Notices regarding the solicitation “Postconviction Testing of DNA 

Evidence” 

April 4, 2017: Applicants should disregard the “Disclosure of Process Related to Executive 

Compensation” requirement, as outlined in the Application and Submission Information 

Section of this solicitation. This requirement does not apply to applicants under this funding 

opportunity.

April 3, 2017: Answers to questions have been posted. To assist applicants in completing 

their proposals, NIJ has made the answers to questions received available for this funding 

opportunity. Visit https://nij.gov/funding/pages/solicitation-qa.aspx#NIJ-2017-11060 for 

questions and answers to help prepare your application. 

The original solicitation document begins on the next page. 
U.S. Department of Justice OMB No. 1121-0329

Office of Justice Programs Approval Expires 12/31/2018

National Institute of Justice

The U.S. Department of Justice (DOJ), Office of Justice Programs (OJP), National Institute of 

Justice is seeking applications for funding to assist in defraying the costs associated with 

postconviction case review, evidence location, and DNA testing in violent felony cases (as 

defined by State law) where the results of such testing might show actual innocence. This 

program furthers the Department’s mission by ensuring the availability of fair and impartial 

administration of justice to Americans who may have been unjustly convicted.

Postconviction Testing of DNA Evidence

Applications Due: May 9, 2017

Eligibility

In general, eligible applicants are States, units of local government, and public institutions of 

higher education (including tribal institutions of higher education). For the purposes of this 

solicitation, the term “State” includes the District of Columbia, the Commonwealth of Puerto 

Rico, the U.S. Virgin Islands, American Samoa, Guam, and the Northern Mariana Islands. 

Foreign governments, foreign organizations, and foreign institutions of higher education are not 

eligible to apply.

NIJ welcomes applications under which two or more entities would carry out the federal award; 

however, only one entity may be the applicant. Any others must be proposed as subrecipients 

(“subgrantees").1 The applicant must be the entity that would have primary responsibility for 

carrying out the award, including administering the funding and managing the entire project. 

Under this solicitation, only one application by any particular applicant entity will be considered. 

An entity may, however, be proposed as a subrecipient (“subgrantee”) in more than one 

application.

Deadline

Applicants must register with Grants.gov prior to submitting an application. All applications are 

due by 11:59 p.m. eastern time on May 9, 2017.

To be considered timely, an application must be submitted by the application deadline using 

Grants.gov, and the applicant must have received a validation message from Grants.gov that 

indicates successful and timely submission. OJP urges applicants to submit applications at least 

72 hours prior to the application due date, in order to allow time for the applicant to receive 

 1 For additional information on subawards, see "Budget and Associated Documentation" under Section D. 

Application and Submission Information.
NIJ-2017-11060

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validation messages or rejection notifications from Grants.gov, and to correct in a timely fashion 

any problems that may have caused a rejection notification.

OJP encourages all applicants to read this Important Notice: Applying for Grants in Grants.gov.

For additional information, see How to Apply in Section D. Application and Submission 

Information.

Contact Information

For technical assistance with submitting an application, contact the Grants.gov Customer 

Support Hotline at 800-518-4726 or 606-545-5035, or via email to support@grants.gov. The

Grants.gov Support Hotline operates 24 hours a day, 7 days a week, except federal holidays.

An applicant that experiences unforeseen Grants.gov technical issues beyond its control that 

prevent it from submitting its application by the deadline must email the NIJ contact identified 

below within 24 hours after the application deadline in order to request approval to submit its 

application after the deadline. Additional information on reporting technical issues appears 

under “Experiencing Unforeseen Grants.gov Technical Issues” in the How to Apply section.

For assistance with any other requirements of this solicitation, contact the National Criminal 

Justice Reference Service (NCJRS) Response Center: toll-free at 1-800-851-3420; via TTY at 

301-240-6310 (hearing impaired only); email grants@ncjrs.gov; fax to 301-240-5830; or web 

chat at https://webcontact.ncjrs.gov/ncjchat/chat.jsp. The NCJRS Response Center operates 

from 10:00 a.m. until 6:00 p.m. eastern time, Monday through Friday, and from 10:00 a.m. until

8:00 p.m. eastern time on the solicitation close date. General information on applying for NIJ 

awards can be found at www.nij.gov/funding/Pages/welcome.aspx. Answers to frequently asked 

questions that may assist applicants are posted at www.nij.gov/funding/Pages/faqs.aspx.

Grants.gov number assigned to this solicitation: NIJ-2017-11060

Release date: March 23, 2017
NIJ-2017-11060

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Contents

A. Program Description.............................................................................................................. 4

Overview................................................................................................................................ 4

Program-Specific Information................................................................................................. 4

Goals, Objectives, and Deliverables....................................................................................... 5

B. Federal Award Information..................................................................................................... 8

Type of Award........................................................................................................................ 8

Financial Management and System of Internal Controls......................................................... 8

Budget Information................................................................................................................. 9

Cost Sharing or Match Requirement .....................................................................................11

Pre-Agreement Costs (also known as Pre-award Costs).......................................................11

Limitation on Use of Award Funds for Employee Compensation; Waiver ..............................11

Prior Approval, Planning, and Reporting of Conference/Meeting/Training Costs ...................12

Costs Associated with Language Assistance (if applicable) ..................................................12

C. Eligibility Information.............................................................................................................12

D. Application and Submission Information...............................................................................12

What an Application Should Include......................................................................................12

How to Apply.........................................................................................................................25

E. Application Review Information.............................................................................................28

Review Criteria......................................................................................................................28

Review Process ....................................................................................................................29

F. Federal Award Administration Information ............................................................................31

Federal Award Notices..........................................................................................................31

Administrative, National Policy, and Other Legal Requirements ............................................31

General Information about Post-Federal Award Reporting Requirements .............................32

G. Federal Awarding Agency Contact(s) ...................................................................................32

H. Other Information..................................................................................................................33

Freedom of Information Act and Privacy Act (5 U.S.C. 552 and 5 U.S.C. 552a)....................33

Provide Feedback to OJP .....................................................................................................33

Application Checklist .............................................................................................................34

Appendix I: Certification Template.............................................................................................36

Appendix II: Selected Statutes ..................................................................................................38

Appendix III: Template for Legal Opinion as to Certification Under Section 413 of the Justice for 

All Act of 2004 (42 U.S.C. § 14136 note)(“State” applicants only) .............................................42
NIJ-2017-11060

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Postconviction Testing of DNA Evidence

(CFDA no. 16.820)

A. Program Description

Overview

NIJ seeks proposals for funding to assist in defraying the costs associated with postconviction 

DNA testing in cases of violent felony offenses (as defined by State law) in which actual 

innocence might be demonstrated. Funds may be used to identify and review such 

postconviction cases and to locate and analyze associated biological evidence.

Statutory Authority: Any awards under this solicitation would be made under statutory 

authority provided by a full-year appropriations act for FY 2017. As of the writing of this 

solicitation, the Department of Justice is operating under a short-term "Continuing Resolution";

no full-year appropriation for the Department has been enacted for FY 2017.

Program-Specific Information

Since the advent of forensic DNA analysis, a growing number of Americans convicted of violent 

crimes have been exonerated through DNA analysis of evidence that was untested at the time 

of trial. New technologies have increased the likelihood of successful DNA analysis of aged, 

degraded, limited, or otherwise compromised biological evidence. As a result, crime scene 

samples once thought to be unsuitable for testing may now yield viable DNA profiles. Moreover, 

samples that had previously generated inconclusive DNA results may be amenable to 

reanalysis using newer methods.

NIJ provides funding to help defray the costs (e.g., of additional personnel, overtime, testing 

supplies and services, etc.) associated with postconviction DNA testing for violent felony 

offenses (as defined by State law) in which actual innocence might be demonstrated. Funds 

may be used to review suitable postconviction cases and to locate and analyze biological 

evidence. Only a limited portion of funds may be used for case identification activities.

IMPORTANT NOTE

Applicants should be aware that recently-enacted legislation (see page 23 for details) 

made significant changes to 42 U.S.C. § 14136e (the Kirk Bloodsworth Post-Conviction 

DNA Testing Grant Program statute) and other related provisions of law. If the FY 2017 

appropriation incorporates these changes, then no awards will be made from this FY 

2017 Postconviction Testing of DNA Evidence solicitation.

All awards are subject to the availability of appropriated funds and to any modifications 

or additional requirements that may be imposed by law.

Applicants are strongly encouraged to check for updates to this solicitation prior to 

submitting applications.
NIJ-2017-11060

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This program was previously titled the Postconviction DNA Testing Assistance Program. NIJ 

has made awards for postconviction DNA testing assistance in each fiscal year since 2008.

Prior to fiscal year 2015, NIJ invited applications from States only. In order for a State’s 

application to be considered eligible in those years, the State was required to submit with its 

application an express certification from the applicant State’s chief legal officer (typically the 

Attorney General) regarding the applicant State’s provision of postconviction DNA testing, and 

its laws and practices addressing the preservation of biological evidence. Since fiscal year 

2015, NIJ has expanded eligibility under this program to include units of local government and 

public institutions of higher education. This is expected to better reflect the diversity of 

institutions that are engaged in postconviction DNA testing efforts. Certification from the State’s 

chief legal officer as to State procedures regarding evidence retention and access to 

postconviction DNA testing (see Section D. What an Application Should Include) is no longer 

required at the time of application, but must be submitted before funds can be accessed.

Goals, Objectives, and Deliverables

The goal of this program is to fund projects that assist States and units of local government with 

postconviction DNA testing in cases of violent felony offenses where actual innocence might be 

demonstrated. This supports the DOJ mission “...to ensure fair and impartial administration of 

justice for all Americans.” While successful exonerations to correct injustice are notable program 

outcomes, the careful review, consideration and closing of cases subjected to postconviction 

DNA testing that do not ultimately demonstrate innocence also work to advance the public’s 

interest that justice has been fairly applied.

Program objectives with respect to target number of cases to be reviewed and other concrete 

goals must be outlined in the proposal. Funded projects are expected to implement some 

aspect of each of the following activities, except for case identification, which is not mandatory:

1. Identify potential postconviction DNA testing cases. A maximum of 15% of the proposed 

budget may be dedicated to case identification activities.

2. Review appropriate postconviction cases to identify those in which DNA testing could 

prove the actual innocence of a person convicted of a violent felony offense as defined 

by State law.

3. Locate biological evidence associated with such postconviction cases.

4. Perform DNA analysis of appropriate biological evidence.

For the purposes of this announcement:

• Case identification means performing outreach or initial screening activities, other than 

“case review” as defined below, designed to identify postconviction cases of violent 

felony offenses (as defined by State law) where DNA analysis might demonstrate actual 

innocence. Permissible outreach and initial screening mechanisms are face-to-face 

meetings, closed-circuit television meetings, eligibility letters/questionnaires/applications, 

telephone calls, and computerized searches of State court records.

• Case review means review of files or documentation of postconviction cases of violent 

felony offenses (as defined by State law) by appropriate persons (e.g., prosecutors, 
NIJ-2017-11060

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public defenders, law enforcement personnel, and medical examiners) to determine 

whether biological evidence exists that might, through DNA analysis, demonstrate the 

actual innocence of the person previously convicted.

• Evidence Location means seeking to locate, following a case review, biological 

evidence that, through DNA analysis, might demonstrate actual innocence, through 

activities such as the searching of files, storage facilities, and evidence rooms.

• DNA analysis of biological evidence includes the handling, screening, and DNA 

analysis of biological evidence located in connection with a case review.

All DNA analyses conducted using program funds must be performed by a laboratory 

(government-owned or fee-for-service) that is accredited and that undergoes external audits at 

least once every two years that demonstrate compliance with the applicable DNA Quality 

Assurance Standards established by the Director of the Federal Bureau of Investigation. All 

DNA analyses conducted and profiles generated under this program must be maintained 

pursuant to any applicable federal privacy requirements.

The Goals, Objectives and Deliverables are directly related to the performance measures set 

out in the table in Section D. Application and Submission Information, under "Program 

Narrative." Demonstration of progress in implementing the approved program goals is required 

periodically. This involves the reporting of numerical performance metrics (cases, hours, testing, 

etc.), which are the key deliverables reported semiannually and at the conclusion of the 

program. Narrative progress reports to support the reported metrics are to be submitted 

concurrently.

Performance Measures

The application should describe the applicant's plan for collection of all of the performance 

measures data listed in the table below under “Data Recipient Provides,” should it receive 

funding.

Award recipients will be required to provide the relevant data by submitting semiannual 

performance metrics through NIJ’s online Performance Measurement Tool (PMT) located at 

https://www.nijpmt.org. The following measures are a sampling of the core performance 

measures for this program, but applicants should examine the complete list at 

https://www.nijpmt.org/documents/NIJ%20Postconviction%20Measures_July%202016_508.pdf.

Objective Performance Measure(s) Data Recipient Provides

To help defray the costs 

associated with 

postconviction DNA 

testing in cases of 

violent felony offenses 

(as defined by State law) 

where DNA analysis 

might demonstrate 

actual innocence.

Percentage of target cases 

reviewed with grant funds.

Target number of cases to be 

reviewed with grant funds.

Number of cases reviewed by 

offense type (crimes that 

included a sexual component; 

crimes that resulted in the 

death of the victim).

Number of cases reviewed with 

grant funds.
NIJ-2017-11060

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Percentage of cases in 

which a search to locate 

evidence was conducted.

Number of cases in which an 

evidence search was 

conducted.

Percentage of cases that 

yielded biological evidence.

Number of cases in which 

biological evidence existed.

Number of cases in which 

biological evidence had been 

destroyed or was missing.

Percentage of cases 

subjected to DNA analysis.

Number of cases in which DNA 

analysis was performed.

Average number of pieces of 

evidence analyzed for cases 

subjected to DNA analysis.

Total number of pieces of 

evidence analyzed.

Percentage of evidence 

subjected to STR DNA 

analysis.

Number of STR DNA tests 

conducted.

Percentage of evidence 

subjected to Y-STR DNA 

analysis.

Number of Y-STR DNA tests 

conducted.

Percentage of evidence 

subjected to mtDNA 

analysis.

Number of mtDNA tests 

conducted.

Percentage of cases 

subjected to DNA analysis 

that yielded a viable DNA 

profile.

Number of cases that yielded a 

viable DNA profile.

Number of cases with DNA 

testing results

Number of cases for which 

DNA results supported the 

postconviction claim.

Number of cases for which 

DNA results contradicted the 

postconviction claim.

Number of cases for which 

DNA results were inconclusive 

with respect to the 

postconviction claim.

Number of profiles uploaded 

into the Combined DNA 

Index System (CODIS).

Number of profiles uploaded 

into CODIS.
NIJ-2017-11060

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Percentage of profiles 

resulting in a CODIS hit.

Number of matches resulting 

from profiles uploaded into 

CODIS.

Number of hours spent on 

case identification, case 

review, and evidence 

location.

Approximate number of hours 

spent on case identification, 

case review, and evidence 

location, respectively.

B. Federal Award Information

NIJ estimates that it will make awards for performance periods of up to 24 months, to begin on, 

or after, October 1, 2017. The number and value of the awards made will depend on available 

funding and the volume and quality of applications received. Visit the NIJ website for examples 

of recent successful proposals.

All awards are subject to the availability of appropriated funds, and to any modifications or 

additional requirements that may be imposed by law.

Type of Award

NIJ expects that any award under this solicitation will be made in the form of a grant. See 

Administrative, National Policy, and Other Legal Requirements, under Section F. Federal Award 

Administration Information, for a brief discussion of important statutes, regulations, and award 

conditions that apply to many (or in some cases, all) OJP grants.

Financial Management and System of Internal Controls

Award recipients and subrecipients (including recipients or subrecipients that are pass-through 

entities2

) must, as described in the Part 200 Uniform Requirements3 as set out at 2 C.F.R. 

200.303:

(a) Establish and maintain effective internal control over the Federal award that provides 

reasonable assurance that [the recipient (and any subrecipient)] is managing the Federal 

award in compliance with Federal statutes, regulations, and the terms and conditions of 

the Federal award. These internal controls should be in compliance with guidance in 

“Standards for Internal Control in the Federal Government” issued by the Comptroller 

General of the United States and the “Internal Control Integrated Framework”, issued by 

the Committee of Sponsoring Organizations of the Treadway Commission (COSO).

(b) Comply with Federal statutes, regulations, and the terms and conditions of 

the Federal awards.

(c) Evaluate and monitor [the recipient’s (and any subrecipient’s)] compliance 

with statutes, regulations, and the terms and conditions of Federal awards.

 2 For purposes of this solicitation, the phrase “pass-through entity” includes any recipient or subrecipient that provides 

a subaward ("subgrant”) to a subrecipient (“subgrantee”) to carry out part of the funded award or program.

3 The "Part 200 Uniform Requirements” means the DOJ regulation at 2 C.F.R Part 2800, which adopts (with certain 

modifications) the provisions of 2 C.F.R. Part 200.
NIJ-2017-11060

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(d) Take prompt action when instances of noncompliance are identified including 

noncompliance identified in audit findings.

(e) Take reasonable measures to safeguard protected personally identifiable information 

and other information the Federal awarding agency or pass-through entity designates as 

sensitive or [the recipient (or any subrecipient)] considers sensitive consistent with 

applicable Federal, state, local, and tribal laws regarding privacy and obligations of 

confidentiality.

To help ensure that applicants understand applicable administrative requirements and cost 

principles, OJP encourages prospective applicants to enroll, at no charge, in the DOJ Grants 

Financial Management Online Training, available here.

Budget Information

Permissible Expenses:

1. Salary and Benefits of Additional Employees—Funds may be used for salaries and 

benefits of additional full- or part-time employees to the extent that such employees are 

directly engaged in case identification, case review, location of evidence, or DNA 

analysis of biological evidence. Applicants should demonstrate that any additional fullor part-time employees will be directly engaged in these activities. Supplanting is not 

permitted.

2. Overtime—Funds may be used for employee overtime for the purpose of case 

identification, case review, location of evidence, or DNA analysis of biological evidence. 

Any payments for overtime must be in accordance with the applicable provisions of the 

DOJ Grants Financial Guide.

3. Travel (limited)—Funds may be used for reasonable travel expenses directly 

associated with case identification, case review, location of evidence, or DNA analysis of 

biological evidence. These costs must be in accordance with federal policy or an 

organizationally approved travel policy. The Office of the Chief Financial Officer reserves 

the authority to determine the reasonableness of the recipient's own established travel 

rates. Current federal travel policy and per diem rate information are available at 

www.gsa.gov/perdiem.

4. Computer equipment—Funds may be used to upgrade, replace, lease, or purchase 

computer hardware or software that will be used exclusively for case identification, case 

review, location of evidence, or DNA analysis of biological evidence.

5. Laboratory supplies—Funds may be used to acquire laboratory supplies for DNA 

analysis of biological evidence. The proposal must clearly demonstrate that the types 

and number of supplies requested are appropriate for the proposed caseload. Award 

recipients whose proposals involve the purchase or use of chemicals may encounter 

delays in the release of award funds pending satisfactory completion of the National 

Environmental Protection Act (NEPA) review process.

6. Engage Additional (Temporary) Personnel—Funds may be used to obtain the 

services of individuals (other than employees of the recipient) to perform case 
NIJ-2017-11060

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identification and case reviews, locate evidence, or perform DNA analyses of biological 

evidence in the crime laboratory. 

7. Procurement from private laboratories of DNA analyses—Funds may be used for 

contracts with accredited fee-for-service laboratories to conduct DNA analysis of 

biological evidence.

Please note: No profiles generated with funding from this program may be entered into 

any non-governmental DNA database without prior express written approval from NIJ.

8. Training (limited)—In limited circumstances, funds may be used for postconviction 

training directly related to case identification, case review, location of biological 

evidence, and DNA analysis of biological evidence. Funds for this purpose must be used 

only for grant-funded personnel directly engaged in case identification, case review, 

location of biological evidence, or DNA analysis of biological evidence. The proposal 

must clearly demonstrate that the proposed training directly supports the program’s 

purpose areas, and is related directly to the job position and duties of the individual(s) 

receiving the training.

Expenses that are not permitted:

Federal funds awarded under this solicitation may only be used for the permissible expenses 

outlined above. Among other things, funds may not be used for:

1. Work that will be funded under another specific solicitation.

2. Activities that do not respond to the specific goals of this solicitation.

3. Costs for postconviction relief litigation, after DNA testing of biological evidence has 

been completed.

4. Salaries and benefits for victims advocacy services.

5. Salaries, benefits, or overtime for staff who are not directly engaged in case 

identification, case review, location of biological evidence, or DNA analysis of biological 

evidence.

6. Outreach and initial screening activities not included in case identification (as defined 

above).

7. Laboratory equipment.

8. Construction.

9. Renovation.

10. Office furnishings.

11. Witness travel.
NIJ-2017-11060

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12. General, non-postconviction training, or training for employees not directly funded under 

this award.

Cost Sharing or Match Requirement

See “Cofunding” paragraph under item 4 (“Budget and Associated Documentation”) under 

“What an Application Should Include” in Section D. Application and Submission Information.

Pre-Agreement Costs (also known as Pre-award Costs) 

Pre-agreement costs are costs incurred by the applicant prior to the start date of the period of 

performance of the federal award.

OJP does not typically approve pre-agreement costs; an applicant must request and obtain the 

prior written approval of OJP for all such costs. All such costs incurred prior to award and prior 

to approval of the costs are incurred at the sole risk of the applicant. (Generally, no applicant 

should incur project costs before submitting an application requesting federal funding for those 

costs.) Should there be extenuating circumstances that make it appropriate for OJP to consider 

approving pre-agreement costs, the applicant may contact the point of contact listed on the title

page of this solicitation for the requirements concerning written requests for approval. If 

approved in advance by OJP, award funds may be used for pre-agreement costs, consistent 

with the recipient’s approved budget and applicable cost principles. See the section on Costs 

Requiring Prior Approval in the DOJ Grants Financial Guide for more information.

Limitation on Use of Award Funds for Employee Compensation; Waiver

With respect to any award of more than $250,000 made under this solicitation, a recipient may 

not use federal funds to pay total cash compensation (salary plus cash bonuses) to any 

employee of the recipient at a rate that exceeds 110% of the maximum annual salary payable to

a member of the federal government’s Senior Executive Service (SES) at an agency with a 

Certified SES Performance Appraisal System for that year.

4 The 2017 salary table for SES 

employees is available at the Office of Personnel Management website. Note: A recipient may 

compensate an employee at a greater rate, provided the amount in excess of this compensation 

limitation is paid with non-federal funds. (Non-federal funds used for any such additional 

compensation will not be considered matching funds, where match requirements apply.) If only 

a portion of an employee's time is charged to an OJP award, the maximum allowable 

compensation is equal to the percentage of time worked times the maximum salary limitation.

The Assistant Attorney General for OJP may exercise discretion to waive, on an individual 

basis, this limitation on compensation rates allowable under an award. An applicant that 

requests a waiver should include a detailed justification in the budget narrative of its application. 

An applicant that does not submit a waiver request and justification with its application should 

anticipate that OJP will require the applicant to adjust and resubmit the budget.

The justification should address—in the context of the work the individual would do under the 

award—the particular qualifications and expertise of the individual, the uniqueness of a service 

the individual will provide, the individual’s specific knowledge of the proposed program or 

project, and a statement that explains whether and how the individual’s salary under the award 

 4 OJP does not apply this limitation on the use of award funds to the nonprofit organizations listed in Appendix VIII to

2 C.F.R. Part 200.
NIJ-2017-11060

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would be commensurate with the regular and customary rate for an individual with his/her 

qualifications and expertise, and for the work he/she would do under the award.

Prior Approval, Planning, and Reporting of Conference/Meeting/Training Costs

OJP strongly encourages every applicant that proposes to use award funds for any conference-, 

meeting-, or training-related activity (or similar event) to review carefully—before submitting an 

application—the OJP policy and guidance on approval, planning, and reporting of such events, 

available at www.ojp.gov/financialguide/DOJ/PostawardRequirements/chapter3.10a.htm. OJP 

policy and guidance (1) encourage minimization of conference, meeting, and training costs; (2)

require prior written approval (which may affect project timelines) of most conference, meeting, 

and training costs for cooperative agreement recipients and of some conference, meeting, and 

training costs for grant recipients; and (3) set cost limits, which include a general prohibition of 

all food and beverage costs.

Costs Associated with Language Assistance (if applicable)

If an applicant proposes a program or activity that would deliver services or benefits to 

individuals, the costs of taking reasonable steps to provide meaningful access to those services 

or benefits for individuals with limited English proficiency may be allowable. Reasonable steps 

to provide meaningful access to services or benefits may include interpretation or translation 

services, where appropriate.

For additional information, see the "Civil Rights Compliance" section under “Overview of Legal 

Requirements Generally Applicable to OJP Grants and Cooperative Agreements - FY 2017 

Awards” in the OJP Funding Resource Center.

C. Eligibility Information 

For eligibility information, see the title page.

For information on cost sharing or match requirements, see “What an Application Should 

Include” in Section D. Application and Submission Information.

D. Application and Submission Information

What an Application Should Include

This section describes in detail what an application should include. An applicant should 

anticipate that if it fails to submit an application that contains all of the specified elements, it may 

negatively affect the review of its application; and, should a decision be made to make an 

award, it may result in the inclusion of award conditions that preclude the recipient from 

accessing or using award funds until the recipient satisfies the conditions and OJP makes the 

funds available.

Moreover, an applicant should anticipate that an application that OJP determines is 

nonresponsive to the scope of the solicitation, or that OJP determines does not include the 

application elements that NIJ has designated to be critical, will neither proceed to peer review, 

nor receive further consideration. For this solicitation, NIJ has designated the following 
NIJ-2017-11060

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application elements as critical: Program Narrative, Budget Detail Worksheet, and Budget

Narrative, and resumes/curriculum vitae of key personnel. An applicant may combine the 

Budget Narrative and the Budget Detail Worksheet in one document. However, if an applicant 

submits only one budget document, it must contain both narrative and detail information.

Please review the “Note on File Names and File Types” under How to Apply (below) to be sure 

applications are submitted in permitted formats.

OJP strongly recommends that applicants use appropriately descriptive file names (e.g., 

“Program Narrative,” “Budget Detail Worksheet and Budget Narrative,” “Timelines,” 

“Memoranda of Understanding,” “Resumes”) for all attachments. Also, OJP recommends that 

applicants include resumes in a single file.

1. Information to Complete the Application for Federal Assistance (SF-424)

The SF-424 is a required standard form used as a cover sheet for submission of preapplications, applications, and related information. Grants.gov and the OJP Grants 

Management System (GMS) take information from the applicant’s profile to populate the 

fields on this form. When selecting "type of applicant," if the applicant is a for-profit entity, 

select "For-Profit Organization" or "Small Business" (as applicable).

To avoid processing delays, an applicant must include an accurate legal name on its SF424. Current OJP award recipients, when completing the field for “Legal Name” should use 

the same legal name that appears on the prior year award document which is also the legal 

name stored in OJP’s financial system. On the SF-424, enter the Legal Name in box 5 and 

Employer Identification Number (EIN) in box 6 exactly as it appears on the prior year award 

document. An applicant with a current, active award(s) must ensure that its GMS profile is 

current. If the profile is not current, the applicant should submit a Grant Adjustment Notice 

updating the information on its GMS profile prior to applying under this solicitation. 

A new applicant entity should enter the Official Legal Name and address of the applicant 

entity in box 5 and the EIN in box 6 of the SF-424. An applicant must attach official legal 

documents to its application (e.g., articles of incorporation, 501(c)(3), etc.) to confirm the 

legal name, address, and EIN entered into the SF-424.

Intergovernmental Review: This solicitation (“funding opportunity”) is not subject to 

Executive Order 12372. (In completing the SF-424, an applicant is to answer question 19 by 

selecting the response that the “Program is not covered by E.O. 12372.”)

2. Project Abstract

The project abstract is a very important part of the application, and serves as an introduction 

to the proposed project. NIJ uses the project abstract for a number of purposes, including 

assignment of the application to an appropriate review panel. If the application is funded, the 

project abstract typically will become public information and be used to describe the project. 

Applications should include a high-quality project abstract that summarizes the proposed 

project in 250-400 words. Project abstracts should be—

• Written for a general public audience.

• Submitted as a separate attachment with “Project Abstract” as part of its file name.
NIJ-2017-11060

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• Single-spaced, using a standard 12-point font with 1-inch margins.

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

program narrative. 

Project abstracts should follow the detailed template (including the detailed instructions as to 

content) available at www.nij.gov/funding/documents/nij-project-abstract-template.pdf.

Permission to Share Project Abstract with the Public: It is unlikely that OJP will be able 

to fund all applications submitted under this solicitation, but it may have the opportunity to 

share information with the public regarding unfunded applications, for example, through a 

listing on a web page available to the public. The intent of this public posting would be to 

allow other possible funders to become aware of such applications. 

In the project abstract template, each applicant is asked to indicate whether it gives OJP

permission to share the applicant’s project abstract (including contact information for 

individuals) with the public. Granting (or failing to grant) this permission will not affect OJP’s 

funding decisions. Moreover, if the application is not funded, providing permission will not 

ensure that OJP will share the abstract information, nor will it assure funding from any other 

source.

Note: OJP may choose not to list a project that otherwise would have been included in a 

listing of unfunded applications, should the abstract fail to meet the format and content 

requirements noted above and outlined in the project abstract template.

3. Program Narrative

The program narrative section of the application should not exceed twelve (12) doublespaced pages in 12-point font with 1-inch margins. If included in the main body of the 

program narrative, tables, charts, figures, and other illustrations count toward the 12-page 

limit for the narrative section. The project abstract, table of contents, appendices, and 

government forms do not count toward the 12-page limit.

If the program narrative fails to comply with these length-related restrictions, NIJ may 

consider such noncompliance in peer review and in final award decisions.

The following sections should be included as part of the program narrative.5

a. Title Page (not counted against the 12-page program narrative limit).

The title page should include the title of the project, submission date, funding 

opportunity number, and the complete contact information (i.e., name, address, 

telephone number, and e-mail address) for both the applicant and the project 

director.

 5 As noted earlier, if the proposed program or project reasonably could be conducted in discrete phases, with each 

phase resulting in completion of one or more significant, defined milestones, then NIJ strongly recommends that the 

applicant structure the application – specifically including the narrative, timelines/milestones, and budget detail 

worksheet and budget narrative – to set out each phase clearly. See generally “Goals, Objectives, Deliverables, and 

Expected Scholarly Products” under “Program-Specific Information,” above.
NIJ-2017-11060

15

b. Resubmit Response (if applicable; not counted against the 12-page program 

narrative limit).

If an applicant is resubmitting an application presented previously to NIJ, but not 

funded, the applicant should indicate this. A statement should be provided, no more 

than two pages, addressing: (1) the title, submission date, and NIJ-assigned 

application number of the previous application, and (2) a brief summary of revisions 

to the application, including responses to previous feedback received from NIJ.

c. Table of Contents (not counted against the 12-page program narrative limit).

d. Main Body

The main body of the program narrative should describe the proposed project in 

depth. Within its sections (specified below), the main body of the program narrative 

should address:

• Purpose, goals, and objectives.

• Implementation approach, including case review selection criteria and the 

target number of cases to be reviewed with award funds.

• Detailed justification for specific case identification activities proposed for 

federal funding, if applicable (not to exceed 15% of the federal award 

amount).

• Implications for criminal justice policy and practice in the United States.

• Management plan and organization.

The following sections should be included as part of the main body of the program 

narrative:

• Description of the Issue

• Project Design and Implementation.

• Capabilities and Competencies.

• Potential Impact.

• Plan for Collecting the Data Required for this Solicitation’s Performance 

Measures

OJP will require each successful applicant to submit specific performance 

measures data as part of its reporting under the award (see “General Information 

about Post-Federal Award Reporting Requirements” in Section F. Federal Award 

Administration Information). The performance measures correlate to the goals,

objectives, and deliverables identified under "Goals, Objectives, and 

Deliverables" in Section A. Program Description.
NIJ-2017-11060

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e. Appendices (not counted against the 12-page program narrative limit), including:

• Curriculum vitae, resumes or biographical sketches for key personnel.

• Bibliography/references, if applicable.

• Any tools/instruments, questionnaires, tables/charts/graphs, or maps pertaining 

to the proposed project.

• List (to the extent known) of all proposed project staff members, including those 

affiliated with the applicant organization or any proposed subrecipient 

organization(s), any proposed consultant(s) and contractors (whether individuals 

or organizations), and any proposed members of an advisory board for the 

project (if applicable). The list should include, for each individual and 

organization: name, title (if applicable), employer or other organizational 

affiliation, and roles and responsibilities proposed for the project. Applicants 

should use the “Proposed Project Staff, Affiliation, and Roles” form available at 

http://www.nij.gov/funding/documents/nij-project-staff-template.xlsx to provide 

this listing.

• Proposed project timeline and expected milestones.

• List of any previous and current NIJ awards to the applicant, including the NIJassigned award number(s).

• Letters of cooperation/support or administrative agreements from organizations 

collaborating in the project (if applicable).

4. Budget and Associated Documentation

a. Budget Detail Worksheet

A sample Budget Detail Worksheet can be found at 

www.ojp.gov/funding/Apply/Resources/BudgetDetailWorksheet.pdf. An applicant that 

submits its budget in a different format should use the budget categories listed in the 

sample budget worksheet. (An applicant should include in the budget work associated 

with satisfying data archiving requirements.) NIJ expects applicants to provide a 

thorough narrative for each section of the Budget Detail Worksheet. The Budget Detail 

Worksheet should break out costs by year.

For questions pertaining to budget and examples of allowable and unallowable costs, 

see the DOJ Grants Financial Guide.

b. Budget Narrative

The budget narrative should thoroughly and clearly describe every category of expense 

listed in the Budget Detail Worksheet. OJP expects proposed budgets to be complete,

cost effective, and allowable (e.g., reasonable, allocable, and necessary for project 

activities).
NIJ-2017-11060

17

An applicant should demonstrate in its budget narrative how it will maximize cost 

effectiveness of award expenditures. Budget narratives should generally describe cost 

effectiveness in relation to potential alternatives and the goals of the project. For 

example, a budget narrative should detail why planned in-person meetings are 

necessary, or how technology and collaboration with outside organizations could be 

used to reduce costs, without compromising quality. 

The budget narrative should be mathematically sound and correspond clearly with the 

information and figures provided in the Budget Detail Worksheet. The narrative should 

explain how the applicant estimated and calculated all costs, and how those costs are 

necessary to the completion of the proposed project. The narrative may include tables 

for clarification purposes, but need not be in a spreadsheet format. As with the Budget 

Detail Worksheet, the budget narrative should describe costs by year.

Case Identification

The budget detail worksheet and budget narrative should clearly indicate the cost 

breakouts for any proposed case identification activities (total cost not to exceed 15% of 

the total federal award amount requested) both within the appropriate cost categories 

(e.g., personnel, fringe benefits, travel, equipment, supplies, and consultants/contracts), 

as a separate section of the budget documents.

c. Cofunding

An award made by NIJ under this solicitation may account for up to 100 percent of the 

total cost of the project. The application should indicate whether it is feasible for the 

applicant to contribute cash, facilities, or services as non-federal support for the project. 

The application should identify generally any such contributions that the applicant 

expects to make and the proposed budget should indicate in detail which items, if any, 

will be supported with non-federal contributions.

For additional match information, see the Cost Sharing or Match Requirement section 

under Section B. Federal Award Information.

If a successful application proposes a voluntary match amount, and OJP approves the 

budget, the total match amount incorporated into the approved budget becomes 

mandatory and subject to audit.

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

Contracts (if any)

Applicants for OJP awards typically may propose to make "subawards." Applicants also 

may propose to enter into procurement "contracts" under the award. 

Whether—for purposes of federal grants administrative requirements—a particular 

agreement between a recipient and a third party will be considered a "subaward" or 

instead considered a procurement "contract" under the award is determined by federal 

rules and applicable OJP guidance. It is an important distinction, in part because the

federal administrative rules and requirements that apply to "subawards" and to 

procurement "contracts" under awards differ markedly.
NIJ-2017-11060

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In general, the central question is the relationship between what the third-party will do 

under its agreement with the recipient and what the recipient has committed (to OJP) to 

do under its award to further a public purpose (e.g., services the recipient will provide, 

products it will develop or modify, research or evaluation it will conduct). If a third party 

will provide some of the services the recipient has committed (to OJP) to provide, will 

develop or modify all or part of a product the recipient has committed (to OJP) to 

develop or modify, or will conduct part of the research or evaluation the recipient has 

committed (to OJP) to conduct, OJP will consider the agreement with the third party a 

subaward for purposes of federal grants administrative requirements.

This will be true even if the recipient, for internal or other non-federal purposes, labels or 

treats its agreement as a procurement, a contract, or a procurement contract. Neither 

the title nor the structure of an agreement determines whether the agreement—for 

purposes of federal grants administrative requirements—is a “subaward” or is instead a 

procurement “contract” under an award. 

Additional guidance on the circumstances under which (for purposes of federal grants 

administrative requirements) an agreement constitutes a subaward as opposed to a 

procurement contract under an award, is available (along with other resources) on the 

OJP Part 200 Uniform Requirements web page.

1. Information on proposed subawards

A recipient of an OJP award may not make subawards ("subgrants") unless the recipient 

has specific federal authorization to do so. Unless an applicable statute or DOJ 

regulation specifically authorizes (or requires) subawards, a recipient must have

authorization from OJP before it may make a subaward.

A particular subaward may be authorized by OJP because the recipient included a 

sufficiently-detailed description and justification of the proposed subaward in the 

application as approved by OJP. If, however, a particular subaward is not authorized by 

federal statute or regulation, and is not sufficiently described and justified in the 

application as approved by OJP, the recipient will be required, post-award, to request 

and obtain written authorization from OJP before it may make the subaward.

If an applicant proposes to make one or more subawards to carry out the federal award 

and program, the applicant should—(1) identify (if known) the proposed subrecipient(s), 

(2) describe in detail what each subrecipient will do to carry out the federal award and 

federal program, and (3) provide a justification for the subaward(s), with details on 

pertinent matters such as special qualifications and areas of expertise. Pertinent 

information on subawards should appear not only in the Program Narrative, but also in 

the Budget Detail Worksheet and Budget Narrative.

2. Information on proposed procurement contracts (with specific justification for 

proposed noncompetitive contracts over $150,000)

Unlike a recipient contemplating a subaward, a recipient of an OJP award generally 

does not need specific prior federal authorization to enter into an agreement that—for 

purposes of federal grants administrative requirements—is considered a procurement 

contract, provided that (1) the recipient uses its own documented procurement 

procedures and (2) those procedures conform to applicable federal law, including the 
NIJ-2017-11060

19

Procurement Standards of the (DOJ) Part 200 Uniform Requirements (as set out at 2 

C.F.R. 200.317 - 200.326). The Budget Detail Worksheet and budget narrative should 

identify proposed procurement contracts. (As discussed above, subawards must be 

identified and described separately from procurement contracts.) 

The Procurement Standards in the Part 200 Uniform Requirements, however, reflect a 

general expectation that agreements that (for purposes of federal grants administrative 

requirements) constitute procurement “contracts” under awards will be entered into on 

the basis of full and open competition. If a proposed procurement contract would exceed 

the simplified acquisition threshold—currently, $150,000—a recipient of an OJP award 

may not proceed without competition unless and until the recipient receives specific 

advance authorization from OJP to use a non-competitive approach for the procurement.

An applicant that (at the time of its application) intends—without competition—to enter 

into a procurement “contract” that would exceed $150,000 should include a detailed 

justification that explains to OJP why, in the particular circumstances, it is appropriate to 

proceed without competition. Various considerations that may be pertinent to the 

justification are outlined in the DOJ Grants Financial Guide.

e. Pre-Agreement Costs

For information on pre-agreement costs, see Section B. Federal Award Information.

5. Indirect Cost Rate Agreement (if applicable)

Indirect costs may be charged to an award only if:

(a) The recipient has a current (that is, unexpired), federally-approved indirect cost rate; 

or

(b) The recipient is eligible to use, and elects to use, the “de minimis” indirect cost rate

described in the Part 200 Uniform Requirements, as set out at 2 C.F.R. 200.414(f).

An applicant with a current (that is, unexpired) federally-approved indirect cost rate is to 

attach a copy of the indirect cost rate agreement to the application. An applicant that does

not have a current federally-approved rate may request one through its cognizant federal 

agency, which will review all documentation and approve a rate for the applicant entity, or, if 

the applicant’s accounting system permits, applicants may propose to allocate costs in the 

direct cost categories.

For assistance with identifying the appropriate cognizant federal agency for indirect costs, 

please contact the Customer Service Center at 1-800-458-0786 or at ask.ocfo@usdoj.gov. If 

DOJ is the cognizant federal agency, an applicant may obtain information needed to submit 

an indirect cost rate proposal at www.ojp.gov/funding/Apply/Resources/IndirectCosts.pdf.

Certain OJP recipients have the option of electing to use the “de minimis” indirect cost rate. 

An applicant eligible to use the “de minimis” rate that wishes to use the "de minimis" rate 

should attach written documentation to the application that advises OJP of both—(1) the 

applicant’s eligibility to use the “de minimis” rate, and (2) its election to do so. If an eligible 

applicant elects the “de minimis” rate, costs must be consistently charged as either indirect 

or direct costs, but may not be double charged or inconsistently charged as both. The "de 

minimis" rate may no longer be used once an approved federally-negotiated indirect cost 
NIJ-2017-11060

20

rate is in place. (No entity that ever has had a federally-approved negotiated indirect cost 

rate is eligible to use the "de minimis" rate.)

6. Tribal Authorizing Resolution (if applicable)

A tribe, tribal organization, or third party that proposes to provide direct services or 

assistance to residents on tribal lands should include in its application a resolution, letter, 

affidavit, or other documentation, as appropriate, that demonstrates (as a legal matter) that 

the applicant has the requisite authorization from the tribe(s) to implement the proposed 

project on tribal lands. In those instances when an organization or consortium of tribes 

applies for an award on behalf of a tribe or multiple specific tribes, the application should 

include appropriate legal documentation, as described above, from all tribes that would 

receive services or assistance under the award. A consortium of tribes for which existing 

consortium bylaws allow action without support from all tribes in the consortium (i.e., without 

an authorizing resolution or comparable legal documentation from each tribal governing 

body) may submit, instead, a copy of its consortium bylaws with the application.

An applicant unable to submit an application that includes a fully-executed (i.e., signed) 

copy of legal appropriate documentation, as described above, consistent with the applicable 

tribe’s governance structure, should, at a minimum, submit an unsigned, draft version of 

such legal documentation as part of its application (except for cases in which, with respect 

to a tribal consortium applicant, consortium bylaws allow action without the support of all 

consortium member tribes). If selected for funding, OJP will make use of and access to 

award funds contingent on receipt of the fully-executed legal documentation.

7. Financial Management and System of Internal Controls Questionnaire (including 

applicant disclosure of high-risk status)

Every applicant (other than an individual applying in his/her personal capacity) is to 

download, complete, and submit the OJP Financial Management and System of Internal 

Controls Questionnaire, as part of its application.

Among other things, the form requires each applicant to disclose whether it currently is 

designated “high risk” by a federal grant-making agency outside of DOJ. For purposes of 

this disclosure, high risk includes any status under which a federal awarding agency 

provides additional oversight due to the applicant’s past performance, or other programmatic 

or financial concerns with the applicant. If an applicant is designated high risk by another 

federal awarding agency, the applicant must provide the following information:

• The federal awarding agency that currently designates the applicant high risk

• The date the applicant was designated high risk

• The high-risk point of contact at that federal awarding agency (name, phone number, 

and email address) 

• The reasons for the high-risk status, as set out by the federal awarding agency

OJP seeks this information to help ensure appropriate federal oversight of OJP awards. An 

applicant that is considered “high-risk” by another federal awarding agency is not 
NIJ-2017-11060

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SAMPLE

automatically disqualified from receiving an OJP award. OJP may, however, consider the 

information in award decisions, and may impose additional OJP oversight of any award 

under this solicitation (including through the conditions that accompany the award 

document).

8. Disclosure of Lobbying Activities

Each applicant must complete and submit this information. An applicant that expends any 

funds for lobbying activities is to provide all of the information requested on the form 

Disclosure of Lobbying Activities (SF-LLL). An applicant that does not expend any funds for 

lobbying activities is to enter “N/A” in the text boxes for item 10 (“a. Name and Address of 

Lobbying Registrant” and “b. Individuals Performing Services”).

9. Additional Attachments

a. Applicant disclosure of pending applications6

Each applicant is to disclose whether it has (or is proposed as a subrecipient under) any 

pending applications for federally-funded grants or cooperative agreements that (1)

include requests for funding to support the same project being proposed in the 

application under this solicitation, and (2) would cover the identical cost items outlined in 

the budget submitted to OJP under this solicitation. The applicant is to disclose both 

applications made directly to federal awarding agencies, and also applications for 

subawards of federal funds (e.g., applications to State agencies that will subaward 

(“subgrant”) federal funds).

OJP seeks this information to help avoid any inappropriate duplication of funding. 

Leveraging multiple funding sources in a complementary manner to implement 

comprehensive programs or projects is encouraged and is not seen as inappropriate 

duplication.

Each applicant that has one or more pending applications as described above is to 

provide the following information about pending applications submitted within the last 12 

months:

• The federal or State funding agency

• The solicitation name/project name

• The point of contact information at the applicable federal or State funding agency

 6 Typically, the applicant is not the project director. Rather, the applicant, most frequently, is the institution, 

organization, or company in which the project director is employed.

Federal or State 

Funding Agency 

Solicitation 

Name/Project 

Name

Name/Phone/Email for Point of Contact at 

Federal or State Funding Agency

DOJ/Office of 

Community 

Oriented Policing 

Services (COPS)

COPS Hiring 

Program

Jane Doe, 202/000-0000; 

jane.doe@usdoj.gov
NIJ-2017-11060

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Each applicant should include the table as a separate attachment to its application. The 

file should be named “Disclosure of Pending Applications.” The applicant Legal Name on 

the application must match the entity named on the disclosure of pending applications 

statement.

Any applicant that does not have any pending applications as described above is to 

submit, as a separate attachment, a statement to this effect: “[Applicant Name on SF424] does not have (and is not proposed as a subrecipient under) any pending 

applications submitted within the last 12 months for federally-funded grants or 

cooperative agreements (or for subawards under federal grants or cooperative 

agreements) that request funding to support the same project being proposed in this 

application to OJP and that would cover any identical cost items outlined in the budget 

submitted as part of in this application.”

b. Certification as to Provision of Postconviction DNA Testing and Preservation of 

Biological Evidence

If an award is made, prior to receiving award funds an applicant must submit an express 

certification from the chief legal officer of the State (typically the Attorney General) that 

the State:

i. Provides postconviction DNA testing of specified biological evidence under a 

State statute, or under State rules, regulations, or practices, to persons convicted 

after trial and under a sentence of imprisonment or death for a State offense of 

murder or forcible rape, in a manner intended to ensure a reasonable process for 

resolving claims of actual innocence.

ii. Preserves biological evidence secured in relation to the investigation or 

prosecution of a State offense of murder or forcible rape, under a State statute, 

local ordinances, or State or local rules, regulations, or practices, in a manner 

intended to ensure that reasonable measures are taken by all jurisdictions within 

the State to preserve such evidence.

Any certification that is submitted must be personally executed by the chief legal officer 

of the State after a determination that the certification may properly be made. Appendix 

I: Certification Template provides the template that must be used for the certification.

While it may be submitted with the application package, submission of this 

certification is not required at the time of application. If an award is made, access to 

award funds will be withheld until this certification is received and approved by NIJ.

Health and Human 

Services/Substance 

Abuse & Mental 

Health Services 

Administration

Drug-Free 

Communities 

Mentoring 

Program/North 

County Youth 

Mentoring 

Program

John Doe, 202/000-0000; john.doe@hhs.gov
NIJ-2017-11060

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Note to all applicants, in particular, applicants proposing postconviction DNA 

testing projects involving cases outside of the applicant’s State: The 

certification at Appendix I: Certification Template must be executed by the chief legal 

officer of the appropriate State for each State for which postconviction cases are 

sought to be funded consistent with this solicitation. Funds will not be made 

available to applicants (if awarded) that fail to submit a properly-executed 

certification(s).

c. Legal Opinion as to Certification Under Section 413 of the Justice for All Act of 

2004 (42 U.S.C. § 14136 note)(“State” applicants only)

As noted above, recently-enacted legislation, the Justice for All Reauthorization Act of 

2016 (Public Law 114-324)7

, contained significant changes impacting 42 U.S.C. § 

14136e (the Kirk Bloodsworth Post-Conviction DNA Testing Grant Program 

(“Bloodsworth”) statute) and other related provisions of law. If FY 2017 funds are made 

available pursuant to the “Bloodsworth” statutory authority, NIJ will not be in a position to

fund awards from this FY 2017 Postconviction Testing of DNA Evidence solicitation.

Given the possibility that a full-year DOJ 2017 appropriation may provide funding for 

“Bloodsworth” grants (incorporating the recently-enacted legislation), an applicant that is 

a State is to—

• Review carefully sections 11 and 12 of the Justice for All Reauthorization Act of 

2016 (Public Law 114-324).

• Determine whether it would be able to provide the certification that would be 

required consistent with section 413 of Public Law 108-405, the Justice for All 

Act of 2004 (42 U.S.C. 14136 note), as amended by section 12 of the Justice for 

All Reauthorization Act of 2016 (Public Law 114-324).

• Submit a legal opinion following upon such review using the template at 

Appendix III: Legal Opinion as to Certification Under Section 413 of the Justice 

for All Act of 2004 (42 U.S.C. § 14136 note)(“State” applicants only).

While it may be submitted with the application package, submission of this 

legal opinion document is not required at the time of application. If an 

award is made, access to award funds (“State” applicants only) will be withheld 

until this legal opinion document is received and approved (as to its proper 

execution) by NIJ.

Note regarding section 413 of Public Law 108-405: Although not applicable to 

awards under this solicitation, the provisions of section 413 or related provisions

may apply—including in FY 2017, if funds are made available pursuant to the 

“Bloodsworth” statutory authority (incorporating the recently enacted 

legislation)—to future solicitations related to postconviction DNA testing 

assistance. (A copy of the following provisions (shown with amendments 

enacted by Public Law 114-324 incorporated into the text) appears in Appendix 

 7 The link provided to Public Law 114-324 here, for convenience of reference, is to the enrolled bill version of S.2577 

(114th Congress) that was enacted into law.
NIJ-2017-11060

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II: section 413, along with copies of 18 U.S.C. §§ 3600(a) and 3600A, which are 

referenced therein. The information at Appendix II has been prepared and 

included in this solicitation for purposes of convenience only; applicants are 

strongly encouraged to access and view Public Law 114-324, and federal 

statutes amended thereby, by using official government repositories such as the 

Office of the Law Revision Counsel, Congress.gov, or Government Publishing 

Office websites.)

d. Disclosure of Process Related to Executive Compensation 

An applicant that is a nonprofit organization may be required to make certain 

disclosures relating to the processes it uses to determine the compensation of its 

officers, directors, trustees, and key employees.

Under certain circumstances, a nonprofit organization that provides unreasonably 

high compensation to certain persons may subject both the organization’s managers 

and those who receive the compensation to additional federal taxes. A rebuttable 

presumption of the reasonableness of a nonprofit organization’s compensation 

arrangements, however, may be available if the nonprofit organization satisfied 

certain rules set out in Internal Revenue Service regulations with regard to its 

compensation decisions.

Each applicant nonprofit organization must state at the time of its application (in the

"OJP Financial Management and System of Internal Controls Questionnaire" 

mentioned earlier) whether or not the applicant entity believes (or asserts) that it 

currently satisfies the requirements of 26 C.F.R. 53.4958-6 (which relate to 

establishing or invoking a rebuttable presumption of reasonableness of compensation 

of certain individuals and entities).

A nonprofit organization that states in the questionnaire that it believes (or asserts) 

that it has satisfied the requirements of 26 C.F.R. 53.4958-6 must then disclose, in an 

attachment to its application (to be titled "Disclosure of Process related to Executive 

Compensation"), the process used by the applicant nonprofit organization to 

determine the compensation of its officers, directors, trustees, and key employees 

(together, "covered persons").

At a minimum, the disclosure must describe in pertinent detail: (1) the composition of 

the body that reviews and approves compensation arrangements for covered 

persons; (2) the methods and practices used by the applicant nonprofit organization to 

ensure that no individual with a conflict of interest participates as a member of the 

body that reviews and approves a compensation arrangement for a covered person; 

(3) the appropriate data as to comparability of compensation that is obtained in 

advance and relied upon by the body that reviews and approves compensation 

arrangements for covered persons; and (4) the written or electronic records that the 

applicant organization maintains as concurrent documentation of the decisions with 

respect to compensation of covered persons made by the body that reviews and 

approves such compensation arrangements, including records of deliberations and of 

the basis for decisions.

For purposes of the required disclosure, the following terms and phrases have the 

meanings set out by the Internal Revenue Service for use in connection with 26 C.F.R. 
NIJ-2017-11060

25

53.4958-6: officers, directors, trustees, key employees, compensation, conflict of 

interest, appropriate data as to comparability, adequate documentation, and concurrent 

documentation. 

Applicant nonprofit organizations should note that following receipt of an appropriate 

request, OJP may be authorized or required by law to make information submitted to 

satisfy this requirement available for public inspection. Also, a recipient may be required 

to make a prompt supplemental disclosure after the award in certain circumstances 

(e.g., changes in the way the organization determines compensation).

How to Apply

Applicants must register in, and submit applications through Grants.gov, a primary source to

find federal funding opportunities and apply for funding. Find complete instructions on how to 

register and submit an application at www.Grants.gov. Applicants that experience technical 

difficulties during this process should call the Grants.gov Customer Support Hotline at 800-518-

4726 or 606–545–5035, which operates 24 hours a day, 7 days a week, except on federal 

holidays.

Registering with Grants.gov is a one-time process; however, processing delays may occur, 

and it can take several weeks for first-time registrants to receive confirmation of registration 

and a user password. OJP encourages applicants to register several weeks before the 

application submission deadline. In addition, OJP urges applicants to submit applications at 

least 72 hours prior to the application due date, in order to allow time for the applicant to receive 

validation messages or rejection notifications from Grants.gov, and to correct in a timely fashion 

any problems that may have caused a rejection notification.

OJP strongly encourages all prospective applicants to sign up for Grants.gov email notifications

regarding this solicitation. If this solicitation is cancelled or modified, individuals who sign up with 

Grants.gov for updates will be automatically notified.

Browser Information: Grants.gov was built to be compatible with Internet Explorer. For 

technical assistance with Google Chrome, or another browser, contact Grants.gov Customer 

Support.

Note on Attachments: Grants.gov has two categories of files for attachments: “mandatory” and

“optional.” OJP receives all files attached in both categories. Please ensure that all required 

documents are attached in either Grants.gov category.

Note on File Names and File Types: Grants.gov only permits the use of certain specific

characters in the file names of attachments. Valid file names may include only the characters 

shown in the table below. Grants.gov rejects any application that includes an attachment(s) with 

a file name that contains any characters not shown in the table below. Grants.gov forwards

successfully-submitted applications to the OJP Grants Management System (GMS).

Characters Special Characters

Upper case (A – Z) Parenthesis ( ) Curly braces { } Square brackets [ ]

Lower case (a – z) Ampersand (&) Tilde (~) Exclamation point (!)

Underscore (__) Comma ( , ) Semicolon ( ; ) Apostrophe ( ‘ )

Hyphen ( - ) At sign (@) Number sign (#) Dollar sign ($)
NIJ-2017-11060

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Space Percent sign (%) Plus sign (+) Equal sign (=)

Period (.) Applicants must use the “&” format in place of the ampersand (&)

when using XML format for documents.

GMS does not accept executable file types as application attachments. These disallowed 

file types include, but are not limited to, the following extensions: “.com,” “.bat,” “.exe,” “.vbs,”

“.cfg,” “.dat,” “.db,” “.dbf,” “.dll,” “.ini,” “.log,” “.ora,” “.sys,” and “.zip.” GMS may reject applications 

with files that use these extensions. It is important to allow time to change the type of file(s) if 

the application is rejected.

All applicants are required to complete the following steps:

Every applicant entity must comply with all applicable System for Award Management (SAM) 

and unique entity identifier (currently, a Data Universal Numbering System [DUNS] number) 

requirements. If an applicant entity has not fully complied with applicable SAM and unique 

identifier requirements by the time OJP makes award decisions, OJP may determine that the 

applicant is not qualified to receive an award and may use that determination as a basis for 

making the award to a different applicant.

An individual who wishes to apply in his/her personal capacity should search Grants.gov for 

funding opportunities for which individuals are eligible to apply. Use the Funding Opportunity 

Number (FON) to register. (An applicant applying as an individual must comply with all 

applicable Grants.gov individual registration requirements.)

Complete the registration form at https://apply07.grants.gov/apply/IndCPRegister to create a 

username and password for Grants.gov. (An applicant applying as an individual should 

complete all steps except 1, 2 and 4.)

1. Acquire a unique entity identifier (currently, a DUNS number). In general, the Office of 

Management and Budget requires every applicant for a federal award (other than an 

individual) to include a "unique entity identifier" in each application, including an application 

for a supplemental award. Currently, a DUNS number is the required unique entity identifier. 

A DUNS number is a unique nine-digit identification number provided by the commercial 

company Dun and Bradstreet. This unique entity identifier is used for tracking purposes, and 

to validate address and point of contact information for applicants, recipients, and 

subrecipients. It will be used throughout the life cycle of an OJP award. Obtaining a DUNS 

number is a free, one-time activity. Call Dun and Bradstreet at 866–705–5711 to obtain a 

DUNS number or apply online at www.dnb.com. A DUNS number is usually received within 

1-2 business days.

2. Acquire registration with the System for Award Management (SAM). SAM is the 

repository for certain standard information about federal financial assistance applicants, 

recipients, and subrecipients. All applicants for OJP awards (other than individuals) must

maintain current registrations in the SAM database. An applicant must be registered in SAM 

to successfully register in Grants.gov. Each applicant must update or renew its SAM 

registration at least annually to maintain an active status. SAM registration and renewal 

can take as long as 10 business days to complete.

An application cannot be successfully submitted in Grants.gov until Grants.gov receives the 

SAM registration information. Once the SAM registration/renewal is complete, the 
NIJ-2017-11060

27

information transfer from SAM to Grants.gov can take as long as 48 hours. OJP 

recommends that the applicant register or renew registration with SAM as early as possible.

Information about SAM registration procedures can be accessed at www.sam.gov.

3. Acquire an Authorized Organization Representative (AOR) and a Grants.gov 

username and password. Complete the AOR profile on Grants.gov and create a username 

and password. An applicant entity’s "unique entity identifier" (DUNS number) must be used 

to complete this step. For more information about the registration process for organizations 

and other entities, go to https://apply07.grants.gov/apply/OrcRegister. Individuals registering

with Grants.gov should go to http://www.grants.gov/web/grants/applicants/individualregistration.html. 

4. Acquire confirmation for the AOR from the E-Business Point of Contact (E-Biz POC). 

The E-Biz POC at the applicant organization must log into Grants.gov to confirm the

applicant organization’s AOR. The E-Biz POC will need the Marketing Partner Identification 

Number (MPIN) password obtained when registering with SAM to complete this step. Note 

that an organization can have more than one AOR.

5. Search for the funding opportunity on Grants.gov. Use the following identifying 

information when searching for the funding opportunity on Grants.gov. The Catalog of 

Federal Domestic Assistance ("CFDA") number for this solicitation is 16.820, titled 

“Postconviction Testing of DNA Evidence,” and the funding opportunity number is NIJ-2017-

11060.

6. Submit a valid application consistent with this solicitation by following the directions 

in Grants.gov. Within 24–48 hours after submitting the electronic application, the applicant 

should receive two notifications from Grants.gov. The first will confirm the receipt of the 

application. The second will state whether the application has been validated and 

successfully submitted, or whether it has been rejected due to errors, with an explanation. It 

is possible to first receive a message indicating that the application is received, and then 

receive a rejection notice a few minutes or hours later. Submitting an application well ahead 

of the deadline provides time to correct the problem(s) that caused the rejection. Important:

OJP urges each applicant to submit its application at least 72 hours prior to the application 

due date, to allow time to receive validation messages or rejection notifications from 

Grants.gov, and to correct in a timely fashion any problems that may have caused a 

rejection notification. Applications must be successfully submitted through Grants.gov by

11:59 p.m. eastern time on May 9, 2017

Click here for further details on DUNS numbers, SAM, and Grants.gov registration steps and 

timeframes.

Note: Application Versions

If an applicant submits multiple versions of the same application, OJP will review only the most 

recent system-validated version submitted

Experiencing Unforeseen Grants.gov Technical Issues

An applicant that experiences unforeseen Grants.gov technical issues beyond its control that 

prevent it from submitting its application by the deadline must contact the Grants.gov Customer 

Support Hotline or the SAM Help Desk (Federal Service Desk) to report the technical issue and 
NIJ-2017-11060

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receive a tracking number. The applicant must email the NCJRS contact identified in the 

Contact Information section on page 2 within 24 hours after the application deadline to 

request approval to submit its application after the deadline. The applicant's email must 

describe the technical difficulties, and must include a timeline of the applicant’s submission 

efforts, the complete grant application, the applicant’s DUNS number, and any Grants.gov Help 

Desk or SAM tracking number(s).

Note: OJP does not automatically approve requests to submit a late application. After

OJP reviews the applicant's request, and contacts the Grants.gov or SAM Help Desks to verify 

the reported technical issues, OJP will inform the applicant whether the request to submit a late 

application has been approved or denied. If OJP determines that the untimely application 

submission was due to the applicant's failure to follow all required procedures, OJP will deny the 

applicant’s request to submit its application. 

The following conditions generally are insufficient to justify late submissions:

• Failure to register in SAM or Grants.gov in sufficient time (SAM registration and renewal 

can take as long as 10 business days to complete. The information transfer from SAM to 

Grants.gov can take up to 48 hours.)

• Failure to follow Grants.gov instructions on how to register and apply as posted on its 

website

• Failure to follow each instruction in the OJP solicitation

• Technical issues with the applicant’s computer or information technology environment, 

such as issues with firewalls or browser incompatibility. 

Notifications regarding known technical problems with Grants.gov, if any, are posted at 

the top of the OJP Funding Resource Center web page.

E. Application Review Information

Review Criteria

Applications that meet basic minimum requirements will be evaluated by peer reviewers using 

the following review criteria.

1. Description of the Issue (5%)

a. Awareness of the current state of DNA technology for forensic physical evidence.

b. Awareness of the significance of DNA testing relative to postconviction cases.

2. Project Design and Implementation (40%)

a. Relevance to the goals and objectives of the program (see Goals, Objectives, 

and Deliverables).
NIJ-2017-11060

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b. Feasibility of the proposed project, including likelihood of completion of the 

project goals within the proposed project period.

c. Awareness of potential pitfalls and the inclusion of work-arounds.

d. Demonstration of multiagency cooperation, collaboration and partnerships. 

e. Innovation and creativity (where appropriate).

3. Capabilities and Competencies (20%)

a. Qualifications and experience of proposed staff.

b. Demonstrated ability of staff and organization to manage the effort.

c. Adequacy of the management plan.

4. Potential Impact (15%)

a. Relevance to policy and practice.

b. Potential for significant advances or outcomes.

5. Budget (15%)

a. Complete, cost effective, and allowable (e.g., reasonable, allocable, and 

necessary for project activities). Budget narratives should demonstrate generally

how applicants will maximize cost effectiveness of grant expenditures. Budget 

narratives should demonstrate cost effectiveness in relation to potential 

alternatives and the goals of the project.

8

6. Plan for Collecting the Data for this Solicitation's Performance Measures (5%)

Review Process

OJP is committed to ensuring a fair and open process for awarding grants. NIJ reviews the 

application to make sure that the information presented is reasonable, understandable, 

measurable, and achievable, as well as consistent with the solicitation.

Peer reviewers will review the applications submitted under this solicitation that meet basic 

minimum requirements. For purposes of assessing whether an application meets basic 

minimum requirements and should proceed to further consideration, OJP screens applications 

for compliance with those requirements. Although specific requirements may vary, the following 

are common requirements applicable to all solicitations for funding under OJP programs:

• The application must be submitted by an eligible type of applicant.

 8 Generally speaking, a reasonable cost is a cost that, in its nature or amount, does not exceed that which would be 

incurred by a prudent person under the circumstances prevailing at the time the decision was made to incur the 

costs.
NIJ-2017-11060

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• The application must request funding within programmatic funding constraints (if 

applicable).

• The application must be responsive to the scope of the solicitation.

• The application must include all items designated as “critical elements.”

• The applicant must not be identified in SAM as excluded from receiving federal 

awards.

For a list of the critical elements for this solicitation, see “What an Application Should Include” 

under Section D. Application and Submission Information.

Peer review panels will evaluate, score, and rate applications that meet basic minimum 

requirements. NIJ may use internal peer reviewers, external peer reviewers, or a combination, 

to assess applications on technical merit using the solicitation’s review criteria. An external peer 

reviewer is an expert in the subject matter of a given solicitation who is not a current DOJ 

employee. An internal reviewer is a current DOJ employee who is well-versed or has expertise 

in the subject matter of this solicitation. Peer reviewers’ ratings and any resulting 

recommendations are advisory only, although reviewer views are considered carefully. Other 

important considerations for OJP include underserved populations, geographic diversity, 

strategic priorities, and available funding, as well as the extent to which the budget detail 

worksheet and budget narrative accurately explain project costs that are reasonable, necessary, 

and otherwise allowable under federal law and applicable federal cost principles.

Pursuant to the Part 200 Uniform Requirements, before award decisions are made, OJP also 

reviews information related to the degree of risk posed by applicants. Among other things to 

help assess whether an applicant that has one or more prior federal awards has a satisfactory 

record with respect to performance, integrity, and business ethics, OJP checks whether the 

applicant is listed in SAM as excluded from receiving a federal award. If OJP anticipates that an 

award will exceed $150,000 in federal funds, OJP also must review and consider any 

information about the applicant that appears in the non-public segment of the integrity and 

performance system accessible through SAM (currently, the Federal Awardee Performance and 

Integrity Information System; "FAPIIS").

Important note on FAPIIS: An applicant, at its option, may review and comment on any 

information about itself that currently appears in FAPIIS and was entered by a federal awarding 

agency. OJP will consider any such comments by the applicant, in addition to the other 

information in FAPIIS, in its assessment of the risk posed by applicants.

The evaluation of risks goes beyond information in SAM, however. OJP itself has in place a 

framework for evaluating risks posed by applicants for competitive awards. OJP takes into 

account information pertinent to matters such as—

1. Applicant financial stability and fiscal integrity

2. Quality of the management systems of the applicant, and the applicant’s ability to meet 

prescribed management standards, including those outlined in the DOJ Grants Financial 

Guide
NIJ-2017-11060

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3. Applicant's history of performance under OJP and other DOJ awards (including 

compliance with reporting requirements and award conditions), as well as awards from 

other federal agencies

4. Reports and findings from audits of the applicant, including audits under the Part 200 

Uniform Requirements

5. Applicant's ability to comply with statutory and regulatory requirements, and to effectively 

implement other award requirements.

Absent explicit statutory authorization or written delegation of authority to the contrary, all final 

award decisions will be made by the Assistant Attorney General, who may take into account not 

only peer review ratings and NIJ recommendations, but also other factors as indicated in this 

section.

F. Federal Award Administration Information

Federal Award Notices

Award notifications will be made by September 30, 2017. OJP sends award notifications by 

email through GMS to the individuals listed in the application as the point of contact and the 

authorizing official (E-Biz POC and AOR). The email notification includes detailed instructions 

on how to access and view the award documents, and steps to take in GMS to start the award 

acceptance process. GMS automatically issues the notifications at 9:00 p.m. eastern time on 

the award date.

For each successful applicant, an individual with the necessary authority to bind the applicant 

will be required to log in; execute a set of legal certifications and a set of legal assurances;

designate a financial point of contact; thoroughly review the award, including all award 

conditions; and sign and accept the award. The award acceptance process requires physical 

signature of the award document by the authorized representative and the scanning of the fullyexecuted award document to OJP.

Administrative, National Policy, and Other Legal Requirements

If selected for funding, in addition to implementing the funded project consistent with the OJPapproved application, the recipient must comply with all award conditions, as well as all 

applicable requirements of federal statutes, regulations, and executive orders (including 

applicable requirements referred to in the assurances and certifications executed in connection 

with award acceptance). OJP strongly encourages prospective applicants to review information 

on post-award legal requirements and common OJP award conditions prior to submitting an 

application. 

Applicants should consult the “Overview of Legal Requirements Generally Applicable to OJP 

Grants and Cooperative Agreements - FY 2017 Awards,” available in the OJP Funding 

Resource Center. In addition, applicants should examine the following two legal documents, as 

each successful applicant must execute both documents before it may receive any award funds.

• Certifications Regarding Lobbying; Debarment, Suspension and Other Responsibility 

Matters; and Drug-Free Workplace Requirements
NIJ-2017-11060

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• Standard Assurances

Applicants may view these documents in the Apply section of the OJP Funding Resource 

Center.

The web pages accessible through the “Overview of Legal Requirements Generally Applicable 

to OJP Grants and Cooperative Agreements - FY 2017 Awards” are intended to give applicants 

for OJP awards a general overview of important statutes, regulations, and award conditions that 

apply to many (or in some cases, all) OJP grants and cooperative agreements awarded in FY 

2017. Individual OJP awards typically also will include additional award conditions. Those 

additional conditions may relate to the particular statute or program, or solicitation under which 

the award is made; to the substance of the funded application; to the recipient's performance 

under other federal awards; to the recipient's legal status (e.g., as a for-profit entity); or to other 

pertinent considerations.

General Information about Post-Federal Award Reporting Requirements

In addition to the deliverables described in Section A. Program Description, any recipient of an 

award under this solicitation will be required to submit the following reports and data.

Required reports. Recipients typically must submit quarterly financial reports, semi-annual 

progress reports, final financial and progress reports, and, if applicable, an annual audit report in 

accordance with the Part 200 Uniform Requirements or specific award conditions. Future 

awards and fund drawdowns may be withheld if reports are delinquent. (In appropriate cases, 

OJP may require additional reports.)

Awards that exceed $500,000 will include an additional condition that, under specific

circumstances, will require the recipient to report (to FAPIIS) information on civil, criminal, and 

administrative proceedings connected with (or connected to the performance of) either the OJP 

award or any other grant, cooperative agreement, or procurement contract from the federal 

government. Additional information on this reporting requirement appears in the text of the 

award condition posted on the OJP web site at http://ojp.gov/funding/FAPIIS.htm.

Data on performance measures. In addition to required reports, an award recipient also must 

provide data that measure the results of the work done under the award. To demonstrate 

program progress and success, as well as to assist DOJ in fulfilling its responsibilities under the 

Government Performance and Results Act of 1993 (GPRA), Public Law 103-62, and the GPRA 

Modernization Act of 2010, Public Law 111–352, OJP will require any recipient, post award, to 

provide the data listed as “Data Recipient Provides” in the performance measures table in 

Section D. Application and Submission Information, under "Program Narrative," so that OJP can 

calculate values for this solicitation's performance measures.

G. Federal Awarding Agency Contact(s)

For OJP contact(s), see page 2.

For contact information for Grants.gov, see page 2.
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H. Other Information

Freedom of Information Act and Privacy Act (5 U.S.C. 552 and 5 U.S.C. 552a)

All applications submitted to OJP (including all attachments to applications) are subject to the 

federal Freedom of Information Act (FOIA) and to the Privacy Act. By law, DOJ may withhold 

information that is responsive to a request pursuant to FOIA if DOJ determines that the 

responsive information either is protected under the Privacy Act or falls within the scope of one 

of nine statutory exemptions under FOIA. DOJ cannot agree in advance of a request pursuant 

to FOIA not to release some or all portions of an application.

In its review of records that are responsive to a FOIA request, OJP will withhold information in 

those records that plainly falls within the scope of the Privacy Act or one of the statutory 

exemptions under FOIA. (Some examples include certain types of information in budgets, and 

names and contact information for project staff other than certain key personnel.) In appropriate 

circumstances, OJP will request the views of the applicant/recipient that submitted a responsive 

document.

For example, if OJP receives a request pursuant to FOIA for an application submitted by a 

nonprofit or for-profit organization or an institution of higher education, or for an application that 

involves research, OJP typically will contact the applicant/recipient that submitted the 

application and ask it to identify -- quite precisely -- any particular information in the application 

that applicant/recipient believes falls under a FOIA exemption, the specific exemption it believes 

applies, and why. After considering the submission by the applicant/recipient, OJP makes an 

independent assessment regarding withholding information. OJP generally follows a similar 

process for requests pursuant to FOIA for applications that may contain law-enforcement 

sensitive information.

Provide Feedback to OJP

To assist OJP in improving its application and award processes, OJP encourages applicants to 

provide feedback on this solicitation, the application submission process, and/or the application 

review process. Provide feedback to OJPSolicitationFeedback@usdoj.gov.

IMPORTANT: This email is for feedback and suggestions only. OJP does not reply from this 

mailbox to messages it receives in this mailbox. Any prospective applicant that has specific 

questions on any program or technical aspect of the solicitation must use the appropriate 

telephone number or email listed on the front of this document to obtain information. These 

contacts are provided to help ensure that prospective applicants can directly reach an individual 

who can address specific questions in a timely manner.

If you are interested in being a reviewer for other OJP grant applications, please email your 

resume to ojppeerreview@lmsolas.com. (Do not send your resume to the OJP Solicitation 

Feedback email account.) Note: Neither you nor anyone else from your organization or entity 

can be a peer reviewer in a competition in which you or your organization/entity has submitted

an application.
NIJ-2017-11060

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Application Checklist

Postconviction Testing of DNA Evidence 

This application checklist has been created as an aid in developing an application.

What an Applicant Should Do:

Prior to Registering in Grants.gov:

_____ Acquire a DUNS Number (see page 26)

_____ Acquire or renew registration with SAM (see page 26)

To Register with Grants.gov: 

_____ Acquire AOR and Grants.gov username/password (see page 27)

_____ Acquire AOR confirmation from the E-Biz POC (see page 27)

To Find Funding Opportunity:

_____ Search for the Funding Opportunity on Grants.gov (see page 27)

_____ Download Funding Opportunity and Application Package (see page 27)

_____ Sign up for Grants.gov email notifications (optional) (see page 25)

_____ Read Important Notice: Applying for Grants in Grants.gov

_____ Read OJP policy and guidance on conference approval, planning, and reporting

available at ojp.gov/financialguide/DOJ/PostawardRequirements/chapter3.10a.htm

(see page 12)

After Application Submission, Receive Grants.gov Email Notifications That:

_____ (1) application has been received,

_____ (2) application has either been successfully validated or rejected with errors

(see page 27)

If No Grants.gov Receipt, and Validation or Error Notifications are Received:

_____ contact NCJRS regarding experiencing technical difficulties (see page 2)

Overview of Post-Award Legal Requirements:

_____ Review the "Overview of Legal Requirements Generally Applicable to OJP Grants and 

Cooperative Agreements - FY 2017 Awards" in the OJP Funding Resource Center.

Scope Requirement:

_____ The federal amount requested is within the allowable limit(s).

Eligibility Requirement: For eligibility information, see the title page.

What an Application Should Include: 

_____ Application for Federal Assistance (SF-424) (see page 13)

_____ Project Abstract (see page 13)

_____ Program Narrative (see page 14)

_____ Double-spaced

_____ 12-point standard font

_____ 1” standard margins

_____ Narrative is 12 pages or less

_____ Appendices (see page 16)

_____ Curriculum vitae, resumes, or biographical sketches of key personnel
NIJ-2017-11060

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_____ Bibliography/references

_____ Tools/instruments, questionnaires, tables/charts/graphs, or maps

_____ List of proposed project staff members

_____ Project timeline

_____ List of previous and current NIJ awards

_____ Letters of support

_____ Budget Detail Worksheet (see page 16)

_____ Budget Narrative (see page 16)

_____ Indirect Cost Rate Agreement (if applicable) (see page 19)

_____ Tribal Authorizing Resolution (if applicable) (see page 20)

_____ Financial Management and System of Internal Controls Questionnaire

(see page 20)

_____ Disclosure of Lobbying Activities (SF-LLL) (see page 21)

_____ Additional Attachments

_____ Applicant Disclosure of Pending Applications (see page 21)

_____ Certification(s) as to Provision of Postconviction DNA Testing and Preservation 

of Biological Evidence (see page 22)

_____ Legal Opinion as to Certification Under Section 413 of the Justice for All Act of 

2004 (42 U.S.C. § 14136 note)(“State” applicants only) (see page 23)

_____ Disclosure of Process related to Executive Compensation (see page 24)

_____ Request and Justification for Employee Compensation; Waiver (see page 11)
NIJ-2017-11060

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Appendix I: Certification Template
NIJ-2017-11060

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U.S. DEPARTMENT OF JUSTICE

OFFICE OF JUSTICE PROGRAMS

NATIONAL INSTITUTE OF JUSTICE

FY 2017 Postconviction Testing of DNA Evidence 

On behalf of the State named below, I certify the following to the National Institute of Justice, Office of 

Justice Programs, U.S. Department of Justice:

(A) The State provides postconviction DNA testing of specified biological evidence under a State 

statute or under State rules, regulations, or practices, to persons convicted after trial and 

under a sentence of imprisonment or death for a State offense of murder or forcible rape, in a 

manner intended to ensure a reasonable process for resolving claims of actual innocence; 

and

(B) The State preserves biological evidence secured in relation to the investigation or 

prosecution of a State offense of murder or forcible rape under a State statute; local 

ordinances; or State or local rules, regulations, or practices, in a manner intended to ensure 

that reasonable measures are taken by all jurisdictions within the State to preserve such 

evidence.

I am the chief legal officer of the State and have authority to make this certification. I am aware that a 

false statement in this certification may be the subject of criminal prosecution, including under 18 U.S.C. § 

1001. I also acknowledge that certifications provided in connection with Office of Justice Programs grants 

are subject to review by the Office of Justice Programs or by the Department of Justice’s Office of the 

Inspector General.

_______________________________

Signature of Certifying Official

_______________________________

Printed Name of Certifying Official

_______________________________

Title of Certifying Official

_______________________________

Name of State

_______________________________

Date

Application Information:

_______________________________

Name of Applicant (if applicant is not the above-named State)
NIJ-2017-11060

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Appendix II: Selected Statutes

(See the note regarding section 413 of Public Law 108-405 on page 23)

Section 413 of the Justice for All Act of 2004 (Public Law 108–405), as amended by Public Law 

114-324 (the Justice for All Reauthorization Act of 2016) provides: 

Incentive grants to States to ensure consideration of claims of actual innocence. 

For each of fiscal years 2017 through 2021, all funds appropriated to carry out sections 303, 305, 308, 

and 412 shall be reserved for grants to eligible entities that—

(1) meet the requirements under section 303, 305, 308, or 412, as appropriate; and 

(2) for eligible entities that are a State or unit of local government, provide a certification by the 

chief legal officer of the State in which the eligible entity operates or the chief legal officer of the 

jurisdiction in which the funds will be used for the purposes of the grants, that the State or 

jurisdiction—

(A) provides DNA testing of specified evidence under a State statute or a State or local 

rule or regulation to persons sentenced to imprisonment or death for a State felony 

offense, in a manner intended to ensure a reasonable process for resolving claims of 

actual innocence that ensures post-conviction DNA testing in at least those cases that 

would be covered by section 3600(a) of title 18, United States Code, had they been 

Federal cases and, if the results of the testing exclude the applicant as the source of the 

DNA, permits the applicant to apply for post-conviction relief, notwithstanding any 

provision of law that would otherwise bar the application as untimely; and

(B) preserves biological evidence, as defined in section 3600A of title 18, United States 

Code, under a State statute or a State or local rule, regulation, or practice in a manner 

intended to ensure that reasonable measures are taken by the State or jurisdiction to 

preserve biological evidence secured in relation to the investigation or prosecution of, at 

a minimum, murder, nonnegligent manslaughter and sexual offenses.

18 U.S.C. § 3600(a), as amended by Public Law 114-324 (the Justice for All Reauthorization Act of 

2016), provides:

DNA testing

(a) In general.—Upon a written motion by an individual sentenced to imprisonment or death 

pursuant to a conviction for a Federal offense (referred to in this section as the "applicant"), the 

court that entered the judgment of conviction shall order DNA testing of specific evidence if the 

court finds that all of the following apply: 

(1) The applicant asserts, under penalty of perjury, that the applicant is actually innocent 

of—

(A) the Federal offense for which the applicant is sentenced to imprisonment or 

death; or 

(B) another Federal or State offense, if—
NIJ-2017-11060

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(i) evidence of such offense was admitted during a Federal death 

sentencing hearing and exoneration of such offense would entitle the 

applicant to a reduced sentence or new sentencing hearing; and 

(ii) in the case of a State offense—

(I) the applicant demonstrates that there is no adequate remedy 

under State law to permit DNA testing of the specified evidence 

relating to the State offense; and 

(II) to the extent available, the applicant has exhausted all 

remedies available under State law for requesting DNA testing of 

specified evidence relating to the State offense. 

(2) The specific evidence to be tested was secured in relation to the investigation or 

prosecution of the Federal or State offense referenced in the applicant's assertion under 

paragraph (1). 

(3) The specific evidence to be tested—

(A) was not previously subjected to DNA testing and the applicant did not

knowingly fail to request DNA testing of that evidence in a prior motion for 

postconviction DNA testing; or 

(B) was previously subjected to DNA testing and the applicant is requesting DNA 

testing using a new method or technology that is substantially more probative 

than the prior DNA testing. 

(4) The specific evidence to be tested is in the possession of the Government and has 

been subject to a chain of custody and retained under conditions sufficient to ensure that 

such evidence has not been substituted, contaminated, tampered with, replaced, or 

altered in any respect material to the proposed DNA testing.

(5) The proposed DNA testing is reasonable in scope, uses scientifically sound methods, 

and is consistent with accepted forensic practices. 

(6) The applicant identifies a theory of defense that—

(A) is not inconsistent with an affirmative defense presented at trial; and 

(B) would establish the actual innocence of the applicant of the Federal or State 

offense referenced in the applicant's assertion under paragraph (1). 

(7) If the applicant was convicted following a trial, the identity of the perpetrator was at 

issue in the trial. 

(8) The proposed DNA testing of the specific evidence may produce new material 

evidence that would—

(A) support the theory of defense referenced in paragraph (6); and 

(B) raise a reasonable probability that the applicant did not commit the offense. 

(9) The applicant certifies that the applicant will provide a DNA sample for purposes of 

comparison. 

(10) The motion is made in a timely fashion, subject to the following conditions: 
NIJ-2017-11060

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(A) There shall be a rebuttable presumption of timeliness if the motion is made 

within 60 months of enactment of the Justice For All Act of 2004 [October 30, 

2004] or within 36 months of conviction, whichever comes later. Such 

presumption may be rebutted upon a showing—

(i) that the applicant's motion for a DNA test is based solely upon 

information used in a previously denied motion; or 

(ii) of clear and convincing evidence that the applicant's filing is done 

solely to cause delay or harass. 

(B) There shall be a rebuttable presumption against timeliness for any motion not 

satisfying subparagraph (A) above. Such presumption may be rebutted upon the 

court's finding—

(i) that the applicant was or is incompetent and such incompetence 

substantially contributed to the delay in the applicant's motion for a DNA 

test; 

(ii) the evidence to be tested is newly discovered DNA evidence; 

(iii) that the applicant's motion is not based solely upon the applicant's 

own assertion of innocence and, after considering all relevant facts and 

circumstances surrounding the motion, a denial would result in a 

manifest injustice; or 

(iv) upon good cause shown.

(C) For purposes of this paragraph—

(i) the term "incompetence" has the meaning as defined in section 4241 

of title 18, United States Code;

(ii) the term "manifest" means that which is unmistakable, clear, plain, or 

indisputable and requires that the opposite conclusion be clearly evident. 

18 U.S.C. § 3600A, as amended by Public Law 114-324 (the Justice for All Reauthorization Act of 

2016), provides:

Preservation of biological evidence

(a) In general.—Notwithstanding any other provision of law, the Government shall preserve 

biological evidence that was secured in the investigation or prosecution of a Federal offense, if a 

defendant is sentenced to imprisonment for such offense.

(b) Defined term.—For purposes of this section, the term "biological evidence" means—

(1) a sexual assault forensic examination kit; or 

(2) semen, blood, saliva, hair, skin tissue, or other identified biological material. 

(c) Applicability.—Subsection (a) shall not apply if—
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(1) after a conviction becomes final and the defendant has exhausted all opportunities for 

direct review of the conviction, the defendant is notified that the biological evidence may 

be destroyed and the defendant does not file a motion under section 3600 within 180 

days of receipt of the notice; 

(2) (A) the evidence must be returned to its rightful owner, or is of such a size, bulk,

or physical character as to render retention impracticable; and 

(B) the Government takes reasonable measures to remove and preserve 

portions of the material evidence sufficient to permit future DNA testing; or 

(3) the biological evidence has already been subjected to DNA testing under section 

3600 and the results included the defendant as the source of such evidence. 

(d) Other preservation requirement.—Nothing in this section shall preempt or supersede any 

statute, regulation, court order, or other provision of law that may require evidence, including 

biological evidence, to be preserved.

(e) Regulations.—Not later than 180 days after the date of enactment of the Innocence Protection 

Act of 2004 [October 30, 2004], the Attorney General shall promulgate regulations to implement 

and enforce this section, including appropriate disciplinary sanctions to ensure that employees 

comply with such regulations.

(f) Criminal penalty.—Whoever knowingly and intentionally destroys, alters, or tampers with 

biological evidence that is required to be preserved under this section with the intent to prevent 

that evidence from being subjected to DNA testing or prevent the production or use of that 

evidence in an official proceeding, shall be fined under this title, imprisoned for not more than 5 

years, or both.

(g) Habeas corpus.—Nothing in this section shall provide a basis for relief in any Federal habeas 

corpus proceeding.
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Appendix III: Template for Legal Opinion as to Certification Under 

Section 413 of the Justice for All Act of 2004 (42 U.S.C. § 14136 

note)(“State” applicants only)

(Instructions: The applicant State is to execute the legal opinion document by having its chief 

legal officer initial only one of the two options ((1) or (2)) and sign where provided. The 

applicant must also provide all of the information requested at the bottom of this template. Scan 

the completed document and submit the image file electronically through GMS.)
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U.S. DEPARTMENT OF JUSTICE

OFFICE OF JUSTICE PROGRAMS

NATIONAL INSTITUTE OF JUSTICE

Legal Opinion as to Certification Under Section 413 of the Justice for All Act of 2004 (42 U.S.C. 

§ 14136 note)(to be completed by “State” applicants only)

By submitting this legal opinion on behalf of the State named below, I hereby represent the following to 

the National Institute of Justice, Office of Justice Programs, U.S. Department of Justice—

(1) __________ The State has reviewed the provisions of section 413 of the Justice for All Act of 

2004 (Public Law 108–405), as amended by Public Law 114-324, and has determined that it 

would be able to make the certification required under section 413 of the Justice for All Act of 

2004 (42 U.S.C. § 14136 note), as amended by Public Law 114-324, consistent with that law.

(2) __________The State has reviewed the provisions of section 413 of the Justice for All Act of 

2004 (Public Law 108–405), as amended by Public Law 114-324, and has determined that it 

would not be able to make the certification required under section 413 of the Justice for All 

Act of 2004 (42 U.S.C. § 14136 note), as amended by Public Law 114-324, consistent with 

that law. 

_______________________________

Signature of Chief Legal Officer of Applicant State

_______________________________

Printed Name of Chief Legal Officer of Applicant State

_______________________________

Title of Chief Legal Officer of Applicant State

_______________________________

Name of State

_______________________________

Date