U.S. Department of Justice OMB No. 1121-0329

Office of Justice Programs Approval Expires 07/31/2016

National Institute of Justice

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

Justice (NIJ) is seeking proposals for funding to assist in defraying the costs associated with 

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

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

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

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

Postconviction Testing of DNA Evidence to 

Exonerate the Innocent

Eligibility

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

higher education. For the purposes of this solicitation, the term “State” includes the District of 

Columbia, the Commonwealth of Puerto Rico, the U.S. Virgin Islands, American Samoa, Guam, 

and the Northern Mariana Islands. Foreign governments, foreign organizations, and foreign 

institutions of higher education are not eligible to apply.

NIJ welcomes applications that involve two or more entities; however, one eligible entity must 

be the applicant and the other(s) must be proposed as subrecipient(s). The applicant must be 

the entity with primary responsibility for administering the funding and managing the entire 

project. Only one application per lead applicant will be considered; however, subrecipients may 

be part of multiple proposals.

For additional eligibility information, see Section C. Eligibility Information.

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 April 7, 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 email 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 email the NIJ contact 

identified below within 24 hours after the application deadline and request approval to 
NIJ-2016-8998

2

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 

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-2016-8998

Release date: January 8, 2016
NIJ-2016-8998

3

Contents

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

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

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

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

B. Federal Award Information .......................................................................................................6

Type of Award...........................................................................................................................6

Financial Management and System of Internal Controls ..........................................................6

Budget Information....................................................................................................................7

Cost Sharing or Match Requirement.........................................................................................9

Pre-Agreement Cost Approvals ................................................................................................9

Limitation on Use of Award Funds for Employee Compensation; Waiver.................................9

Prior Approval, Planning, and Reporting of Conference/Meeting/Training Costs ...................10

Costs Associated with Language Assistance (if applicable) ...................................................10

C. Eligibility Information ..............................................................................................................10

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

Limit on Number of Application Submissions..........................................................................10

D. Application and Submission Information ................................................................................10

What an Application Should Include .......................................................................................10

How to Apply...........................................................................................................................19

E. Application Review Information ..............................................................................................22

Selection Criteria.....................................................................................................................22

Review Process ......................................................................................................................23

F. Federal Award Administration Information..............................................................................24

Federal Award Notices............................................................................................................24

Administrative, National Policy, and other Legal Requirements .............................................25

General Information about Post-Federal Award Reporting Requirements..............................26

G. Federal Awarding Agency Contact(s) ....................................................................................26

H. Other Information ...................................................................................................................26

Provide Feedback to OJP .......................................................................................................26

Application Checklist...............................................................................................................27

Appendix I: Certification Template ..............................................................................................29

Appendix II: Selected Statutes....................................................................................................31
NIJ-2016-8998

4

Postconviction Testing of DNA Evidence to 

Exonerate the Innocent

(CFDA No. 16.820)

A. Program Description

Overview

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

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

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

postconviction cases and to locate and analyze associated biological evidence.

Authorizing Legislation: Department of Justice Appropriations Act, 2016 (Public Law 114-

113).

Program-Specific Information

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

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

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

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

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

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

reanalysis using newer methods.

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

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

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

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

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

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

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

In prior fiscal years, NIJ invited applications from States only. In order for a State’s application to 

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

express certification from the applicant State’s chief legal officer (typically the Attorney General) 

regarding the applicant State’s provision of postconviction DNA testing, and its laws and 

practices addressing the preservation of biological evidence. Since fiscal year 2015, NIJ has 

expanded eligibility under this program to include units of local government and public 

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

are engaged in postconviction DNA testing efforts. Certification from the State’s chief legal 

officer as to State procedures regarding evidence retention and access to postconviction DNA 

testing (see Section D. What an Application Should Include) is no longer required at the time of 

application, but must be submitted before funds can be accessed.
NIJ-2016-8998

5

Goals, Objectives, and Deliverables

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

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

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

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

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

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

interest that justice has been fairly applied.

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

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

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

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

proposed budget may be dedicated to case identification activities.

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

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

by State law.

3. Locate biological evidence associated with such postconviction cases.

4. Perform DNA analysis of appropriate biological evidence.

For the purposes of this announcement:

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

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

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

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

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

telephone calls, and computerized searches of State court records.

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

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

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

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

actual innocence of the person previously convicted.

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

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

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

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

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

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

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

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

Assurance Standards established by the Director of the Federal Bureau of Investigation. All 
NIJ-2016-8998

6

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

pursuant to any applicable federal privacy requirements.

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

This involves the reporting of numerical performance metrics (cases, hours, testing, etc.), which 

are the key deliverables reported semiannually and at the conclusion of the program. Details of 

the required metrics are given under “Performance Measures” on page 13. Narrative progress 

reports to support the reported metrics are to be submitted concurrently.

B. Federal Award Information

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

after, 10/01/2016. The number and value of the awards made will depend on available funding 

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

successful proposals.

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

additional requirements that may be imposed by law.

Type of Award1

NIJ expects that it will make any award from this announcement in the form of a cooperative 

agreement, which is a particular type of grant used if NIJ expects to have ongoing substantial 

involvement in award activities. Substantial involvement includes direct oversight and 

involvement with the grantee organization in implementation of the grant, but does not involve 

day-to-day project management. See Administrative, National Policy, and other Legal 

Requirements, under Section F. Federal Award Administration Information, for details regarding 

the federal involvement anticipated under an award from this announcement.

Financial Management and System of Internal Controls

If selected for funding, the award recipient must:

a. Establish and maintain effective internal control over the federal award that provides 

reasonable assurance that the non-federal entity 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 non-Federal entity's compliance with statute, regulations and 

the terms and conditions of federal awards.

 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)).
NIJ-2016-8998

7

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 non-federal entity considers sensitive consistent with applicable federal, 

State and local laws regarding privacy and obligations of confidentiality.

In order to better understand administrative requirements and cost principles, award applicants 

are encouraged to enroll, at no charge, in the Department of Justice Grants Financial 

Management Online Training available here.

Budget Information

Permissible Expenses:

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

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

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

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

permitted.

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

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

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

OJP Financial Guide, available at http://ojp.gov/financialguide/DOJ/index.htm.

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

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

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

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

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

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

www.gsa.gov/perdiem.

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

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

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

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

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

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

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

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

Environmental Protection Act (NEPA) review process.

6. Consultant and Contractor Services—Funds may be used to hire consultants and/or 

temporary contract staff to conduct case identification and case reviews, locate 

evidence, or conduct DNA analysis of biological evidence. Funds may also be used for 
NIJ-2016-8998

8

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

biological evidence.

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

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

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

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

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

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

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

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

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

receiving the training.

Expenses that are not permitted:

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

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

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

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

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

been completed.

4. Salaries and benefits for victims advocacy services.

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

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

evidence.

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

above).

7. Laboratory equipment.

8. Construction.

9. Renovation.

10. Office furnishings.

11. Witness travel.

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

this award.
NIJ-2016-8998

9

Cost Sharing or Match Requirement

See “Cofunding” paragraph under item 4 (“Budget Detail Worksheet and Budget Narrative”) 

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

Information.

Pre-Agreement Cost Approvals

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

prior written approval of OJP for all such costs. If approved, pre-agreement costs could be paid 

from grant funds consistent with a grantee’s approved budget, and under applicable cost 

standards. However, all such costs prior to award and prior to approval of the costs are incurred 

at the sole risk of an applicant. Generally, no applicant should incur project costs before

submitting an application requesting federal funding for those costs. Should there be 

extenuating circumstances that appear to be appropriate for OJP’s consideration as preagreement costs, the applicant should contact the point of contact listed on the title page of this 

announcement for details on the requirements for submitting a written request for approval. See 

the section on Costs Requiring Prior Approval in the Financial Guide, for more information.

Limitation on Use of Award Funds for Employee Compensation; Waiver

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

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

employee of the award 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.2 The 2015 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. (Any such additional compensation will 

not be considered matching funds where match requirements apply.) For employees who 

charge only a portion of their time to an award, the allowable amount to be charged is equal to 

the percentage of time worked times the maximum salary limitation.

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

basis, the limitation on compensation rates allowable under an award. An applicant requesting a 

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

the applicant submits a waiver request and justification with the application, the applicant should 

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

The justification should include the particular qualifications and expertise of the individual, the 

uniqueness of the service the individual will provide, the individual’s specific knowledge of the 

program or project being undertaken with award funds, and a statement explaining that the 

individual’s salary is commensurate with the regular and customary rate for an individual with 

his/her qualifications and expertise, and for the work to be done.

 2 This limitation on use of award funds does not apply to the non-profit organizations specifically named at Appendix 

VIII to 2 C.F.R. part 200.
NIJ-2016-8998

10

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

OJP strongly encourages applicants that propose to use award funds for any conference-, 

meeting-, or training-related activity to review carefully—before submitting an application—the 

OJP policy and guidance on conference approval, planning, and reporting available 

at http://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 such costs for cooperative 

agreement recipients and of some such 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.

For additional information, see the "Civil Rights Compliance" section under “Solicitation 

Requirements” in OJP's Funding Resource Center.

C. Eligibility Information 

For additional eligibility information, see title page.

Cost Sharing or Match Requirement

For additional information on cost sharing and match requirement, see Section B. Federal 

Award 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.

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 negatively affect 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 that are 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 
NIJ-2016-8998

11

consideration. Under this solicitation, NIJ has designated the following application elements as 

critical: Program Narrative, Budget Detail Worksheet and Budget Narrative, and 

resumes/curriculum vitae of key personnel. Applicants may combine the Budget Narrative and 

the Budget Detail Worksheet in one document. However, if an applicant submits only one 

budget document, it must contain both narrative and detail information. Please review the “Note 

on File Names and File Types” under How to Apply 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 

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

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

project in 400 words or less. 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.

All project abstracts should follow the detailed template available 

at ojp.gov/funding/Apply/Resources/ProjectAbstractTemplate.pdf.

3. Program Narrative

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

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

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

government forms do not count toward the 12-page limit.
NIJ-2016-8998

12

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:

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 principal investigator(s) name and complete contact 

information (i.e., address, telephone number, and e-mail address).

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

narrative limit).

If an applicant is resubmitting a proposal presented previously to NIJ, but not funded, 

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

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

number of the previous proposal, and (2) a summary of direct responses to previous 

peer review. Insert this document after the abstract.

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

d. Main Body

The main body of the program narrative should describe the project in depth. The 

following sections should be included as part of the program narrative:

• Statement of the Problem.

• Project Design and Implementation.

• Capabilities and Competencies.

• Impact, Outcomes and Evaluation.

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

Measures.

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. Performance measures 

for this solicitation are as follows:
NIJ-2016-8998

13

Objective Performance Measure(s) Data Grantee Provides

To help defray the 

costs associated 

with postconviction 

DNA testing in 

cases of violent 

felony offenses (as 

defined by State 

law) where DNA 

analysis might 

demonstrate actual 

innocence.

Percentage of target cases 

reviewed with grant funds.

Target number of cases to be reviewed with 

grant funds.

Number of cases reviewed by offense type 

(crimes that included a sexual component; 

crimes that resulted in the death of the 

victim).

Number of cases reviewed with grant funds.

Percentage of cases in which a 

search to locate evidence was 

conducted.

Number of cases in which an evidence 

search was conducted.

Percentage of cases that yielded 

biological evidence.

Number of cases in which biological 

evidence existed.

Number of cases in which biological 

evidence had been destroyed or was 

missing.

Percentage of cases subjected 

to DNA analysis.

Number of cases subjected to DNA 

analysis.

Percentage of cases subjected 

to DNA analysis that yielded a 

viable DNA profile.

Number of cases that yielded a viable DNA 

profile.

Number of cases in which DNA analysis 

was performed.

Average number of pieces of 

evidence analyzed for cases 

subjected to DNA analysis.

Total number of pieces of evidence 

analyzed.

Number of profiles uploaded into 

the Combined DNA Index 

System (CODIS).

Number of profiles uploaded into CODIS.

Percentage of profiles resulting 

in a CODIS hit

Number of matches resulting from profiles 

uploaded into CODIS.

Number of cases with DNA 

testing results

Number of cases with confirmatory results.

Number of cases with exculpatory results.

Number of cases with inconclusive results.

Number of hours spent on case 

review and locating evidence.

Approximate number of hours spent on 

case review and location of evidence, 

respectively.
NIJ-2016-8998

14

NIJ does not require applicants to submit performance measures data with their application. 

Performance measures are included as an alert that NIJ will require successful applicants to 

submit specific data as part of their reporting requirements. For the application, applicants 

should indicate an understanding of these requirements and discuss how they will gather the 

required data, should they receive funding.

Within the main body, the narrative should address:

• Purpose, goals, and objectives.

• Implementation approach, including case review selection criteria and the 

target number of cases to be reviewed with grant funds.

• Detailed justification for specific case identification activities proposed for 

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

amount).

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

• Management plan and organization.

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

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

• Bibliography/references, if applicable.

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

to the proposed study.

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

affiliated with the applicant organization or any proposed subrecipient 

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

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

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

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

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

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

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

listing.

• Project timeline with expected milestones.

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

investigator(s).

• Letters of cooperation/support or administrative agreements from organizations 

collaborating in the project (if applicable).
NIJ-2016-8998

15

4. Budget Detail Worksheet and Budget Narrative

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. The Budget Detail Worksheet should be broken down by 

year.

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

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

b. Budget Narrative

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

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

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

activities).

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 technology and collaboration with outside organizations could be 

used to reduce costs, without compromising quality.

The narrative should be mathematically sound 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.

Case Identification

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

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

the total federal award amount requested) in the appropriate cost category (e.g., 

personnel, fringe benefits, travel, equipment, supplies, and consultants/contracts), as a 

separate section of the budget documents.

c. Cofunding

A grant 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.
NIJ-2016-8998

16

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. Non-Competitive Procurement Contracts In Excess of Simplified Acquisition 

Threshold

If an applicant proposes to make one or more non-competitive procurements of products 

or services, where the non-competitive procurement will exceed the simplified 

acquisition threshold (also known as the small purchase threshold), which is currently 

set at $150,000, the application should address the considerations outlined in 

the Financial Guide.

e. Pre-Agreement Cost Approvals

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

5. Indirect Cost Rate Agreement (if applicable)

Indirect costs are allowed only if the applicant has a current federally approved indirect cost 

rate. (This requirement does not apply to units of local government.) Attach a copy of the 

federally approved indirect cost rate agreement to the application. Applicants that do not 

have an approved rate may request one through their cognizant federal agency, which will 

review all documentation and approve a rate for the applicant organization, or, if the 

applicant’s accounting system permits, costs may be allocated in the direct cost categories. 

For the definition of Cognizant Federal Agency, see the “Glossary of Terms” in the Financial 

Guide. For assistance with identifying your cognizant agency, please contact the Customer 

Service Center at 1-800-458-0786 or at ask.ocfo@usdoj.gov. If DOJ is the cognizant federal 

agency, applicants may obtain information needed to submit an indirect cost rate proposal 

at http://www.ojp.gov/funding/Apply/Resources/IndirectCosts.pdf.

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. Applicant Disclosure of High-Risk Status

Applicants are to disclose whether they are currently designated high-risk by another federal 

grant making agency. This includes any status requiring additional oversight by the federal 

agency due to past programmatic or financial concerns. If an applicant is designated high-
NIJ-2016-8998

17

risk by another federal grant making agency, you must email the following information 

to OJPComplianceReporting@usdoj.gov at the time of application submission:

• The federal agency that currently designated the applicant as high-risk.

• Date the applicant was designated high-risk.

• The high-risk point of contact name, phone number, and email address, from that 

federal agency.

• Reasons for the high-risk status.

OJP seeks this information to ensure appropriate federal oversight of any grant award.

Unlike the Excluded Parties List, this high-risk information does not disqualify any 

organization from receiving an OJP award. However, additional grant oversight may be 

included, if necessary, in award documentation.

8. Additional Attachments

a. Applicant Disclosure of Pending Applications

Applicants are to disclose whether they have pending applications for federally funded 

grants or subgrants (including cooperative agreements) that include requests for funding 

to support the same project being proposed under this solicitation and will cover the 

identical cost items outlined in the budget narrative and worksheet in the application 

under this solicitation. The disclosure should include both direct applications for federal 

funding (e.g., applications to federal agencies) and indirect applications for such funding 

(e.g., applications to State agencies that will subaward 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.

Applicants that have pending applications as described above are 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 funding agency.
NIJ-2016-8998

18

SAMPLE

Applicants should include the table as a separate attachment, with the file name 

“Disclosure of Pending Applications,” to their application. Applicants that do not have 

pending applications as described above are to include a statement to this effect in the 

separate attachment page (e.g., “[Applicant Name on SF-424] does not have pending 

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

(including cooperative agreements) that include requests for funding to support the same 

project being proposed under this solicitation and will cover the identical cost items 

outlined in the budget narrative and worksheet in the application under this solicitation.”).

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

Biological Evidence

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

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

the State:

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

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

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

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

resolving claims of actual innocence.

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

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

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

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

the State to preserve such evidence.

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

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

Appendix I, which includes a template for the certification.

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

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

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

Federal or 

State 

Funding 

Agency 

Solicitation 

Name/Project 

Name

Name/Phone/Email for Point of Contact at 

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
NIJ-2016-8998

19

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

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

certification at Appendix I must be executed by the chief legal officer of the 

appropriate State for each State for which postconviction cases are sought to be 

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

applicants (if awarded) that fail to submit a properly-executed certification(s).

Regarding section 413 of Public Law 108-405: Applicants are encouraged to review the 

provisions of section 413 of the Justice for All Act of 2004 (Public Law 108–405). 

Although not applicable to awards under this FY 2016 solicitation, these or related 

provisions may apply to future solicitations related to postconviction DNA testing 

assistance. (A copy of section 413 appears in Appendix II, along with copies of 18 

U.S.C. §§ 3600(a) and 3600A, which are referenced therein.)

A template for the certification appears in Appendix I.

9. Financial Management and System of Internal Controls Questionnaire

In accordance with 2 C.F.R .200.205, federal agencies must have in place a framework for 

evaluating the risks posed by applicants before they receive a Federal award. To facilitate 

part of this risk evaluation, all applicants (other than an individual) are to download, 

complete, and submit this form.

10. Disclosure of Lobbying Activities

All applicants must complete this information. Applicants that expend any funds for lobbying 

activities are to provide the detailed information requested on the form Disclosure of 

Lobbying Activities (SF-LLL). Applicants that do not expend any funds for lobbying activities 

are 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.

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 
NIJ-2016-8998

20

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.

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.

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

Management System (GMS).

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 until the applicant has complied with all 

applicable DUNS and SAM 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.

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

SAM registration information. 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.
NIJ-2016-8998

21

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

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

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

and password. 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. 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 16.820, titled “Postconviction 

Testing of DNA Evidence to Exonerate the Innocent” and the funding opportunity number is

NIJ-2016-8998.

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.

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 email 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 email 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: NIJ does not automatically approve requests. After the program 
NIJ-2016-8998

22

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.

• 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.

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

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

E. Application Review Information

Selection Criteria

1. Statement of the Problem (5%)

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

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

2. Project Design and Implementation (40%)

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

and Deliverables).

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

project goals within the proposed project period.

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

d. Demonstration of multiagency cooperation, collaboration and partnerships. 

e. Innovation and creativity (where appropriate).

3. Capabilities and Competencies (20%)

a. Qualifications and experience of proposed staff.

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

c. Adequacy of the management plan.
NIJ-2016-8998

23

4. Plan for Collecting the Data Required for this Solicitation’s Performance Measures 

(5%)

5. Budget (15%)

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

necessary for project activities). Budget narratives should generally demonstrate 

how applicants will maximize cost effectiveness of grant expenditures. Budget 

narratives should demonstrate cost effectiveness in relation to potential 

alternatives and the goals of the project.3

6. Potential Impact (15%)

a. Relevance to policy and practice.

b. Potential for significant advances or outcomes.

Review Process

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

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

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

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

minimum requirements. For purposes of assessing whether applicants have met basic minimum 

requirements, OJP screens applications for compliance with specified program requirements to 

help determine which applications should proceed to further consideration for award. Although

program requirements may vary, the following are common requirements applicable to all 

solicitations for funding under OJP grant programs:

• Applications must be submitted by an eligible type of applicant.

• Applications must request funding within programmatic funding constraints (if 

applicable).

• Applications must be responsive to the scope of the solicitation.

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

• Applicants will be checked against the General Services Administration’s Excluded 

Parties List.

For a list of critical elements, see “What an Application Should Include” under Section D. 

Application and Submission Information.

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

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

costs.
NIJ-2016-8998

24

NIJ may use internal peer reviewers, external peer reviewers, or a combination, to assess 

applications meeting basic minimum requirements 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. A peer review panel 

will evaluate, score, and rate applications that meet basic minimum requirements. Peer 

reviewers’ ratings and any resulting recommendations are advisory only, although their views 

are considered carefully. In addition to peer review ratings, considerations for award 

recommendations and decisions may include, but are not limited to, underserved populations, 

geographic diversity, strategic priorities, past performance under prior NIJ and OJP awards, and 

available funding.

OJP reviews applications for potential discretionary awards to evaluate the risks posed by 

applicants before they receive an award. This review may include but is not limited to the 

following:

1. Financial stability and fiscal integrity.

2. Quality of management systems and ability to meet the management standards 

prescribed in the Financial Guide.

3. History of performance.

4. Reports and findings from audits.

5. The applicant's ability to effectively implement statutory, regulatory, or other 

requirements imposed on non-Federal entities.

6. Proposed costs to determine if the Budget Detail Worksheet and Budget Narrative

accurately explain project costs, and whether those costs are reasonable, necessary, 

and allowable under applicable federal cost principles and agency regulations.

Absent explicit statutory authorization or written delegation of authority to the contrary, all final 

award decisions will be made by the Assistant Attorney General, who may consider factors 

including, but not limited to, peer review ratings, underserved populations, geographic diversity, 

strategic priorities, past performance under prior NIJ and OJP awards, and available funding 

when making awards.

F. Federal Award Administration Information

Federal Award Notices

OJP award notification will be sent from GMS. 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 fullyexecuted award document to OJP.
NIJ-2016-8998

25

Administrative, National Policy, and other Legal Requirements

If selected for funding, in addition to implementing the funded project consistent with the 

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

conditions, and other legal requirements, including but not limited to OMB, DOJ or other federal 

regulations which will be 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 pertinent 

information on its Solicitation Requirements page of OJP's Funding Resource Center.

Please note in particular the following two forms, which applicants must accept 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 Apply section of the OJP's 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 requirements4 with which 

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, and other requirements which may be attached to appropriated 

funding. 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 Mandatory Award Terms and Conditions page of OJP's Funding Resource Center.

As stated above, NIJ anticipates that it will make any award from this announcement in the form 

of a cooperative agreement. Cooperative agreement awards include standard “federal 

involvement” conditions that describe the general allocation of responsibility for execution of the 

funded program. Generally stated, under cooperative agreement awards, responsibility for the 

day-to-day conduct of the funded project rests with the recipient in implementing the funded and 

approved proposal and budget, and the award terms and conditions. Responsibility for oversight 

and redirection of the project, if necessary, rests with NIJ.

 4 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)).
NIJ-2016-8998

26

In addition to any “federal involvement” condition(s), OJP cooperative agreement awards 

include a special condition specifying certain reporting requirements required in connection with 

conferences, meetings, retreats, seminars, symposium, training activities, or similar events 

funded under the award, consistent with OJP policy and guidance on conference approval, 

planning, and reporting.

General Information about Post-Federal Award Reporting Requirements

Recipients must submit quarterly financial reports, semi-annual progress reports, final financial 

and progress reports, and, if applicable, an annual audit report in accordance with 2 C.F.R. Part 

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

Special Reporting requirements may be required by OJP depending on the statutory, legislative 

or administrative obligations of the recipient or the program.

G. Federal Awarding Agency Contact(s)

For additional Federal Awarding Agency Contact(s), see title page.

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

H. Other Information

Provide Feedback to OJP

To assist OJP in improving its application and award processes, we encourage 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 email is for feedback and suggestions only. Replies are not sent from this 

mailbox. If you have specific questions on any program or technical aspect of the solicitation, 

you must directly contact the appropriate number or email listed on the front of this solicitation 

document. These contacts are provided to help ensure that you can directly reach an individual 

who can address your specific questions in a timely manner.

If you are interested in being a reviewer for other OJP grant applications, please email your 

resume to ojppeerreview@lmsolas.com. The OJP Solicitation Feedback email account will not 

forward your resume. Note: Neither you nor anyone else from your organization can be a peer 

reviewer in a competition in which you or your organization have submitted an application.
NIJ-2016-8998

27

Application Checklist

Postconviction Testing of DNA Evidence to Exonerate the Innocent

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 20)

_____ Acquire or renew registration with SAM (see page 20)

To Register with Grants.gov: 

_____ Acquire AOR and Grants.gov username/password (see page 21)

_____ Acquire AOR confirmation from the E-Biz POC (see page 21)

To Find Funding Opportunity:

_____ Search for the Funding Opportunity on Grants.gov (see page 21)

_____ Download Funding Opportunity and Application Package

_____ Sign up for Grants.gov email notifications (optional) (see page 19)

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

_____ Read OJP policy and guidance on conference approval, planning, and reporting

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

(see page 10)

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 21)

If No Grants.gov Receipt, and Validation or Error Notifications are Received:

_____ Please refer to the section: Experiencing Unforeseen Grants.gov Technical Issues

(see page 21)

General Requirements:

_____ Review the Solicitation Requirements in OJP Funding Resource Center.

Eligibility Requirement: See the “Eligibility” section on the title page of this solicitation.

What an Application Should Include:

_____ Application for Federal Assistance (SF-424) (see page 11)

_____ Project Abstract (see page 11)

_____ Program Narrative (see page 11)

_____ Double-spaced

_____ 12-point standard font

_____ 1” standard margins

_____ Narrative is 12 pages or less

_____ Appendices (see page 14)

_____ Curriculum vitae, resumes, or biographical sketches of key personnel

_____ Bibliography/references

_____ Tools/instruments, questionnaires, tables/charts/graphs, or maps

_____ List of proposed project staff members

_____ Project timeline
NIJ-2016-8998

28

_____ List of previous and current NIJ awards

_____ Letters of support

_____ Budget Detail Worksheet (see page 15)

_____ Budget Narrative (see page 15)

_____ Indirect Cost Rate Agreement (if applicable) (see page 16)

_____ Applicant Disclosure of High-Risk Status (see page 16)

_____ Additional Attachments

_____ Applicant Disclosure of Pending Applications (see page 17)

_____ Certification(s) as to Provision of Postconviction DNA Testing and Preservation 

of Biological Evidence (see page 18)

_____ Financial Management and System of Internal Controls Questionnaire (if applicable)

(see page 19)

_____ Disclosure of Lobbying Activities (SF-LLL) (see page 19)

_____ Employee Compensation Waiver request and justification (if applicable)

(see page 9)
NIJ-2016-8998

29

Appendix I: Certification Template
NIJ-2016-8998

30

U.S. DEPARTMENT OF JUSTICE

OFFICE OF JUSTICE PROGRAMS

NATIONAL INSTITUTE OF JUSTICE

FY 2016 Postconviction Testing of DNA Evidence to Exonerate the Innocent

On behalf of the State named below, I certify the following to the National Institute of Justice, Office of 

Justice Programs, U.S. Department of Justice:

(A) The State provides postconviction DNA testing of specified biological evidence under a State 

statute or under State rules, regulations, or practices, to persons convicted after trial and 

under a sentence of imprisonment or death for a State offense of murder or forcible rape, in a 

manner intended to ensure a reasonable process for resolving claims of actual innocence; 

and

(B) The State preserves biological evidence secured in relation to the investigation or 

prosecution of a State offense of murder or forcible rape under a State statute; local 

ordinances; or State or local rules, regulations, or practices, in a manner intended to ensure 

that reasonable measures are taken by all jurisdictions within the State to preserve such 

evidence.

I am the chief legal officer of the State and have authority to make this certification. I am aware that a 

false statement in this certification may be the subject of criminal prosecution, including under 18 U.S.C. § 

1001. I also acknowledge that certifications provided in connection with Office of Justice Programs grants 

are subject to review by the Office of Justice Programs or by the Department of Justice’s Office of the 

Inspector General.

_______________________________

Signature of Certifying Official

_______________________________

Printed Name of Certifying Official

_______________________________

Title of Certifying Official

_______________________________

Name of State

_______________________________

Date
NIJ-2016-8998

31

Appendix II: Selected Statutes

(See the note regarding section 413 of Public Law 108-405 under “What an Application Should Include” 

on page 19)

Section 413 of the Justice for All Act of 2004 (Public Law 108–405) provides: 

Incentive grants to States to ensure consideration of claims of actual innocence. 

For each of fiscal years 2005 through 2009, all funds appropriated to carry out sections 303, 305, 308, 

and 412 shall be reserved for grants to eligible entities that—

(1) meet the requirements under section 303, 305, 308, or 412, as appropriate; and 

(2) demonstrate that the State in which the eligible entity operates—

(A) provides post-conviction DNA testing of specified evidence—

(i) under a State statute enacted before the date of enactment of this Act 

[October 30, 2004] (or extended or renewed after such date), to persons 

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

felony offense, in a manner that ensures a reasonable process for resolving 

claims of actual innocence; or 

(ii) under a State statute enacted after the date of enactment of this Act [October 

30, 2004] or under a State rule, regulation, or practice, to persons under a 

sentence of imprisonment or death for a State felony offense, in a manner 

comparable to section 3600(a) of title 18, United States Code (provided that the 

State statute, rule, regulation, or practice may make post-conviction DNA testing 

available in cases in which such testing is not required by such section), and if 

the results of such testing exclude the applicant, permits the applicant to apply 

for post-conviction relief, notwithstanding any provision of law that would 

otherwise bar such application as untimely; and 

(B) preserves biological evidence secured in relation to the investigation or prosecution of 

a State offense—

(i) under a State statute or a State or local rule, regulation, or practice, enacted or 

adopted before the date of enactment of this Act [October 30, 2004] (or extended 

or renewed after such date), in a manner that ensures that reasonable measures 

are taken by all jurisdictions within the State to preserve such evidence; or 

(ii) under a State statute or a State or local rule, regulation, or practice, enacted 

or adopted after the date of enactment of this Act [October 30, 2004], in a 

manner comparable to section 3600A of title 18, United States Code, if—

(I) all jurisdictions within the State comply with this requirement; and 

(II) such jurisdictions may preserve such evidence for longer than the 

period of time that such evidence would be required to be preserved 

under such section 3600A.
NIJ-2016-8998

32

18 U.S.C. § 3600(a) provides:

DNA testing

(a) In general.—Upon a written motion by an individual under a sentence of imprisonment or 

death pursuant to a conviction for a Federal offense (referred to in this section as the "applicant"), 

the court that entered the judgment of conviction shall order DNA testing of specific evidence if 

the court finds that all of the following apply: 

(1) The applicant asserts, under penalty of perjury, that the applicant is actually innocent 

of—

(A) the Federal offense for which the applicant is under a sentence of 

imprisonment or death; or 

(B) another Federal or State offense, if—

(i) evidence of such offense was admitted during a Federal death 

sentencing hearing and exoneration of such offense would entitle the 

applicant to a reduced sentence or new sentencing hearing; and 

(ii) in the case of a State offense—

(I) the applicant demonstrates that there is no adequate remedy 

under State law to permit DNA testing of the specified evidence 

relating to the State offense; and 

(II) to the extent available, the applicant has exhausted all 

remedies available under State law for requesting DNA testing of 

specified evidence relating to the State offense. 

(2) The specific evidence to be tested was secured in relation to the investigation or 

prosecution of the Federal or State offense referenced in the applicant's assertion under 

paragraph (1). 

(3) The specific evidence to be tested—

(A) was not previously subjected to DNA testing and the applicant did not—

(i) knowingly and voluntarily waive the right to request DNA testing of 

that evidence in a court proceeding after the date of enactment of the 

Innocence Protection Act of 2004 [October 30, 2004]; or 

(ii) knowingly fail to request DNA testing of that evidence in a prior 

motion for postconviction DNA testing; or 

(B) was previously subjected to DNA testing and the applicant is requesting DNA 

testing using a new method or technology that is substantially more probative 

than the prior DNA testing. 

(4) The specific evidence to be tested is in the possession of the Government and has 

been subject to a chain of custody and retained under conditions sufficient to ensure that 

such evidence has not been substituted, contaminated, tampered with, replaced, or 

altered in any respect material to the proposed DNA testing.

(5) The proposed DNA testing is reasonable in scope, uses scientifically sound methods, 

and is consistent with accepted forensic practices. 
NIJ-2016-8998

33

(6) The applicant identifies a theory of defense that—

(A) is not inconsistent with an affirmative defense presented at trial; and 

(B) would establish the actual innocence of the applicant of the Federal or State 

offense referenced in the applicant's assertion under paragraph (1). 

(7) If the applicant was convicted following a trial, the identity of the perpetrator was at 

issue in the trial. 

(8) The proposed DNA testing of the specific evidence may produce new material 

evidence that would—

(A) support the theory of defense referenced in paragraph (6); and 

(B) raise a reasonable probability that the applicant did not commit the offense. 

(9) The applicant certifies that the applicant will provide a DNA sample for purposes of 

comparison. 

(10) The motion is made in a timely fashion, subject to the following conditions: 

(A) There shall be a rebuttable presumption of timeliness if the motion is made 

within 60 months of enactment of the Justice For All Act of 2004 [October 30, 

2004] or within 36 months of conviction, whichever comes later. Such 

presumption may be rebutted upon a showing—

(i) that the applicant's motion for a DNA test is based solely upon 

information used in a previously denied motion; or 

(ii) of clear and convincing evidence that the applicant's filing is done 

solely to cause delay or harass. 

(B) There shall be a rebuttable presumption against timeliness for any motion not 

satisfying subparagraph (A) above. Such presumption may be rebutted upon the 

court's finding—

(i) that the applicant was or is incompetent and such incompetence 

substantially contributed to the delay in the applicant's motion for a DNA 

test; 

(ii) the evidence to be tested is newly discovered DNA evidence; 

(iii) that the applicant's motion is not based solely upon the applicant's 

own assertion of innocence and, after considering all relevant facts and 

circumstances surrounding the motion, a denial would result in a 

manifest injustice; or 

(iv) upon good cause shown.

(C) For purposes of this paragraph—

(i) the term "incompetence" has the meaning as defined in section 4241 

of title 18, United States Code; 
NIJ-2016-8998

34

(ii) the term "manifest" means that which is unmistakable, clear, plain, or 

indisputable and requires that the opposite conclusion be clearly evident. 

18 U.S.C. § 3600A provides:

Preservation of biological evidence

(a) In general.—Notwithstanding any other provision of law, the Government shall preserve 

biological evidence that was secured in the investigation or prosecution of a Federal offense, if a 

defendant is under a sentence of imprisonment for such offense.

(b) Defined term.—For purposes of this section, the term "biological evidence" means—

(1) a sexual assault forensic examination kit; or 

(2) semen, blood, saliva, hair, skin tissue, or other identified biological material. 

(c) Applicability.—Subsection (a) shall not apply if—

(1) a court has denied a request or motion for DNA testing of the biological evidence by 

the defendant under section 3600, and no appeal is pending; 

(2) the defendant knowingly and voluntarily waived the right to request DNA testing of the 

biological evidence in a court proceeding conducted after the date of enactment of the 

Innocence Protection Act of 2004 [October 30, 2004]; 

(3) after a conviction becomes final and the defendant has exhausted all opportunities for 

direct review of the conviction, the defendant is notified that the biological evidence may 

be destroyed and the defendant does not file a motion under section 3600 within 180 

days of receipt of the notice; 

(4) (A) the evidence must be returned to its rightful owner, or is of such a size, 

bulk,or physical character as to render retention impracticable; and 

(B) the Government takes reasonable measures to remove and preserve 

portions of the material evidence sufficient to permit future DNA testing; or 

(5) the biological evidence has already been subjected to DNA testing under section 

3600 and the results included the defendant as the source of such evidence. 

(d) Other preservation requirement.—Nothing in this section shall preempt or supersede any 

statute, regulation, court order, or other provision of law that may require evidence, including 

biological evidence, to be preserved.

(e) Regulations.—Not later than 180 days after the date of enactment of the Innocence Protection 

Act of 2004 [October 30, 2004], the Attorney General shall promulgate regulations to implement 

and enforce this section, including appropriate disciplinary sanctions to ensure that employees 

comply with such regulations.

(f) Criminal penalty.—Whoever knowingly and intentionally destroys, alters, or tampers with 

biological evidence that is required to be preserved under this section with the intent to prevent 

that evidence from being subjected to DNA testing or prevent the production or use of that 

evidence in an official proceeding, shall be fined under this title, imprisoned for not more than 5 

years, or both.

(g) Habeas corpus.—Nothing in this section shall provide a basis for relief in any Federal habeas 

corpus proceeding.