug-free workplace requirements. The certification form that is attached to SF 424 should be

signed by the appropriate official and included

in the grant application.

10. What technical materials are required to

be included in the application?

❖ A one-page abstract of the full proposal,

highlighting the project’s purpose, methods, activities, and when known, the location(s) of

field research.

❖ 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.

❖ 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.

❖ 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 policymaking and the

strength of the evidence they can produce.

❖ 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.

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

11. Use of grant funds. Grant funds may be used

to purchase or lease equipment essential to accomplishing the objectives of the project. The
26

not include references, budget narrative, curriculum vitae, or necessary appendices. Applications

for small grants ($1,000 – $50,000) are limited

to 15 double-spaced pages. NIJ does not wish to

create elaborate regulations regarding type fonts,

margins, and spacing. Applicants are cautioned,

however, that obvious attempts to stretch interpretations of the Institute’s limits have, in the

past, caused proposal reviewers to regard such

efforts unfavorably.

17. What is the page order? The following order

is mandatory. Omission can result in rejection of

the application:

1. SF 424.

2. Names and affiliations of all key persons from

applicant and subcontractor(s), advisors, 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.

3. Abstract.

4. Table of Contents.

5. Budget narrative.

6. Assurances and Certifications, etc.

7. Negotiated rate agreement.

8. Program narrative.

9. References.

10. Resumés 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

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,

(202) 307–0604, 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 are the deadlines? June 15 and December 15, 1995, and June 17 and December 16,

1996.

16. Is there a page limit? The Institute has established a limit of 30 double-spaced pages for all

normal grant applications. This page limit does
27

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:

❖ Impact of the proposed project.

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

❖ Originality of the approach, including creativity of the proposal and capability of the research

staff.

❖ 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 the Institute’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 profitmaking

organizations that are willing to waive their fees.

Where appropriate, special eligibility criteria are

indicated in the separate solicitations.

22. Does NIJ accept resubmission of proposals?

The Institute will accept resubmission of a previously submitted proposal. The applicant should

indicate for 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) including (1) the title, submission date, and NIJassigned application number of the previous

proposal and (2) a brief summary of responses

to the review and/or revisions to the proposal.
28

NIJ Policy Regarding Unsolicited

Proposals

It is NIJ’s policy to submit all unsolicited proposals

to peer review. NIJ’s peer review process takes

place in periodic cycles; unsolicited proposals

received will be included in the next available

review cycle. NIJ will offer the applicant the

option of revising the proposal in accordance with

the program goals established in the Plan or, alternatively, submitting the original proposal to the

peer panel it deems most appropriate.

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; victims services providers; and Federal, State, county, and local elected officials.

Products should include:

❖ 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.

❖ 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.

❖ Clean copies of all automated data sets developed during the research and full documentation

prepared in accordance with the instructions in

the NIJ Data Resources Manual.

❖ 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.

Pamela Lattimore, (202) 307–2961.

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,

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 Financial and Administrative Guide for Grants, a publication of the Office of Justice Programs. This guideline manual is sent to recipient institutions with
29

the award documents. Project directors and recipient financial administrators should pay particular

attention to the regulations in this document.

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:

❖ Communication with NIJ in the early stages of

the grant, as the elements of the proposal’s design

and methodology are developed and

operationalized.

❖ 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.)

❖ 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.

❖ 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 the 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.

❖ Providing NIJ with copies of presentations

made at conferences, meetings, and elsewhere

based in whole or in part on the work of the

project.

❖ 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.

❖ Other reporting requirements (Progress Reports, Final Reports, and other grant products)

are spelled out elsewhere in this section of the

Research Plan. Financial reporting requirements

will be described in the grant award documents

received by successful applicants.

Communications

NIJ Program Managers should be kept informed

of research progress. Written progress reports

are required on a quarterly basis. All awards use

standard quarterly reporting periods (January 1

through March 31, April 1 through June 30,

and so forth) regardless of the project’s start date.

Progress reports will inform the monitor which

tasks have been completed and whether significant delays or departures from the original

workplan are expected.

Timeliness

Grantees are expected to complete award products

within the timeframes 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
30

available, even if they appear well after a project’s

expiration. NIJ imposes no restriction on such

publications other than 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), ¶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. In general, these policies exempt

most NIJ-supported research from Institutional

Review Board (IRB) review. However, the Institute may find in certain instances that subjects or

subject matters may require IRB review. These

exceptions will be decided on an individual basis

during application review. Researchers are encouraged to review 28 CFR 46, ¶46.101 to determine

their individual project requirements.

Application Forms

The forms neede to apply for the grants discussed

in this document can be obtained from:

National Criminal Justice Reference Service

P.O. Box 6000

Rockville, MD 20849–6000

(880–851–3420)

ask ncjrs@ncjrs.aspensys.com