Notices regarding the solicitation “Graduate Research Fellowship in 

Program in Science, Technology, Engineering and Mathematics”

October 24, 2016: Two recorded webinars have been posted. To assist applicants in 

completing their proposals, NIJ held two webinars related to this solicitation. Recordings of 

those webinars have been posted:

• Graduate Research Fellowship Programs: http://nij.gov/multimedia/Pages/video-fy17-

graduate-research-fellowship-webinar.aspx

• Fellowship Opportunities at the National Institute of Justice: 

http://nij.gov/multimedia/Pages/video-research-fellowship-opportunities.aspx

October 3, 2016: 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 http://nij.gov/funding/pages/solicitation-qa.aspx#nij-2017-10740 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 (NIJ) is seeking applications for funding innovative doctoral dissertation research in 

science, technology, engineering, or mathematics that is relevant to providing solutions to better 

ensure public safety, prevent and control crime, and ensure the fair and impartial administration 

of criminal justice in the United States. This program furthers the Department’s mission by

sponsoring research to provide objective, independent, evidence-based knowledge and tools to 

meet the challenges of crime and justice, particularly at the state and local levels.

Graduate Research Fellowship in Science, Technology, 

Engineering, and Mathematics

Eligibility

Eligible applicants are limited to degree-granting academic institutions in the United States and 

its territories. To be eligible, the institution must be fully accredited by one of the regional 

institutional accreditation agencies recognized by the U.S. Secretary of Education. Under this 

solicitation, the applicant institution must apply as the sponsoring institution for the doctoral 

candidate conducting criminal justice-related research in a discipline relevant to NIJ’s mission.

NIJ may elect to make awards for applications submitted under this solicitation in future fiscal 

years, dependent on, among other considerations, the merit of the applications and on the 

availability of appropriations.

Deadline

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

due to be submitted and in receipt of a successful validation message in Grants.gov by 

11:59 p.m. eastern time on November 21, 2016.

All applicants are encouraged 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 e-mail to support@grants.gov.

The Grants.gov Support Hotline hours of operation are 24 hours a day, 7 days a week, except 

federal holidays.

Applicants that experience unforeseen Grants.gov technical issues beyond their control that 

prevent them from submitting their application by the deadline must e-mail the NIJ contact 

identified below within 24 hours after the application deadline and request approval to 

submit their application. Additional information on reporting technical issues is found 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 
2 NIJ-2017-10740

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

operation are 10:00 a.m. to 6:00 p.m. eastern time, Monday through Friday, and 10:00 a.m. to 

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 announcement: NIJ-2017-10740

Release date: September 12, 2016
3 NIJ-2017-10740

Contents

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

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

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

Goals, Objectives, Deliverables, and Expected Scholarly Products ........................................ 7

B. Federal Award Information..................................................................................................... 7

Type of Award ........................................................................................................................ 9

Financial Management and System of Internal Controls......................................................... 9

Budget Information ................................................................................................................10

Cost Sharing or Match Requirement......................................................................................10

Pre-Agreement Costs (also known as Pre-award Costs).......................................................10

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

Prior Approval, Planning, and Reporting of Conference/Meeting/Training Costs ...................11

Costs Associated with Language Assistance (if applicable)...................................................11

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

Limit on Number of Application Submissions.........................................................................12

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

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

How to Apply .........................................................................................................................24

E. Application Review Information.............................................................................................27

Selection Criteria ...................................................................................................................27

Review Process.....................................................................................................................28

F. Federal Award Administration Information ............................................................................30

Federal Award Notices ..........................................................................................................30

Administrative, National Policy, and Other Legal Requirements ............................................30

General Information About Post-Federal Award Reporting Requirements .............................31

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

H. Other Information..................................................................................................................32

Freedom of Information Act and Privacy Act (5 U.S.C. 552 and 5 U.S.C. 552a) ....................32

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

Application Checklist .............................................................................................................34
4 NIJ-2017-10740

Graduate Research Fellowship in Science, 

Technology, Engineering, and Mathematics

(CFDA No. 16.562)

A. Program Description

Overview

The Graduate Research Fellowship in Science, Technology, Engineering, and Mathematics 

(GRF-STEM) provides awards to accredited academic institutions to support graduate research 

leading to doctoral degrees in topic areas that are relevant to ensuring public safety, preventing 

and controlling crime, and ensuring the fair and impartial administration of criminal justice in the 

United States. Applicant academic institutions sponsoring doctoral students are eligible to apply 

only if:

1. The doctoral student’s degree program is in a science, technology, engineering, or 

mathematics (STEM) discipline; and

2. The student’s proposed dissertation research has demonstrable implications for 

addressing the challenges of crime, and/or the fair and impartial administration of 

criminal justice in the United States.

Academic institutions sponsoring doctoral students whose disciplines are in the social and 

behavioral sciences should consider submitting their applications under the forthcoming “NIJ 

Graduate Research Fellowship Program in the Social and Behavioral Sciences” (GRF-SBS) 

solicitation. Answers to frequently asked questions about the GRF-SBS program are posted at 

www.nij.gov/GRF-SBS.

Awards are anticipated to be made to successful applicant institutions in the form of grants to 

cover fellowships for the sponsored doctoral students. Although the initial award is only for one

year of funding, each fellowship potentially provides up to three years of support usable over a 

five-year period. The applicant institution will have to reapply on behalf of the student for each 

additional year. Pending NIJ review of continued enrollment and adequate progress, up to three

years of support are possible. For each year of support, NIJ provides the degree-granting 

institution a stipend of $35,000 usable toward the student’s salary and related costs, and up to 

$15,000 to cover the student’s tuition and fees, research expenses, and related costs 

(see Section B. Federal Award Information). Final award decisions will be made by the Director 

of the National Institute of Justice.

Authorizing Statute: Title I of the Omnibus Crime Control and Safe Streets Act of 1968 

(sections 201 and 202); and 28 U.S.C. 530C.

Program-Specific Information

Degree-granting academic institutions are encouraged to sponsor outstanding and promising 

doctoral students whose dissertation research has direct implications for ensuring public safety, 
5 NIJ-2017-10740

preventing and controlling crime, and/or ensuring the fair and impartial administration of criminal 

justice in the United States.

Successful applicants must demonstrate clearly how the proposed dissertation research will 

advance one or more of these areas of criminal justice practice and/or policy in the United 

States.

Applicant Information

The applicant under this solicitation will be a degree-granting academic institution in the United 

States or its territories. To be eligible, the academic institution of record must be fully accredited 

by one of the regional institutional accreditation agencies recognized by the U.S. Secretary of 

Education. An applicant institution sponsoring a doctoral student is eligible to apply only if the 

doctoral student satisfies the Doctoral Student Eligibility Requirements. Applications from 

students who apply as individuals will be removed from consideration.

The academic institution’s institution-wide research office (e.g., office of sponsored research) 

must complete and submit an application electronically using Grants.gov (see What an 

Application Should Include). If allowed by the applicant institution, the sponsored doctoral 

student should be identified as the project’s principal investigator.

The applicant must demonstrate that the sponsored graduate student is enrolled in a qualifying 

doctoral degree program at the time of application. This should take the form of a document 

from the Office of the Registrar, or an equivalent university- or college-wide office with the 

authority to verify status. A transcript may be accepted if it clearly indicates the student’s current 

full-time enrollment in the qualifying doctoral degree program.

Doctoral Student Eligibility Requirements

The graduate student must:

1. Be enrolled full-time in a doctoral degree program in a STEM discipline at the eligible

academic institution; and

2. Propose a dissertation research topic that is relevant to addressing the challenges of

crime, and/or the fair and impartial administration of criminal justice in the United States

(see What an Application Should Include).

The doctoral student need not have a dissertation committee at the time the application is 

submitted, nor is it necessary for the student’s dissertation topic to have been accepted by the 

committee. However, if the application is selected for award, grant funds will be withheld until 

the applicant academic institution submits proof that the student’s dissertation topic has been 

accepted by the committee and that it is substantively the same as that proposed in the 

application.

If the doctoral student has an approved topic at the time of application, then it should be noted 

in a statement of support from the doctoral student’s dissertation committee chair 

(see Dissertation Committee Chair Requirements). If the doctoral student’s topic has not been 

approved at the time of application, then the expected dates by which the doctoral student will 

meet this requirement should be indicated in the project timeline (see “Proposed project timeline 

and expected milestones” under Appendices). In addition, the doctoral student’s faculty advisor, 
6 NIJ-2017-10740

department chair, departmental director of graduate studies, or an individual with similar 

responsibilities must submit a statement of support at the time of application. That statement of 

support should generally follow the outline provided below for the statement of support from the 

dissertation committee chair, including all relevant elements.

Even though an award may be made, access to award funds will be withheld until the required 

documentation is received and approved by the NIJ Program Office. NIJ anticipates that award 

notifications will be made on or before May 8, 2017. The applicant academic institution and 

doctoral student are cautioned not to anticipate the availability of fellowship funds for meeting 

any necessary or required expenses until the requirements stipulated above have been met in 

full. Awarded applicants may receive fellowship funding only while the student is actively 

enrolled in the doctoral degree program and carrying out research for the dissertation identified 

in the applicant’s funding application.

Human subjects protection paperwork including Institutional Review Board (IRB) documentation 

and a completed privacy certificate are not required at the time of application. If awarded, and if 

applicable, funds will be withheld until submission and NIJ approval of any required Human 

Subjects Protection paperwork and/or a completed Privacy Certificate. The Privacy Certificate 

must be signed by the academic institution’s IRB chair. For information on NIJ’s Human 

Subjects and Privacy Protection requirements, see 

www.nij.gov/nij/funding/humansubjects/welcome.htm.

Dissertation Committee Chair Requirements

Although a fellowship may be awarded based on consideration of a letter of support from the

faculty advisor, department chair, departmental director of graduate studies, or individual with 

similar responsibilities, the NIJ Program Office must receive a signed statement of support from 

the sponsored doctoral student’s dissertation committee chair prior to authorizing the 

disbursement of award funds (applicants can expect to see conditions to that effect attached to 

any such award). If the dissertation committee has accepted the student’s topic at the time of 

application, that statement of support must be submitted as part of the application. If the topic 

has not been accepted by the time of application, it must be submitted as soon as is reasonable 

after the topic has been approved. The approved dissertation topic must remain substantively 

similar to that initially proposed.

The statement of support should:

• Evaluate the doctoral student’s proposed project.

• Describe the current status of the proposed work.

• Outline any other outstanding work, academic or otherwise, toward completion of the 

degree.

• Verify the date on which the dissertation research project is expected to be ready to 

begin.

• Comment on the student’s potential to complete the dissertation successfully.

• Indicate that the doctoral student has his/her full support.
7 NIJ-2017-10740

• Describe the dissertation committee chair’s role in monitoring the project and present 

evidence of both the department’s and the dissertation committee chair’s abilities to 

mentor doctoral candidates through the completion of their degrees.

• Verify that the dissertation committee chair will review and approve all progress reports 

prior to their submission to NIJ.

An application that does not include the statement of support from: (1) the dissertation 

committee chair; or (2) the doctoral student’s faculty advisor, department chair, 

departmental director of graduate studies, or individual with similar responsibilities will 

be removed from consideration.

For information on application elements designated as required by NIJ under this solicitation, 

see page 12.

Goals, Objectives, Deliverables, and Expected Scholarly Products

The ultimate goal of this solicitation is to increase the pool of researchers who are involved in 

providing STEM-based solutions to problems that affect criminal justice policy and practice in 

the United States. Through the GRF-STEM program, NIJ supports STEM graduate education by 

investing in academic institutions that support outstanding and promising doctoral students.

Recipients of awards made under this solicitation will be required to deliver annual and final 

progress reports and quarterly financial reports to NIJ by specified deadlines. The final 

deliverables for awards under this solicitation are:

• An official signed copy of the doctoral student’s dissertation.

• A list of scholarly products and products developed for broad dissemination to informal 

audiences resulting from the dissertation research.

Such scholarly products may take the form of one or more published, peer-reviewed scientific 

journal articles or indexed conference abstracts, law review journal articles (if appropriate), book 

chapter(s) or book(s) in the academic press, technological prototypes, patented inventions, or 

similar scientific products. Products developed for broad dissemination to informal audiences 

may take the form of websites, informational documents, online tools, or other similar products.

Upon submission, the dissertation may be archived at the National Criminal Justice Reference 

Service (NCJRS). Doctoral students who participate in the GRF program are encouraged but 

are not required to archive their dissertation data.

B. Federal Award Information

NIJ anticipates that up to $1,000,000 will be available in FY 2017 for a maximum of 20 awards. 

Each fellowship award made under this 2017 solicitation will be for a 12-month period of 

performance. However, pending — among other factors — the availability of funding, strategic 
8 NIJ-2017-10740

priorities, NIJ’s assessment of the quality of the management of the award (for example, 

timeliness and quality of progress reports), and NIJ’s assessment of the progress of the 

dissertation project, each fellowship may potentially be extended for a second or third year of 

support, usable within a five-year period. Current fellows should not apply to this funding 

opportunity in subsequent years; in the event that supplemental funding is sought, NIJ will 

require applicant institutions to submit an application on behalf of the student to request 

consideration for any additional year of support. Each annual supplement after the initial award 

will require, minimally, proof that the doctoral student is still actively carrying out research 

toward the dissertation topic originally proposed (or substantively similar to that originally 

proposed). It will also require verification of satisfactory progress on the dissertation in the form 

of a signed letter from the dissertation committee chair.

Each year of support (i.e., the initial award, and possible second and third year supplements) 

includes a $35,000 allowance usable toward a salary/stipend for the student and related costs, 

and up to $15,000 to cover the student’s tuition and fees, research expenses, and related costs. 

The $35,000 allowance for salary/stipend and related costs may include fringe benefits (if 

applicable) and health insurance, at the applicant institution’s discretion. Under this solicitation, 

research expenses and related costs may include any combination of the doctoral student’s 

tuition, student fees, project costs, professional society membership fees, or conference travel, 

among other allowed expenses during the award period of performance (see complete Budget 

Information, including “What will not be funded”).

To allow time for, among other things, any necessary post-award review, modification, and 

clearance by OJP of the proposed budget, applicants should propose an award start date of

August 1, 2017. Although NIJ anticipates that funds awarded under this GRF-STEM solicitation 

will be made available on August 1, 2017, the applicant academic institution and doctoral 

student are cautioned not to anticipate the availability of funds for meeting any necessary or 

required expenses for the fall 2017 semester or quarter until the requirements stipulated under 

Doctoral Student Eligibility have been met in full.

The total period of performance of an award will not exceed five years. The applicant’s budget 

narrative and budget detail worksheet should reflect the entire proposed project timeline of up to 

three years, in discrete 12-month increments. However, Application for Federal Assistance (SF424) should only reflect the first 12-months funding requirement.

Award funding may be received only while the fellow is actively enrolled in the initially identified 

doctoral degree program and actively carrying out research toward his/her dissertation. Should 

certain unforeseen and/or temporary circumstances arise that preclude the fellow from actively 

pursuing the dissertation research, the fellow is expected to notify the NIJ Program Office via 

his/her academic institution representative, as identified in the initial application. The fellow’s 

award funding may be temporarily suspended at the discretion of the NIJ Program Office.

Fellowship funds may be used to support only the student who was the subject of the initially 

reviewed and awarded application, and are not transferable to any other student.

Students do not receive awards directly. The academic institution, as the grant recipient, will be 

responsible for, among other things, the administration of grant funds and for distributing 

payments to the fellowship recipient. When an award has been activated, it is expected that the 

academic institution will draw down funds based on immediate disbursement/reimbursement 

requirements. Funds should not be paid to the doctoral student in a lump sum but rather should 

be disbursed over time as project costs are incurred or anticipated. Recipients should time their 
9 NIJ-2017-10740

drawdown requests to ensure that federal cash-on-hand is the minimum needed for 

disbursements/reimbursements to be made immediately or within 10 days.

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 Award1

NIJ expects to make any award from this solicitation in the form of a grant.

Please note: Any recipient of an award under this solicitation will be required to comply with 

Department of Justice regulations on confidentiality and protection of human subjects. See 

“Requirements related to Research” under “Overview of Legal Requirements Generally 

Applicable to OJP Grants and Cooperative Agreements - FY 2017 Awards” in OJP's Funding 

Resource Center.

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.

(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.

 1 See generally 31 U.S.C. §§ 6301-6305 (defines and describes various forms of federal assistance relationships, 

including grants and cooperative agreements (a type of grant)). 2 For purposes of this solicitation, the phrase “pass-through entity” includes any recipient or subrecipient that provides 

a subaward (“subgrant”) 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.
10 NIJ-2017-10740

To help ensure that applicants understand administrative requirements and cost principles, OJP 

encourages prospective applicants to enroll, at no charge, in the Department of Justice Grants 

Financial Management Online Training, available here.

Budget Information

What will not be funded:

• Direct administrative expenses or indirect costs of the institutional applicant.

• Applications for dissertation research by doctoral students who are not pursuing 

research related to crime, and/or the fair and impartial administration of criminal justice 

in the United States.

• Applications primarily to purchase equipment, materials, or supplies. (A budget may 

include these items valued at up to $15,000, if they are necessary to conduct research, 

development, demonstration, evaluation, or analysis.)

• Applications that are not responsive to this specific solicitation.

• Conference, meeting or training activity hosted by the applicant. (Conference, meeting or 

training attendance by the fellow, if included in the fellowship application and budget, 

may be allowable.)

Cost Sharing or Match Requirement

For information on cost sharing or matching requirements, see “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.
11 NIJ-2017-10740

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 2016 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 Director of the National Institute of Justice 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 

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, including 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.

 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.
12 NIJ-2017-10740

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 title page.

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

Include” in Section D. Application and Submission Information.

Limit on Number of Application Submissions

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

recent system-validated version submitted. For more information on system-validated versions, 

see How to Apply.

An academic institution may submit separate applications for more than one doctoral student in 

the same fiscal year.

D. Application and Submission Information

What an Application Should Include

Applicants should anticipate that if they fail to submit an application that contains all of the 

specified elements, it may affect negatively the review of their application; and, should a 

decision be made to make an award, it may result in the inclusion of special conditions that 

preclude the recipient from accessing or using award funds pending satisfaction of the 

conditions.

Moreover, applicants should anticipate that applications determined to be nonresponsive to the 

scope of the solicitation, or that do not include the application elements that NIJ has designated 

to be critical, will neither proceed to peer review nor receive further consideration. Under this 

solicitation, NIJ has designated the following application elements as critical: Program Narrative, 

Budget Detail Worksheet, Budget Narrative, verification of enrollment in a qualifying degree 

program, undergraduate and graduate transcripts (official or unofficial), and statement of 

support from the dissertation committee chair or, as appropriate, the doctoral student’s faculty 

advisor, department chair, departmental director of graduate studies, or an individual with 

similar responsibilities. Please review the “Note on File Names and File Types” under How to 

Apply 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 OJP’s Grants 
13 NIJ-2017-10740

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).

Intergovernmental Review: This funding opportunity (program) is not subject to Executive 

Order 12372. (In completing the SF-424, applicants are to make the appropriate selection in 

response to question 19 to indicate 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.

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

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

program narrative.

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.

3. Program Narrative

The program narrative section of the application should not exceed 12 double-spaced 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.

Program Narrative Guidelines:

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 name and complete contact information (that is, 

address, telephone number, and e-mail address) for both the applicant academic 
14 NIJ-2017-10740

institution and the principal investigator (i.e., the sponsored doctoral student, if 

allowed by the academic institution).

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 NIJassigned 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 and Figures (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. The following sections should be included as part of the program 

narrative:

• Statement of the Problem.

• Project Design and Implementation.

• Potential Impact.

• Capabilities and Competencies.

Within these sections, the narrative should address:

• Purpose, goals, and objectives.

• Review of relevant literature.

• Detailed description of research design and methods, such as research 

questions, hypotheses, description of sample, and analysis plan.

• Planned Scholarly Products (See Goals, Objectives, Deliverables, and 

Expected Scholarly Products under Program-Specific Information, above, 

for a discussion of expected scholarly products.)

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

• A description of the project’s management plan and organization. This 

description should identify the people involved in the execution of the 

project, their specific roles, and any framework to be used for ensuring 

that their tasks are fulfilled.
15 NIJ-2017-10740

• If applicable, a description contextualizing the proposed doctoral work 

relative to, or within, any other work being conducted under an existing 

NIJ award, which must be specifically identified.

• Plan for Dissemination to Broader Audiences. Applicants should identify 

plans both to disseminate their findings at scholarly meetings and to 

make their work available to broader interested audiences (such as 

criminal/juvenile justice practitioners or policymakers). Applicants should 

consider how and to whom they will provide summary information from 

the planned scholarly products of the proposed project (such as 

summaries of articles in peer-reviewed scientific journals), in a form 

designed to be readily accessible and useful to broader audiences. Such 

dissemination might include, for example, trade press articles and 

webinars.

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

• Bibliography/references.

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

pertaining to the proposed project that are supplemental to such items 

included in the main body of the narrative.

• Curriculum vitae or resumes of the doctoral student and the dissertation 

committee chair.

• Personal statement from the student discussing his or her academic 

background, research experience, career goals, and the anticipated role of 

the fellowship in his or her professional trajectory, not to exceed two (2)

double-spaced pages in 12-point font with 1-inch margins.

• List of the student’s dissertation committee (if known) and their contact 

information to include: names, telephone numbers, and email addresses. The 

dissertation chair should be clearly identified. Applicants should use the 

“Proposed Project Staff, Affiliation, and Roles” form available 

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

this listing.

• Proposed project timeline and expected milestones. The timeline should also 

include details about student progress milestones including, but not limited to, 

the date by which the student is expected to advance to candidacy (if 

applicable), any major dates in the dissemination plan, the writing of the 

dissertation, and an expected dissertation defense date. If any of these steps 

is not required by the sponsoring institution for successful completion of the 

doctoral degree, then such exceptions should be clearly noted. The project 

timeline should also allow for time needed to complete edits to the 

dissertation manuscript and for submission of the final dissertation to NIJ.

• Human Subjects Protection paperwork (documentation and forms related to 

Institutional Review Board (IRB) review). 
16 NIJ-2017-10740

(See nij.gov/funding/humansubjects/Pages/welcome.aspx) NOTE: Final IRB 

approval is not required at the time an application is submitted.

• Privacy Certificate (for further guidance go 

to nij.gov/funding/humansubjects/pages/confidentiality.aspx).

• List of any previous and current NIJ awards to applicant organization and 

investigator(s), including the NIJ-assigned award numbers and a brief 

description of any scholarly products that resulted in whole or in part from 

work funded under the NIJ award(s). (See “Goals, Objectives, Deliverables, 

and Expected Scholarly Products” under “Program-Specific Information,” 

above, for definition of “scholarly products.”)

• Letters of cooperation/support or administrative agreements from 

organizations collaborating in the project, such as law enforcement and 

correctional agencies (if applicable).

• List of other agencies, organizations, or funding sources to which this 

application has been submitted, including, but not limited to, other fellowships 

that the doctoral student has received and the dates during which those 

fellowships will be active (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. Applicants that 

submit their budget in a different format should include the budget categories listed in 

the sample budget worksheet. (Work associated with satisfying data archiving 

requirements should be reflected.) NIJ expects applicants to provide a thorough 

narrative to each section of the Budget Detail Worksheet. The Budget Detail Worksheet 

should be broken down by year.

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

see the DOJ Financial Guide at http://ojp.gov/financialguide/DOJ/index.htm.

b. Budget Narrative

The Budget Narrative and Budget Detail Worksheet should reflect the entire proposed 

project timeline of up to three years, in discrete 12-month increments. However, the SF424 should only reflect the first 12-months funding requirement. 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). Applicants 

should demonstrate in their budget narratives how they will maximize cost effectiveness 

of grant 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 
17 NIJ-2017-10740

technology and collaboration with outside organizations could be used to reduce costs, 

without compromising quality.

The narrative should be sound mathematically, and correspond 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 they are relevant 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 be broken down by year.

The following are sample budget narrative descriptions of relevant cost items that might 

be used by an applicant:

Salaries and Wages — Personnel

Each year of support includes a $35,000-allowance usable toward the student’s 

salary/stipend and related costs, such as fringe benefits or medical insurance. 

Where possible in accordance with institutional policy, academic institutions 

should account for the full amount of $35,000 when justifying the personnel 

expenses of the doctoral student.

The Principal Investigator (i.e., the doctoral student), Mr./Ms. xxx, will devote xxx 

summer months and xxx academic months per year toward the project. One summer 

month effort is equivalent to xxx hours. One academic month effort is equivalent to 

xxx hours. Therefore, the salary paid to Mr./Ms. xxx in each academic month will be 

xxx, and in each summer month will be xxx. (Note that if a stipend will be allocated in 

equal disbursements each month, please provide such a description with the 

corresponding monthly breakdown.)

The fringe benefit rate during the academic year for the graduate student is ___%. 

The summer fringe benefit rate is ___%. The benefits included in the rate cover 

__________.

Travel (Non-federal)

Attendance at the xxx Annual Meeting will provide an opportunity to disseminate the 

results of my work within the relevant academic community. The meeting will be held 

in xxx. The expected lodging rate is $xxx, based on xxx source, for a total of xxx 

nights ($xxx total). The meal allowance is $xxx per day, based on xxx source. (Note 

that whether the appropriate source is the federal per diem rate or a lower rate 

stipulated by the academic institution, the rate is at the institution’s discretion.) The 

expected transportation cost is $xxx, based on xxx source. Other anticipated costs 

include an anticipated baggage fee of $30. The total requested funding for this travel 

event is $xxx.

Note that direct and indirect administrative expenses of the applicant university 

are not allowable costs and will not be funded under this solicitation.
18 NIJ-2017-10740

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 

procurement "contracts" under awards differ markedly.

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 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 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.
19 NIJ-2017-10740

1. Information on proposed subawards

Pursuant to the Part 200 Uniform Requirements and other applicable rules, 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 request and obtain prior written 

authorization from OJP before proceeding with a 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

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 

Procurement Standards of the Part 200 Uniform Requirements (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 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 (or without adequate competition as set out in the 

Part 200 Uniform Requirements and related rules) unless and until the recipient receives 

specific advance authorization from OJP to use a non-competitive approach.

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

adequate 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 (or without 

adequate 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 approvals, see Section B. Federal Award 

Information.
20 NIJ-2017-10740

5. Indirect Cost Rate Agreement (if applicable)

Indirect costs are not allowed under this solicitation.

6. Tribal Authorizing Resolution (if applicable)

Tribes, tribal organizations, or third parties proposing to provide direct services or assistance 

to residents on tribal lands should include in their applications a resolution, a letter, affidavit, 

or other documentation, as appropriate, that certifies that the applicant has the legal 

authority from the tribe(s) to implement the proposed project on tribal lands. In those 

instances when an organization or consortium of tribes applies for a grant 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 grant. 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.

7. Additional Attachments

a. Certification of full-time enrollment in a STEM doctoral program at the time of 

application (REQUIRED). (See page 5 for details.)

b. Statement of support from the dissertation committee chair or the doctoral 

student’s faculty advisor, department chair, departmental director of graduate 

studies, or individual with similar responsibilities, as applicable (REQUIRED). (For 

information on required content, see page 6.)

c. Undergraduate and graduate transcripts, either official or unofficial (REQUIRED).

d. Applicant disclosure of pending applications5

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 include 

requests for funding to support the same project being proposed in the application under 

this solicitation and that would cover the identical cost items outlined in the budget 

narrative and worksheet in the application to OJP under this solicitation. The applicant is 

to disclose both applications made directly to federal awarding agencies and 

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.

 5 Typically, the applicant is not the principal investigator; rather, the applicant, most frequently, is the institution, 

organization, or company in which the principal investigator is employed.
21 NIJ-2017-10740

SAMPLE

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.

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

file should be named “Disclosure of Pending Applications.”

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 the identical cost items outlined in the budget 

narrative and worksheet in this application.”

e. Research and Evaluation Independence and Integrity

If an application involves research (including research and development) and/or 

evaluation, the applicant must demonstrate research/evaluation independence and 

integrity, including appropriate safeguards, before it may receive award funds. The 

applicant must demonstrate independence and integrity regarding both this proposed 

research and/or evaluation, and any current or prior related projects.

Each application should include an attachment that addresses both i. and ii. below.

i. For purposes of this solicitation, each applicant is to document research and 

evaluation independence and integrity by including one of the following two items:

Federal or 

State 

Funding 

Agency 

Solicitation 

Name/Project 

Name

Name/Phone/E-mail for Point of Contact at 

Federal or State Funding Agency

DOJ/COPS COPS Hiring 

Program

Jane Doe, 202/000-0000; jane.doe@usdoj.gov

HHS/ 

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
22 NIJ-2017-10740

a. A specific assurance that the applicant has reviewed its application to identify 

any actual or potential apparent conflicts of interest (including through review 

of pertinent information on the principal investigator, any co-principal

investigators, and any subrecipients), and that the applicant has identified no 

such conflicts of interest — whether personal or financial or organizational 

(including on the part of the applicant entity or on the part of staff, 

investigators, or subrecipients) — that could affect the independence or 

integrity of the research, including the design, conduct, and reporting of the 

research.

OR

b. A specific description of actual or potential apparent conflicts of interest that 

the applicant has identified — including through review of pertinent 

information on the principal investigator, any co-principal investigators, and 

any subrecipients — that could affect the independence or integrity of the 

research, including the design, conduct, or reporting of the research. These 

conflicts may be personal (e.g., on the part of investigators or other staff), 

financial, or organizational (related to the applicant or any subrecipient entity). 

Some examples of potential investigator (or other personal) conflict situations 

are those in which an investigator would be in a position to evaluate a 

spouse’s work product (actual conflict), or an investigator would be in a 

position to evaluate the work of a former or current colleague (potential 

apparent conflict). With regard to potential organizational conflicts of interest, 

as one example, generally an organization would not be given an award to 

evaluate a project, if that organization had itself provided substantial prior 

technical assistance to that specific project or a location implementing the 

project (whether funded by OJP or other sources), because the organization 

in such an instance might appear to be evaluating the effectiveness of its own 

prior work. The key is whether a reasonable person understanding all of the 

facts would be able to have confidence that the results of any research or 

evaluation project are objective and reliable. Any outside personal or financial 

interest that casts doubt on that objectivity and reliability of an evaluation or 

research product is a problem and must be disclosed.

ii. In addition, for purposes of this solicitation, each applicant is to address possible 

mitigation of research integrity concerns by including, at a minimum, one of the 

following two items:

a. If an applicant reasonably believes that no actual or potential apparent 

conflicts of interest (personal, financial, or organizational) exist, then the 

applicant should provide a brief narrative explanation of how and why it 

reached that conclusion. The applicant also is to include an explanation of the 

specific processes and procedures that the applicant has in place, or will put 

in place, to identify and prevent (or, at the very least, mitigate) any such 

conflicts of interest pertinent to the funded project during the period of 

performance. Documentation that may be helpful in this regard may include 

organizational codes of ethics/conduct and policies regarding organizational, 

personal, and financial conflicts of interest. There is no guarantee that the 

plan, if any, will be accepted as proposed.
23 NIJ-2017-10740

OR

b. If the applicant has identified actual or potential apparent conflicts of interest 

(personal, financial, or organizational) that could affect the independence and 

integrity of the research, including the design, conduct, or reporting of the 

research, the applicant is to provide a specific and robust mitigation plan to 

address each of those conflicts. At a minimum, the applicant is expected to 

explain the specific processes and procedures that the applicant has in place, 

or will put in place, to identify and eliminate (or, at the very least, mitigate) 

any such conflicts of interest pertinent to the funded project during the period 

of performance. Documentation that may be helpful in this regard may 

include organizational codes of ethics/conduct and policies regarding 

organizational, personal, and financial conflicts of interest. There is no 

guarantee that the plan, if any, will be accepted as proposed.

OJP will assess research and evaluation independence and integrity based on 

considerations such as the adequacy of the applicant’s efforts to identify factors that 

could affect the objectivity or integrity of the proposed staff and/or the applicant entity 

(and any subrecipients) in carrying out the research, development, or evaluation 

activity; and the adequacy of the applicant’s existing or proposed remedies to control 

any such factors.

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

applicant disclosure of high-risk status)

In accordance with the Part 200 Uniform Requirements, as set out at 2 C.F.R. 200.205, OJP 

must evaluate the risks posed by applicants under this solicitation before awards are made. 

To facilitate one aspect of this pre-award risk evaluation, every applicant (other than an 

individual applying in his/her personal capacity) is to download, complete, and submit 

this form.

Among other things, the form requires each applicant is 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 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 

automatically disqualified from receiving an OJP award. OJP may, however, consider the 
24 NIJ-2017-10740

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).

9. 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”).

How to Apply

Applicants must register in, and submit applications through Grants.gov, a “one-stop storefront” 

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, 24 hours a day, 7 days a week, except 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 and a user password. OJP 

encourages applicants to register several weeks before the application submission deadline. 

In addition, OJP urges applicants to submit applications 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.

NIJ 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 insure all required 

documents are attached in the mandatory category.

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

characters in names of attachment files. Valid file names may include only the characters shown 

in the table below. Grants.gov is designed to reject any application that includes an 

attachment(s) with a file name that contains any characters not shown in the table below. 

Grants.gov is designed to forward successfully submitted applications to OJP’s Grants 

Management System (GMS).
25 NIJ-2017-10740

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 ($)

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

Period (.) When using the ampersand (&) in XML, applicants must use the 

“&” format.

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:

OJP may not make a federal award to an applicant organization until the applicant organization 

has complied with all applicable DUNS and SAM requirements. Individual applicants must 

comply with all Grants.gov requirements. If an applicant has not fully complied with the 

requirements by the time the federal awarding agency is ready to make a federal award, the 

federal awarding agency may determine that the applicant is not qualified to receive a federal 

award and use that determination as a basis for making a federal award to another applicant.

1. Acquire a Data Universal Numbering System (DUNS) number. In general, the Office of 

Management and Budget requires that all applicants (other than individuals) for federal

funds include a DUNS number in their applications for a new award or a supplement to an 

existing award. A DUNS number is a unique nine-digit sequence recognized as the 

universal standard for identifying and differentiating entities receiving federal funds. The 

identifier is used for tracking purposes and to validate address and point of contact 

information for federal assistance applicants, recipients, and subrecipients. The DUNS 

number will be used throughout the grant life cycle. 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 standard information about federal financial assistance applicants, recipients, 

and subrecipients. OJP requires all applicants (other than individuals) for federal financial 

assistance to maintain current registrations in the SAM database. Applicants must be 

registered in SAM to successfully register in Grants.gov. Applicants must update or renew 

their SAM registration annually to maintain an active status. SAM registration and renewal 

can take as long as 10 business days to complete.

Applications cannot be successfully submitted in Grants.gov until Grants.gov receives the 

SAM registration information. Once the SAM registration/renewal is complete, the 

information transfer from SAM to Grants.gov can take up to 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.
26 NIJ-2017-10740

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. The applicant organization’s DUNS number must be used to complete this 

step. For more information about the registration process, go 

to www.grants.gov/web/grants/register.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 number for this solicitation is 16.562, titled “Criminal Justice 

Research and Development — Graduate Research Fellowships,” and the funding 

opportunity number is NIJ-2017-10740.

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 and the second will state whether the application has been successfully 

validated, or 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 well ahead of the deadline provides time to correct the 

problem(s) that caused the rejection. Important: OJP urges applicants to submit 

applications 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. All applications are due 

to be submitted and in receipt of a successful validation message in Grants.gov by 

11:59 p.m. eastern time on November 21, 2016.

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

timeframes.

Note: Duplicate Applications

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

recent system-validated version submitted. See Note on File Names and File Types under How 

To Apply.

Experiencing Unforeseen Grants.gov Technical Issues

Applicants that experience unforeseen Grants.gov technical issues beyond their control that 

prevent them from submitting their 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 receive a tracking number. Then applicant must e-mail the NIJ contact identified in 

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

request approval to submit their application. The e-mail must describe the technical difficulties, 

and 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: 
27 NIJ-2017-10740

NIJ does not automatically approve requests. After the program office reviews the 

submission, and contacts the Grants.gov or SAM Help Desks to validate 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 applicant failed to follow all required procedures, 

which resulted in an untimely application submission, OJP will deny the applicant’s request to 

submit their application.

The following conditions are generally 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, 

including firewalls, browser incompatibility, etc.

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

the top of the OJP funding web page at www.ojp.gov/funding/index.htm.

E. Application Review Information

Selection Criteria

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

the following review criteria.

Statement of the Problem (Understanding of the problem and its importance) — 20%

1. Clarity of problem statement and its importance to the field of study.

2. Demonstrated connection between problem and proposed research.

3. Awareness of the state of current research and/or technology.

4. Identification of gaps in existing research.

Project Design and Implementation (Quality and technical merit) — 50%

1. Detailed and complete discussion of proposed research methods.

2. Soundness of the research methods and appropriateness to the proposed study.

3. Awareness of potential limitations of the research plan and proposed practical solutions.

4. Overall feasibility of proposed project.

5. Innovation and creativity.
28 NIJ-2017-10740

Potential Impact — 10%

1. Potential for the proposed research to significantly advance the scientific or technical 

understanding of the problem addressed.

Capabilities and Competencies (Capabilities, demonstrated productivity, and experience of 

the applicant organization and proposed project staff) — 20%

1. Qualifications and experience of the doctoral student and the dissertation committee 

chair (if identified), e.g., successful coursework completion, relevant work and/or 

research experience, leadership roles, mentoring experience, and record of publication.

2. Applicant academic institution’s record of accomplishment with respect to doctoral 

candidates’ completion of degrees.

3. Applicant academic institution’s record of past performance regarding NIJ grants and 

contracts (if applicable).

Budget

Peer reviewers will consider and may comment on the following additional items in the context 

of scientific and technical merit.

1. Appropriateness of requested research expenses and related costs to the proposed 

dissertation research.

2. Use of existing resources to conserve costs.

Plan for Dissemination to Broader Audiences

Peer reviewers may comment—in the context of scientific and technical merit—on the proposed 

plan to disseminate the key findings of the work to the larger research community and to make 

available to broader interested audiences, such as criminal/juvenile justice practitioners or 

policymakers, summary information from the planned scholarly products of the project.

Review Process

OJP is committed to ensuring a fair and open process for making awards. 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 applications 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:
29 NIJ-2017-10740

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

• 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 selection 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 NIJ include underserved populations, geographic diversity, 

strategic priorities, and available funding, as well as the planned scholarly products and 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).

In addition to OJP’s review of applications, before award decisions are made, OJP reviews 

information related to the degree of risk posed by applicants. 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.

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 applicant’s ability to meet 

prescribed management standards, including those outlined in the DOJ Grants Financial 

Guide.

3. Applicant’s history of performance under OJP and other DOJ awards (including scholarly 

products, and 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.
30 NIJ-2017-10740

5. Applicant's ability to comply with statutory and regulatory requirements, and to effectively 

implement other award requirements.

All final award decisions will be made by the Director of the National Institute of Justice, 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

OJP sends award notification 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 how to 

accept the award. GMS automatically issues the notifications at 9:00 p.m. eastern time on the 

award date (by May 8, 2017). Recipients will be required to log in; accept any outstanding 

assurances and certifications on the award; designate a financial point of contact; and review, 

sign, and accept the award. The award acceptance process involves physical signature of the 

award document by the authorized representative and the scanning of the fully-executed 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 

agency-approved project application and budget, the recipient must comply with award terms 

and conditions, and other legal requirements, that are included in the award, incorporated into 

the award by reference, or are otherwise applicable to the award. OJP strongly encourages 

prospective applicants to review the information pertaining to these requirements prior to 

submitting an application. To assist applicants and recipients in accessing and reviewing this 

information, OJP has placed it on its Solicitation Requirements page of the OJP Funding 

Resource Center.

Please note in particular the following two forms, which applicants must submit in GMS prior to 

the receipt of any award funds, as each details legal requirements with which applicants must 

provide specific assurances and certifications of compliance. Applicants may view these forms

in the OJP Funding Resource Center and are strongly encouraged to review and consider them 

carefully prior to making an application for OJP grant funds.

• Certifications Regarding Lobbying; Debarment, Suspension and Other Responsibility 

Matters; and Drug-Free Workplace Requirements.

• Standard Assurances.

Upon grant approval, OJP electronically transmits (via GMS) the award document to the 

prospective award recipient. In addition to other award information, the award document 

contains award terms and conditions that specify national policy requirements6 with which 

 6 See generally 2 C.F.R. 200.300 (provides a general description of national policy requirements typically applicable 

to recipients of Federal awards, including the Federal Funding Accountability and Transparency Act of 2006 

(FFATA)).
31 NIJ-2017-10740

recipients of federal funding must comply; uniform administrative requirements, cost principles, 

and audit requirements; and program-specific terms and conditions required based on 

applicable program (statutory) authority or requirements set forth in OJP solicitations and 

program announcements. For example, certain efforts may call for special requirements, terms, 

or conditions relating to intellectual property, data/information-sharing or -access, or information 

security; or audit requirements, expenditures and milestones, or publications and/or press 

releases.

OJP also may place additional terms and conditions on an award based on its risk assessment 

of the applicant, or for other reasons it determines necessary to fulfill the goals and objectives of 

the program.

Prospective applicants may access and review the text of mandatory conditions OJP includes in 

all OJP awards, as well as the text of certain other conditions, such as administrative conditions, 

via the Mandatory Award Terms and Conditions page of the OJP Funding Resource Center.

General Information About Post-Federal Award Reporting Requirements

Recipients must submit quarterly financial reports, annual progress reports, final financial and 

progress reports, and, if applicable, an annual audit report in accordance with the Part 200 

Uniform Requirements. Applicants should anticipate that NIJ will require recipients to use a 

version of the non-budgetary components of the Research Performance Progress Report 

(RPPR) template/format for progress reports, appropriately modified for NIJ research awards. 

General information on RPPRs may be found at www.nsf.gov/bfa/dias/policy/rppr/. Future

awards and fund drawdowns may be withheld if reports are delinquent.

Special reporting requirements may be required as appropriate.

As indicated earlier in this solicitation, NIJ expects scholarly products to result from any award 

under this solicitation. Please review the Goals, Objectives, Deliverables, and Expected 

Scholarly Products segment of the “Program-Specific Information” section of this solicitation, as 

well as the “Performance Measures” section.

Performance Measures

To demonstrate program progress and success, as well as, to assist the Department with 

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, 

applicants that receive funding under this solicitation must provide data that measure the results 

of their work done under this solicitation. OJP will require any award recipient, post award, to 

provide the data requested in the “Data Grantee Provides” column so that OJP can calculate 

values for the “Performance Measures” column. (Submission of performance measures data is 

not required for the application.) Performance measures for this solicitation are as follows:
32 NIJ-2017-10740

Objective Performance Measure(s) Data Grantee Provides

Conduct research 

in science, 

technology, 

engineering, 

and/or 

mathematics 

having clear 

implications for 

criminal justice 

policy and 

practice in the 

United States.

1. Relevance to the needs of the field as 

measured by whether the project’s 

substantive scope did not deviate from the 

funded application or any subsequent 

agency-approved modifications to the scope.

2. Quality of the research as demonstrated by 

the scholarly products that result in whole or 

in part from work funded under the NIJ award 

(published, peer-reviewed, scientific journal 

articles, and/or (as appropriate for the funded 

project) law review journal articles, book 

chapter(s) or book(s) in the academic press, 

technological prototypes, patented 

inventions, or similar scientific products).

3. Quality of management as measured by such 

factors as whether significant project 

milestones were achieved, reporting and 

other deadlines were met, and costs 

remained within approved limits.

1. Quarterly financial reports, 

annual and final progress 

reports, and, if applicable, 

an annual audit report in 

accordance with the Part 

200 Uniform Requirements 

of the work performed 

under the NIJ award.

2. List of citation(s) to all 

scholarly products that 

resulted in whole or in part 

from work funded under the 

NIJ award.

3. An official signed copy of the 

doctoral student’s 

successfully defended and 

accepted final dissertation.

G. Federal Awarding Agency Contact(s)

For OJP Contact(s), see the title page.

For contact information for Grants.gov, see the title page.

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 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 
33 NIJ-2017-10740

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/peer review process. Provide feedback to OJPSolicitationFeedback@usdoj.gov.

IMPORTANT: This e-mail is for feedback and suggestions only. OJP does not send replies from 

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 e-mail listed on the 

front of this solicitation 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 e-mail your 

résumé 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.
34 NIJ-2017-10740

Application Checklist

Graduate Research Fellowship in Science, Engineering, Technology, and 

Mathematics

This application checklist has been created to assist in developing an application.

What an Applicant Should Do:

Prior to Registering in Grants.gov:

_____ Acquire a DUNS Number (see page 25)

_____ Acquire or renew registration with SAM (see page 25)

To Register with Grants.gov:

_____ Acquire AOR and Grants.gov username/password (see page 26)

_____ Acquire AOR confirmation from the E-Biz POC (see page 26)

To Find Funding Opportunity: 

_____ Search for the funding opportunity on Grants.gov (see page 26)

_____ Download Funding Opportunity and Application Package

_____ Sign up for Grants.gov email notifications (optional) (see page 24)

_____ Read Important Notice: Applying for Grants in Grants.gov

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 26)

If no Grants.gov receipt, and validation or error notifications are received:

_____ Contact NIJ regarding experiencing technical difficulties (see page 26)

General Requirements:

_____ Review the Solicitation Requirements in the OJP Funding Resource Center.

What an Application Should Include:

_____ Application for Federal Assistance (SF-424) (see page 12)

_____ Project Abstract (see page 13)

_____ Program Narrative (required) (see page 13)

_____ Budget Detail Worksheet (required) (see page 16)

_____ Budget Narrative (required) (see page 16)

_____ Tribal Authorizing Resolution (if applicable) (see page 20)

_____ Additional Attachments

_____ Verification of current enrollment (required) (see page 20)

_____ Statement of support (required) (see page 20)

_____ Undergraduate and graduate transcripts (required) (see page 20)

_____ Applicant Disclosure of Pending Applications (see page 20)

_____ Research and Evaluation Independence and Integrity (see page 21)

_____ Financial Management and System of Internal Controls Questionnaire and high-risk (if 

applicable) (see page 23)

_____ Disclosure of Lobbying Activities (SF-LLL) (see page 24)

_____ Employee Compensation Waiver request and justification (if applicable) 

(see page 11)