Notices regarding the solicitation “NIJ FY16 Research and Evaluation 

on Institutional Corrections”

February 26, 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-2016-9086 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 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 applications for funding for research on, and evaluations related to, 

institutional corrections topics that bear directly and substantially upon federal, State, local or 

tribal criminal justice policy and practice. 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 criminal justice, particularly at the State and local levels.

NIJ FY16 Research and Evaluation on Institutional Corrections

Applications Due: May 17, 2016

Eligibility

In general, NIJ is authorized to make grants to, or enter into contracts or cooperative 

agreements with, States (including territories), units of local government, federally recognized 

Indian tribal governments (as determined by the Secretary of the Interior) that perform law 

enforcement functions, non-profit and for-profit organizations (including tribal non-profit and forprofit organizations), institutions of higher education (including tribal institutions of higher 

education), and certain qualified individuals. For-profit organizations must agree to forgo any 

profit or management fee. Foreign governments, foreign organizations, and foreign institutions 

of higher education are not eligible to apply.

NIJ welcomes applications that involve two or more entities that will carry out the funded 

Federal award activities, 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 conducting and leading the research. If successful, the applicant will be 

responsible for monitoring and appropriately managing any subrecipients or, as applicable, for 

administering any procurement subcontracts that would receive federal program funds from the 

applicant under the award.

An eligible applicant may submit more than one application, as long as each application 

proposes a different project in response to the solicitation. (Applicants should also review and 

consider the “Duplicate Applications” note under How to Apply in Section D. Application and 

Submission Information.) Subrecipients may be part of multiple proposals.

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 May 17, 2016.

All applicants are encouraged to read this: Important Notice: Applying for Grants in Grants.gov.

For additional application information, see Section D. Application and Submission Information.
2 NIJ-2016-9086

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 

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 responsecenter@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-2016-9086

Release date: February 17, 2016
3 NIJ-2016-9086

Contents

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

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

Program-Specific Information....................................................................................................5

Goals, Objectives, Deliverables and Expected Scholarly Products – Category 1.....................6

Goals, Objectives, Deliverables and Expected Scholarly Products – Category 2...................10

Goals, Objectives, Deliverables and Expected Scholarly Products – Category 3...................11

B. Federal Award Information .....................................................................................................12

Type of Award .........................................................................................................................13

Financial Management and System of Internal Controls.........................................................13

Budget Information ..................................................................................................................14

Cost Sharing or Match Requirement .......................................................................................14

Limitation on Use of Award Funds for Employee Compensation; Waiver...............................14

Prior Approval, Planning, and Reporting of Conference/Meeting/Training Costs ...................15

Costs Associated with Language Assistance (if applicable) ...................................................15

C. Eligibility Information ..............................................................................................................16

Limit on Number of Application Submissions ..........................................................................16

D. Application and Submission Information ................................................................................16

What an Application Should Include........................................................................................16

How to Apply ...........................................................................................................................27

E. Application Review Information ..............................................................................................30

Selection Criteria.....................................................................................................................30

Review Process.......................................................................................................................32

F. Federal Award Administration Information..............................................................................33

Federal Award Notices ............................................................................................................33

Administrative, National Policy, and other Legal Requirements..............................................33

General Information About Post-Federal Award Reporting Requirements..............................35

G. Federal Awarding Agency Contact(s) ....................................................................................35

H. Other Information ...................................................................................................................35

Provide Feedback to OJP .......................................................................................................35

Application Checklist ...............................................................................................................37
4 NIJ-2016-9086

NIJ FY16 Research and Evaluation on 

Institutional Corrections

(CFDA No. 16.560)

A. Program Description

Overview

NIJ seeks innovative research proposals to empirically assess pressing issues in institutional 

corrections. Applicants should submit proposals that address one of the three categories 

identified below. Application titles should clearly indicate the category selected. NIJ anticipates 

that up to $8 million may become available for awards under this solicitation.

1. Advancing science: Responding to the National Academy of Sciences (NAS) Report, 

The Growth of Incarceration in the United States: Exploring Causes and 

Consequences.1

2. Understanding the use of restrictive housing.2

a. An examination of the use of restrictive housing in State and/or federal prisons.

b. Assessing the use of restrictive housing in jails.

c. Understanding the impact of restrictive housing on the mental health of inmates 

and staff in prison, and how working in restrictive housing varies from working in 

the general population.

d. A review of step-down programs available in restrictive housing environments in 

U.S. prisons and jails.

3. An examination of correctional officer safety and wellness: The impact of fatal and nonfatal work-related injuries on the corrections institution.

Research proposed on institutional corrections topics outside of the three categories proposed 

in this solicitation will not be considered. Applications will only be reviewed in the categories in 

which they are received. Applications that are not responsive to the specific category area and 

applications that are submitted to a category in error will be removed from competition. 

Applicants interested in submitting research proposals that focus on community corrections are 

encouraged to submit proposals to NIJ’s “Community Corrections: Technology Research, 

Development and Evaluation to Improve Supervision and Outcomes” solicitation.3

 1 National Research Council. (2014). The Growth of Incarceration in the United States: Exploring Causes and 

Consequences. Washington, D.C.: The National Academies Press. This study was requested by the National Institute 

of Justice and the John D. and Catherine T. MacArthur Foundation. Visit http://www.nap.edu/catalog/18613/thegrowth-of-incarceration-in-the-united-states-exploring-causes to access the report. 2 Applicants may propose to complete one or a combination of the four subcategories under this category of 

research. Applicants are encouraged to clearly delineate in the project narrative and proposed budgets how each 

subcategory will be addressed.

3 See http://nij.gov/funding/ for availability of this solicitation.
5 NIJ-2016-9086

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

(sections 201 and 202).

Program-Specific Information

Category 1: Advancing science: Responding to the National Academy of Sciences report, 

The Growth of Incarceration in the United States: Exploring Causes and Consequences.

Competition ID: NIJ-2016-9349

The 2014 report by the NAS, The Growth of Incarceration in the United States: Exploring 

Causes and Consequences, provides a comprehensive review of factors that have led to an 

unprecedented growth in the number of incarcerated persons in the U.S. over the last four 

decades and the impact of this growth on public policy. The Committee concluded that the 

“historically unprecedented and internationally unique”4 increase in incarceration rates could be 

attributed to “an increasingly punitive political climate surrounding criminal justice policy” that led 

to longer sentences, mandatory minimums for minor and serious offenses, and more severe 

punishments for drug offenses.5 This explosion in rates of incarceration has had little to no 

impact on the criminal justice system with regard to decreases in crime or its deterrent impact 

on offenders.6 However, the impact of mass incarceration has been felt largely by individuals 

living in poverty and minority communities across the nation. The Committee on the Causes and 

Consequences of High Rates of Incarceration recommend a reexamination of penal policies that 

work toward reducing the number of individuals incarcerated in the U.S., improvements to the 

current conditions of confinement and the assessment of alternatives to incarceration, and the 

development of policies that reduce the need to rely on incarceration as a primary response to 

criminal behavior.

In light of the recommendations set forth by the NAS report, NIJ is seeking research and 

evaluation proposals that address the following topic areas:

• The experience of incarceration and its effects on incarcerated persons.

• The impact of incarceration on families and communities from which offenders are 

removed, more specifically, the impact on children of incarcerated parents.

• The assessment of the efficacy of alternative sentencing policies that aim to reduce the 

reliance on incarceration and their impact on the criminal justice system.

Applicants may propose to examine one or all of the points above. The proposal must be 

specific with regard to how the selected focus area(s) will be assessed. Funding under this 

solicitation area may support research that uses existing data, enhances ongoing research, or 

constitutes new research that has the potential to add significantly to the understanding of the 

impact of incarceration on offenders, families, communities, and the criminal justice system and 

may provide direction for improving criminal justice and prevention policies and practices.

 4 Ibid.

5 Ibid.

6 Ibid.
6 NIJ-2016-9086

For supplemental or new research, NIJ has a particular interest in the use of event-based or 

other methods or technologies that would allow the examination of causal sequencing of the 

consequences of the growth of incarceration; qualitative methods that allow in-depth exploration 

of the experience of incarceration and its effects; and community-based participatory research 

or culturally specific ethnographic work that would allow closer examination of the impact of 

incarceration on communities. NIJ encourages applicants to include a theoretical basis and a 

multidisciplinary approach to examining the impact of incarceration on offenders, families, 

communities, and the criminal justice system.

Goals, Objectives, Deliverables and Expected Scholarly Products – Category 1

The goal of this research is to improve understanding of the impact of incarceration on 

offenders, families, communities, and the criminal justice system. A secondary goal is to inform 

policymakers’, practitioners’, and lawmakers’ efforts aimed at reducing the continued reliance on 

incarceration as a method of crime prevention.

In addition to required data sets, a draft and final summary overview of research results, interim 

and final progress and financial reports, NIJ expects scholarly products to result from each 

award under this solicitation, taking the form of one or more published, peer-reviewed, scientific 

journal articles, and/or (if appropriate) law review journal articles, book chapter(s) or book(s) in 

the academic press, or similar scientific products.

Category 2: Understanding the use of restrictive housing.

Competition ID: NIJ-2016-9350

A. An examination of the use of restrictive housing in State and/or federal prisons.

In a 2015 report released by the Bureau of Justice Statistics, it was estimated that during an 

average day in 2011–2012, up to 4.4 percent of State and federal prison inmates and 2.7 

percent of jail inmates were held in administrative segregation or solitary confinement.7

According to this report, nearly 20 percent of prison inmates and 18 percent of jail inmates have

spent time in restrictive housing in the past 12 months, and nearly 10 percent of prison inmates 

and 5 percent of jail inmates had spent at least 30 days or longer in restrictive housing. The use 

of restrictive housing was also related to the mental health of inmates with current symptoms of 

serious psychological distress that had spent time in this confinement status in the past 12 

months, 29 percent of prison inmates and 22 percent of jail inmates respectively. Of additional 

importance is the significant variation in how restrictive housing is used in prisons and jails.

For the purposes of this solicitation, restrictive housing is defined as the practice of removing 

inmates from the general population of a correctional institution and imposing restrictions on 

their movement, behavior, and privileges.8 The conditions of confinement and specific 

placement criteria into restrictive housing may vary for each correctional institution. This may 

include, but is not limited to, behavioral infractions, assessments of risk, and protective custody. 

In some cases, inmates can spend hours of their day on their own. This definition may include 

 7 Beck, Allen J. (2015). The use of restrictive housing in U.S. prisons and jails, 2011-12. Washington, D.C.: Bureau of 

Justice Statistics.

8 Kane, M., Pierce, B., & Haynes, M. Restrictive housing FAQ. Retrieved from 

http://b.3cdn.net/crjustice/91692e6bbba68675a4_9sm6bofks.pdf
7 NIJ-2016-9086

single-cell or double-celled units. Potential applicants should specifically state how restrictive 

housing will be defined for the purposes of their proposed research.

Research is needed to understand the extent of the use of restrictive housing and its effects on 

inmates and the correctional environment. Examples of potential research areas include, but are 

not limited to:

• Understanding the key factors that predict the confinement of inmates in restrictive 

housing.

• The development of a classification schema on how restrictive housing is used in U.S. 

prisons and a description of the variations in the use of policy.

• A comparison of the similarities and differences between inmates housed in restrictive 

housing and the general population in a geographically and policy diverse subsample of 

prisons across the United States.

B. Assessing the use of restrictive housing in jails.

To date, the primary focus of the restrictive housing discussion has been on the prison 

environment. Due to the high number of offenders housed in this setting, and the fairly stable 

nature of this environment, the scholarly literature on the use of restrictive housing in prison is 

lengthy, though limited. A critical omission from the literature is a focus on jails.

At mid-year 2014, 744,600 inmates were confined in county and city jails in the U.S. During a 

12-month period ending June 30, 2014, local jails admitted 11.4 million persons.9 Jails serve a 

diverse set of functions, including but not limited to: holding inmates before trial, holding 

convicted inmates before they are sentenced, and holding offenders awaiting transfer. The 

average length of stay in jails is 23 days; however, most inmates will be in and out of jail within 

hours, days, or weeks.10 This environment is exceptionally transient; and though jails 

experience a high rate of turnover in their inmate population, like prisons, this environment can 

be characterized as overcrowded, volatile and often times violent. Removing and segregating 

inmates in jail from the general population can be made even more difficult due to this chaotic 

environment.

NIJ is seeking research and evaluation proposals that will assess the use of restrictive housing 

in jails. Applicants are encouraged to assess the following points:

• An examination and content analysis of restrictive housing policies used by State and 

local jails across the U.S. This assessment should include a review of definitional issues, 

for example, the differences between the definitions and use of terms such as solitary 

confinement, administrative segregation, or restrictive housing, and their implications for 

correctional environments and empirical research.

• A comparative analysis between jail and prison policies guiding the use of restrictive 

housing.

 9 Minton, T. D., & Zeng, Z. (2015). Jail inmates at midyear 2014. Washington, D.C.: Bureau of Justice Statistics. 10 Subramanian, R., Delaney, R., Roberts, S., Fishman, N., & McGarry, P. (2015). Incarceration’s front door: The 

misuse of jails in America. New York, NY: Vera Institute of Justice.
8 NIJ-2016-9086

• A detailed assessment of mental health programming options available in restrictive 

housing in jails.

• An evaluation of the impact of restrictive housing on the mental health of inmates in a 

geographically and policy diverse subsample of jail facilities across the U.S.

C. Understanding the impact of restrictive housing on the mental health of inmates and staff in 

prison, and how working in restrictive housing varies from working in the general population.

From 2011 to 2012, approximately 20 percent of State and federal inmates had spent some 

amount of time in segregated housing.11 Restrictive housing is a widely used concept, but 

embedded within its scope is a controversial corrections policy.12 Understanding its broader use 

and impact is crucial to maintaining a safe environment while also preserving the physical safety 

and mental well-being of inmates and staff.

NIJ is seeking research and evaluation proposals that address the following topic areas:

• An examination of the impact of placement in restrictive housing on the mental health of 

inmates. For the purposes of this research, applicants are encouraged to use varied 

research methods to evaluate a diverse set of security settings (i.e., minimum-, mediumand maximum-security institutions), inmates (i.e., demographics, criminal history, 

sentence length, gang affiliation, reason for placement in restrictive housing) and an 

expansive range of lengths of stay in restrictive housing (i.e., days, weeks, months or 

years).

• An examination into (a) whether or how working in restrictive housing units in prison 

impacts the physical and mental health of correctional officers and (b) how working in 

restrictive housing units in prison compares to working in the general population. For the 

purposes of this focus area, applicants are encouraged to use a mixed-methods 

approach to observe, interview and/or survey correctional officers that work in restrictive 

housing and assess the daily activities and stressors that may arise from working in 

those units.13

D. A review of step-down programs available for use in restrictive housing environments in U.S. 

prisons and jails.

Because inmates who reenter society are an “especially unstable group,”14 the provision of 

targeted transitional or step-down programming can serve an important function in assisting 

their integration into the community. This logic can be applied to the transition of inmates from 

restrictive housing to the general inmate population. Transitional or "step-down" programming 

 11 Beck, A. J. (2015). Use of restrictive housing in U.S. prisons and jails, 2011 – 12. Washington, D.C.: Bureau of 

Justice Statistics.

12 Kane, M., Pierce, B., &Haynes, M. Restrictive housing FAQ. Retrieved from 

http://b.3cdn.net/crjustice/91692e6bbba68675a4_9sm6bofks.pdf. 13 For more information, see “Fostering Innovation in Community and Institutional Corrections: Identifying HighPriority Technology and Other Needs for the U.S. Corrections Sector.” 14 Listwan. S. J., Cullen, F. T., & Latessa, E. J. (2016). How to prevent prisoner reentry programs from failing. In E. J. 

Latessa & A. M. Holsinger (Eds.), Correctional contexts: Contemporary and classical readings (5th ed.) (pp. 299-309). 

New York, NY: Oxford University Press.
9 NIJ-2016-9086

for inmates in restrictive housing can play a critical role in transitioning inmates from a more 

secure housing status to the general population while also encouraging positive behaviors.

Between 2011 and 2012, one-fifth of all inmates incarcerated at the State and federal level 

spent varying amounts of time in segregated housing.15 A majority of inmates in restrictive 

housing will return to the general population. A recent survey of the use of administrative 

segregation in State and federal corrections systems conducted by the Yale Law School, and in 

collaboration with the Association of State Correctional Administrators (ASCA), reported that 

“most responding jurisdictions (33 of 45) reported using some kind of ‘step-down’ or ‘levels’

program, whereby individuals confined to administrative segregation can gradually earn 

privileges, often with the goal of returning to the general population.”16 Current data sources on 

the use of restrictive housing do not provide information on the number, availability or types of 

step-down programs in U.S. jails or prisons, the goals of these programs, the offenders they 

serve, or how they work to transition inmates from more to less secure housing, or how they 

work to encourage positive behavior. Given this lack of information, it is unclear how, or if 

inmates are prepared to reenter general population, especially after an extended stay in 

restrictive housing, or if the programs meet their intended goals.

With this solicitation, NIJ is seeking a comprehensive assessment of step-down programs used 

in restrictive housing environments in U.S. prisons and jail environments. The assessment 

should include, but is not limited to:

• A detailed assessment of the types of step-down programs available to offenders in 

restrictive housing by jurisdiction, security level, and inmate type.

• A review of the criteria used to determine eligibility for step-down programs.

• A detailed description of step-down program goals, objectives, design, operation, and 

history, including but not limited to, the number of inmates served and post-program 

outcomes.

• A description of data collection efforts and the institutions capacity for data collection and 

management.

Depending on findings from this assessment, NIJ may decide to fund an evaluation of a subset 

of step-down programs to determine their efficacy. Applicants may propose to examine one or 

all of the points above. The proposal must be specific with regard to which and how the focus 

area(s) will be assessed. Funding under this solicitation section may support research that uses 

existing data, enhances ongoing research, or constitutes new research that has the potential to 

add significantly to the understanding of the use of restrictive housing in prisons and jails, the 

impact of restrictive housing on the mental health of inmates and correctional officers in prison, 

and may provide direction for improving corrections policies and practices in restrictive housing.

Please note: It is expected that applicants will propose research teams that include 

practitioners with knowledge of the prison or jail environment and experts with awareness of the 

 15 Beck, A. J. (2015). Use of restrictive housing in U.S. prisons and jails, 2011 – 12. Washington, D.C.: Bureau of 

Justice Statistics.

16 Yale Law School. (2015). Time–in-cell: The ASCA-Liman 2014 national survey of administrative segregation in 

prison. Retrieved from https://www.law.yale.edu/system/files/documents/pdf/ascaliman_administrative_segregation_report_sep_2_2015.pdf.
10 NIJ-2016-9086

relationship between incarceration and mental health issues. It is highly suggested that 

applicants consider an advisory board of subject matter experts to assist in guiding this research 

and/or propose an investigative team that illustrates a partnership between researchers and 

practitioners.

Goals, Objectives, Deliverables and Expected Scholarly Products – Category 2

The goal of this research is to improve understanding of the use of restrictive housing in prisons 

and jails, the availability of mental health programming in jails, and the impact of restrictive 

housing on the mental health of inmates and correctional officers. A secondary goal is to inform 

corrections professionals about the use and impact of restrictive housing and how these policies 

could be improved.

In addition to required data sets, a draft and final summary overview of research results, interim 

and final progress and financial reports, NIJ expects scholarly products to result from each 

award under this solicitation, taking the form of one or more published, peer-reviewed, scientific 

journal articles, and/or (if appropriate) law review journal articles, book chapter(s) or book(s) in 

the academic press, or similar scientific products.

Category 3: An examination of correctional officer safety and wellness: The impact of 

fatal and non-fatal work-related injuries on the corrections institution.

Competition ID: NIJ-2016-9351

Correctional officers “play a pivotal role within the wider prison system as they are tasked with 

numerous responsibilities deigned to ensure that their respective facilities are operating 

efficiently.”17 As a group, they are exposed to a myriad of dangerous situations, and are at risk 

of experiencing high rates of stress, burnout, and suicide. In 2008 and 2009, correctional 

officers incurred the highest number of injuries that resulted in days away from work among all 

State government employees.18 From 1999 to 2008, there were 113 fatalities among corrections 

officers, a fatality rate of 2.7 per 100,000 full-time employees.19 Thirty-eight percent of the fatal 

assaults were due to suicides.20 Though the number of suicides in the corrections profession 

over a decade may not be high, relatively speaking, the closed nature of correctional facilities 

makes it difficult to disentangle the factors leading to and the impact of fatal injuries, such as 

suicide, and other non-fatal injuries on the organizational culture of prison or its impact on staff.

Improved methods to identify individuals dealing with increased levels of stress and the 

development of tools and resources to assist these individuals with decompression and 

recovery are a critical need.21

 17 Ferdik, F. V., & Smith, H. P. (2015). Correctional officer safety and wellness literature synthesis. Unpublished. 18 Bureau of Labor Statistics (2010). News release: Nonfatal occupational injuries and illnesses requiring days away 

from work, 2009. Retrieved from http://www.bls.gov/news.release/archives/osh2_11092010.pdf. 19 Brower, J. (2013). Correctional officer wellness and safety literature review. Washington, D.C.: Office of Justice 

Programs Diagnostic Center.

20 Konda, S., Tiesman, H., Reichard, A., & Hartley, D. (2013). Research note: U.S. correctional officers killed or 

injured on the job. Washington, D.C.: National Institute of Occupational Safety and Health. 21 Jackson, B. A., Russo, J., Hollywood, J. S., Woods, D., Silberglitt, R., Drake, G. B., Shaffer, J. S., Zaydman, M., & 

Chow, B. G. (2015). Fostering innovation in community and institutional corrections: Identifying high-priority 

technology and other needs for the U.S. corrections sector. Santa Monica, CA: RAND Corporation.
11 NIJ-2016-9086

NIJ is seeking research and evaluation proposals that examine the causes of fatal and non-fatal 

injuries among correctional officers and the impact of these injuries on the corrections 

environment. For this solicitation, NIJ will accept proposals that will focus on jails or prisons.

Specifically, NIJ seeks research on:

• An assessment of the factors leading to fatal and non-fatal work-related injuries among 

correctional officers.

• The examination of potential strategies to prevent work-related injuries, for example the 

development of risk assessment tools, and the efficacy of current interventions including 

Early Warning Systems, or programs, such as employee assistance programs (EAPs), 

that address correctional officers stress and suicide or the development and testing of a 

new intervention or program for this purpose.

• The impact of fatal injuries (e.g., correctional officer suicide) on the institutional 

environment.

Applicants may propose to examine one or all of the points above. The proposal must be 

specific with regard to which and how the focus area(s) will be assessed. Funding under this 

solicitation area may support research that uses existing data, enhances ongoing research, or 

constitutes new research that has the potential to add significantly to the examination of fatal 

and non-fatal work-related injuries and efforts to prevent or intervene in their occurrence, and 

understanding the impact of fatal injuries, such as suicide, among correctional officer on prison 

culture and specifically its impact on staff, and that may provide direction for the improvement of 

interventions and/or programs and corrections policies and practices.

Goals, Objectives, Deliverables and Expected Scholarly Products – Category 3

The goal of this research is to improve understanding of the impact of fatal and non-fatal workrelated injuries among correctional officers and their impact on the institutional environment. A 

secondary goal is to inform corrections professionals about how to effectively recognize and 

address factors, such as stress and burnout, which may lead to non-fatal and fatal work-related 

injuries among correctional officers.

In addition to required data sets, a draft and final summary overview of research results, interim 

and final progress and financial reports, NIJ expects scholarly products to result from each 

award under this solicitation, taking the form of one or more published, peer-reviewed, scientific 

journal articles, and/or (if appropriate) law review journal articles, book chapter(s) or book(s) in 

the academic press, or similar scientific products.

Researcher-Practitioner Partnerships

If applicants propose a researcher-practitioner partnership or if a practitioner or policy-based 

organization will be significantly involved in the proposed projects, applicants are encouraged to 

provide the following:

• A detailed Memorandum of Understanding (MOU) between the practitioner or policybased organization(s).
12 NIJ-2016-9086

• A description of funding support for the practitioner or policy-based organization(s) or 

key staff.

• A detailed communication and management plan that details the coordination plan for 

the project team and relevant partners.

MOUs should be signed by all relevant partners prior to the submission of an application. MOUs 

should include detailed information on the roles and responsibilities of each partner. In addition, 

applicants should consider an additional publication related to the successes and obstacles of 

the partnership in their respective project.

In addition to required data sets, a draft and final summary overview of research results, interim 

and final progress and financial reports,22 NIJ expects scholarly products to result from each 

award under this solicitation, taking the form of one or more published, peer-reviewed, scientific 

journal articles, and/or (if appropriate) law review journal articles, book chapter(s) or book(s) in 

the academic press, technological prototypes, patented inventions, or similar scientific products.

Evaluation Research

If an application includes an evaluation research component (or consists entirely of evaluation 

research), the application is expected to propose the most rigorous research design applicable 

to answer the research questions. Also, applications that include evaluation research are 

expected to consider incorporation of cost/benefit analysis. NIJ views cost/benefit analysis as an 

effective way to communicate and disseminate findings from evaluation research and best serve 

our criminal justice constituents.

B. Federal Award Information

NIJ estimates that it will make multiple awards for an estimated total of $8 million. Project 

periods should begin on January 1, 2017.

For “Advancing science: Responding to the National Academy of Sciences Report,” it is 

anticipated that $2 million will be available for one to two projects.

For “Understanding the use of restrictive housing,” up to $4 million will be available for multiple 

projects.

For “An examination of correctional officer safety and wellness: The impact of fatal and non-fatal 

work-related injuries on the corrections institution,” it is anticipated that $2 million will be 

available for one to two projects.

Project periods and requested funding amounts should be commensurate with the time required 

to complete the proposed research and justified by the scope of work included in the program 

narrative.

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 

January 1, 2017.

 22 See “Federal Award Administration Information” (“General Information About Post-Federal Award Reporting 

Requirements”) section of this solicitation, below, for additional information.
13 NIJ-2016-9086

If the applicant is proposing a project that reasonably could be conducted in discrete phases, 

with each phase resulting in completion of one or more significant, defined milestones, then NIJ 

strongly recommends that the applicant structure the application—specifically including the 

narrative, expected scholarly products, timelines/milestones, and budget detail worksheet and 

budget narrative—to clearly set out each phase. (This is particularly the case if the applicant 

proposes a project that will exceed—in cost or length of project period—the amount or length 

anticipated for an individual award (or awards) under this solicitation.) Given limitations on the 

availability to NIJ of funds for research, development, and evaluation awards, this information 

will assist NIJ in considering whether partial funding of proposals that would not receive full 

funding would be productive. (If NIJ elects to fund only certain phases of a proposed project in 

FY 2016, the expected scholarly products from the partial-funding award may, in some cases, 

vary from those described above.)

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 Award23

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

agreement. A cooperative agreement 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 solicitation.

As discussed later in the solicitation, important rules (including limitations) apply to any 

conference/meeting/training costs under cooperative agreements.

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

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

“Evidence, Research, and Evaluation Guidance and Requirements” under “Solicitation 

Requirements” in OJP's Funding Resource Center.

Financial Management and System of Internal Controls

Award recipients and subrecipients (including any recipient or subrecipient funded in response 

to this solicitation that is a pass-through entity24) must, as described in the Part 200 Uniform 

Requirements 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 

 23 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]). 24 For purposes of this solicitation (or program announcement), “pass-through entity” includes any entity eligible to 

receive funding as a recipient or subrecipient under this solicitation (or program announcement) that, if funded, may 

make a subaward(s) to a subrecipient(s) to carry out part of the funded program.
14 NIJ-2016-9086

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.

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

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

Online Training available here.

Budget Information

What will not be funded:

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

include these items if they are necessary to conduct research, development, 

demonstration, evaluation, or analysis.)

• Proposals that are not responsive to this specific solicitation.

• Proposals that are not responsive to the specific solicitation category.

• Research that lacks clear implications for criminal justice policy and/or practice in the 

Unites States.

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.

Requests for approval of pre-agreement costs will not be considered under this solicitation.

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 
15 NIJ-2016-9086

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.25 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. (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 Director of the National Institute of Justice 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.

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.

 25 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.
16 NIJ-2016-9086

C. Eligibility Information

Eligibility

For additional eligibility information, see title page.

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 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, and resumes/curriculum vitae of key personnel. For 

purposes of this solicitation, “key personnel” means the principal investigator, and any and all 

co-principal investigators. 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,” “Résumés”) for all attachments. Also, OJP recommends that 

applicants include résumé 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.”)
17 NIJ-2016-9086

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.

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

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

opportunity to share information with the public regarding promising but unfunded 

applications, for example, through a listing on a Web page available to the public. The intent 

of this public posting would be to allow other possible funders to become aware of such 

proposals.

In the project abstract template, applicants are asked to indicate whether they give OJP 

permission to share their project abstract (including contact information) with the public if NIJ

does not fund the proposed project. Granting (or failing to grant) this permission will not 

affect OJP’s funding decisions, and, if the application is not funded, granting permission will 

not guarantee that project abstract information will be shared, nor will it guarantee funding 

from any other source.

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

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

content requirements noted above and outlined in the project abstract template.

3. Program Narrative

The program narrative section of the application should not exceed 30 pages 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 30-page limit for the 

narrative section. The project abstract, table of contents, appendices, and government forms 

do not count toward the 30-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.
18 NIJ-2016-9086

The following sections should be included as part of the program narrative.26

Program Narrative Guidelines:

a. Title Page (not counted against the 30-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 

organization and the principal investigator.

b. Resubmit Response (if applicable) (not counted against the 30-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 NIJassigned application number of the previous proposal, and (2) a brief summary of 

revisions to the proposal, including responses to previous feedback received 

from NIJ.

c. Table of Contents and Figures (not counted against the 30-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/Competencies.

Within these sections, the narrative should address:

• Purpose, goals, and objectives.

• Review of relevant literature.

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

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

applicant structure the application – specifically including the narrative, expected scholarly products, 

timelines/milestones, and budget detail worksheet and budget narrative – to set out each phase clearly. (In 

appropriate cases, the expected scholarly product(s) from a particular phase may vary from those described above.) 

See generally, “Goals, Objectives, Deliverables, and Expected Scholarly Products” under “Program-Specific 

Information,” above.
19 NIJ-2016-9086

• 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.

• Management plan and organization.

• Plan for Dissemination to Broader Audiences (if applicable to the 

proposed project). Applicants should identify plans (if any) to produce or 

to make available to broader interested audiences – such as 

criminal/juvenile justice practitioners or policymakers – 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 those audiences. 

(Such dissemination might include, for example, trade press articles and 

webinars.)

e. 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:
20 NIJ-2016-9086

Objective Performance Measure(s) Data Grantee Provides

Conduct research in 

social and behavioral 

sciences 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 

proposal 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, semi-annual 

and final progress 

reports, and a draft and 

final summary overview 

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.If applicable, each data 

set that resulted in 

whole or in part from 

work funded under the 

NIJ award.

f. Appendices (not counted against the 30-page program narrative limit) 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 principal investigator and any and all coprincipal investigators. In addition, curriculum vitae, resumes, or biographical 

sketches of all other individuals (regardless of “investigator” status) who will 

be significantly involved in substantive aspects of the proposal (including, for 

example, individuals such as statisticians serving as consultants to conduct

proposed data analysis).

• 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.
21 NIJ-2016-9086

• Proposed project timeline and expected milestones.

• Human Subjects Protection paperwork (documentation and forms related to 

Institutional Review Board (IRB) review). 

(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 

proposal has been submitted (if applicable).

• Data archiving plan. Applicants should anticipate that NIJ will require (through 

special award conditions, including a partial withholding of award funds) that 

data sets resulting in whole or in part from projects funded under this 

solicitation be submitted for archiving with the National Archive of Criminal 

Justice Data (NACJD) (see www.nij.gov/funding/data-resourcesprogram/applying/Pages/data-archiving-strategies.aspx).

Applications should include as an appendix a brief plan – labeled “Data 

Archiving Plan” – to comply with data archiving requirements. The plan 

should provide brief details about proposed data management and archiving,

including submission to NIJ (through NACJD) of all files and documentation

necessary to allow for future efforts by others to reproduce the project’s 

findings and/or to extend the scientific value of the data set through 

secondary analysis. Pertinent files and documentation include, among other 

things, qualitative and quantitative data produced, instrumentation and data 

collection forms, codebook(s), any specialized programming code necessary 

to reproduce all constructed measures and the original data analysis,

description of necessary de-identification procedures, and (when required) a 

copy of the privacy certificate and informed consent protocols.

The plan should be one or two pages in length and include the level of effort 

associated with meeting archiving requirements.

Note that required data sets are to be submitted 90 days before the end of 

the project period.
22 NIJ-2016-9086

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. (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 Financial Guide at http://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 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.

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.
23 NIJ-2016-9086

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 approvals, see Section B. Federal Award 

Information.

5. Indirect Cost Rate Agreement (if applicable)

Indirect costs are allowed only under the following circumstances:

(a) The applicant has a current, federally approved indirect cost rate; or

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

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

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 www.ojp.gov/funding/Apply/Resources/IndirectCosts.pdf.

In order to use the “de minimis” indirect rate, attach written documentation to the application 

that advises OJP of both the applicant’s eligibility (to use the “de minimis” rate) and its 

election. If the applicant elects the “de minimis” method, costs must be consistently charged 

as either indirect or direct costs, but may not be double charged or inconsistently charged as 

both. In addition, if this method is chosen then it must be used consistently for all federal 

awards until such time as you choose to negotiate a federally approved indirect cost rate.27

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 

 27 See 2 C.F.R. § 200.414(f).
24 NIJ-2016-9086

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 highrisk 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.

Disclosing 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 applications28

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:

 28 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.
25 NIJ-2016-9086

SAMPLE

• The federal or State funding agency.

• The solicitation name/project name.

• The point of contact information at the applicable funding agency.

Applicants should include the table as a separate attachment to their application. The file 

should be named “Disclosure of Pending Applications.”

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 SF424] 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. Research and Evaluation Independence and Integrity

If a proposal involves research and/or evaluation, regardless of the proposal’s other 

merits, in order to receive funds, the applicant must demonstrate research/evaluation 

independence, including appropriate safeguards to ensure research/evaluation 

objectivity and integrity, both in this proposal and as it may relate to the applicant’s other 

current or prior related projects. This documentation may be included as an attachment 

to the application which addresses BOTH i. and ii. below.

i. For purposes of this solicitation, applicants must document research and evaluation 

independence and integrity by including, at a minimum, one of the following two 

items:

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

any research integrity issues (including all principal investigators and subrecipients) and it has concluded that the design, conduct, or reporting of 

research and evaluation funded by NIJ grants, cooperative agreements, or 

contracts will not be biased by any personal or financial conflict of interest on 

the part of part of its staff, consultants, and/or sub-recipients responsible for 

the research and evaluation or on the part of the applicant organization;

Federal or 

State 

Funding 

Agency 

Solicitation 

Name/Project 

Name

Name/Phone/E-mail 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
26 NIJ-2016-9086

OR

b. A specific listing of actual or perceived conflicts of interest that the applicant 

has identified in relation to this proposal. These conflicts could be either 

personal (related to specific staff, consultants, and/or sub-recipients) or 

organizational (related to the applicant or any subgrantee organization). 

Examples of potential investigator (or other personal) conflict situations may 

include, but are not limited to, 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 could not be 

given a grant 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), as the 

organization in such an instance would 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 applicants must address the issue of 

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 potential personal or 

organizational conflicts of interest exist, then the applicant should provide a 

brief narrative explanation of how and why it reached that conclusion. 

Applicants MUST also include an explanation of the specific processes and 

procedures that the applicant will put in place to identify and eliminate (or, at 

the very least, mitigate) potential personal or financial conflicts of interest on 

the part of its staff, consultants, and/or sub-recipients for this particular 

project, should that be necessary during the grant period. Documentation that

may be helpful in this regard could include organizational codes of 

ethics/conduct or policies regarding organizational, personal, and financial 

conflicts of interest.

OR

b. If the applicant has identified specific personal or organizational conflicts of 

interest in its proposal during this review, the applicant must propose a 

specific and robust mitigation plan to address conflicts noted above. At a 

minimum, the plan must include specific processes and procedures that the 

applicant will put in place to eliminate (or, at the very least, mitigate) potential 

personal or financial conflicts of interest on the part of its staff, consultants, 

and/or sub-recipients for this particular project, should that be necessary 

during the grant period. Documentation that may be helpful in this regard 

could include organizational codes of ethics/conduct or policies regarding 
27 NIJ-2016-9086

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

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

Considerations in assessing research and evaluation independence and integrity will 

include, but are not be limited to, the adequacy of the applicant’s efforts to identify 

factors that could affect the objectivity or integrity of the proposed staff and/or the 

organization 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.

9. Financial Management and System of Internal Controls Questionnaire

In accordance with Part 200 Uniform Requirements as set out at 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 primary source to 

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

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

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

4726 or 606–545–5035, 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 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. 
28 NIJ-2016-9086

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

Management System (GMS).

Characters Special Characters

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

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

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

Hyphen ( - ) At sign (@) Number sign (#) Dollar sign ($)

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.

Individual applicants should search Grants.gov for a funding opportunity for which individuals 

are eligible to apply. Use the Funding Opportunity Number (FON) to register. Complete the 

registration form at https://apply07.grants.gov/apply/IndCPRegister to create a username and 

password. Individual applicants should complete all steps except 1, 2 and 4.

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.
29 NIJ-2016-9086

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.

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. Individuals registering with Grants.gov should 

go to http://www.grants.gov/web/grants/applicants/individual-registration.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 16.560, titled “National Institute 

of Justice Research, Evaluation, and Development Project Grants” and the funding 

opportunity numbers are:

1. Category 1: NIJ-2016-9349.

2. Category 2: NIJ-2016-9350.

3. Category 3: NIJ-2016-9351.

6. Select the correct Competition ID. Some OJP solicitations posted to Grants.gov contain 

multiple purpose areas, denoted by the individual Competition ID. If applying to a solicitation 

with multiple Competition IDs, select the appropriate Competition ID for the intended 

purpose area of the application.

7. 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 May 17, 2016.
30 NIJ-2016-9086

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. The 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:

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.

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

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

the following review criteria.
31 NIJ-2016-9086

Statement of the Problem (Understanding of the problem and its importance) – 10%

1. Demonstrated understanding of the problem.

2. Demonstrated awareness of the state of current research.

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

1. Soundness of methods and analytic and technical approach to addressing the stated 

aim(s) of the proposed project.

2. Feasibility of proposed project.

3. Awareness of potential pitfalls of proposed project design and feasibility of proposed 

actions to minimize and/or mitigate them.

Potential Impact – 20%

Potential for a significant scientific or technical advance(s) that will improve criminal/juvenile

justice in the United States, such as:

1. Potential for significantly improved understanding of the stated criminal/juvenile justice 

problem.

2. Potential for innovative solution to address (all or a significant part of) the stated 

criminal/juvenile justice problem.

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

applicant organization and proposed project staff) – 20%

1. Qualifications and experience of proposed project staff (that is, the principal investigator, 

any and all co-principal investigators, and all other individuals (and organizations)

identified in the application (regardless of “investigator” status) who will be significantly 

involved in substantive aspects of the proposal).

2. Demonstrated ability of the applicant organization to manage the effort.

3. Relationship between the capabilities/competencies of the proposed project staff 

(including the applicant organization) and the scope of the proposed project.

Budget

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

of scientific and technical merit.

1. Total cost of the project relative to the perceived benefit (cost effectiveness).

2. Appropriateness of the budget relative to the level of effort.
32 NIJ-2016-9086

3. Use of existing resources to conserve costs.

4. Proposed budget alignment with proposed project activities.

Plan for Dissemination to Broader Audiences (if applicable to the proposed project)

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

plan (if any) to produce or 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 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 System for Award Management.

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

Application and Submission Information.

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.

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:
33 NIJ-2016-9086

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 award recipients.

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.

All final award decisions will be made by the Director of the National Institute of Justice. 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, planned scholarly products, 

proposed budgets, past performance (including scholarly products) under prior NIJ and OJP 

awards, research independence and integrity, strategic priorities, and available funding when 

making awards.

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 in GMS. GMS automatically issues the notifications at 9:00 p.m. eastern time 

on the award date (by September 30, 2016). Recipients will be required to login; 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.

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, 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.
34 NIJ-2016-9086

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 requirements29 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. 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.

As stated above, NIJ may elect to make awards under this program as either a grant or 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-today 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.

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.

 29 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)).
35 NIJ-2016-9086

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 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 by OJP depending on the statutory, legislative 

or administrative requirements of the recipient or the program.

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.

In addition to the expectation of scholarly products, successful applicants under this solicitation 

will be required to submit the following deliverables regarding the work funded by the NIJ award.

Required Data Sets and Associated Files and Documentation

As discussed earlier, NIJ requires recipients of an award under this solicitation to submit to 

NACJD all data sets that result in whole or in part from the work funded by NIJ, along with 

associated files and any documentation necessary to allow for future efforts by others to 

reproduce the project’s findings and/or to extend the scientific value of the data set through 

secondary analysis. All data sets and necessary documentation are to be submitted 90 days 

prior to the end of the project period. For more information, see the “Program Narrative” section 

of What an Application Should Include.

G. Federal Awarding Agency Contact(s)

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

For contact information for Grants.gov, see the 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 e-mail 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 e-mail 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.
36 NIJ-2016-9086

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

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

forward your résumé. 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.
37 NIJ-2016-9086

Application Checklist

NIJ FY16 Research and Evaluation on Institutional Corrections

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 28)

_____ Acquire or renew registration with SAM (see page 28)

To Register with Grants.gov: 

_____ Acquire AOR and Grants.gov username/password (see page 29)

_____ Acquire AOR confirmation from the E-Biz POC (see page 29)

To Find Funding Opportunity: 

_____ Search for the funding opportunity on Grants.gov (see page 29)

_____ Download Funding Opportunity and Application Package

_____ Select the correct Competition ID (see page 29)

_____ Sign up for Grants.gov email notifications (optional) (see page 27)

_____ 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 15)

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 29)

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 30)

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 16)

_____ Project Abstract (if applicable) (see page 17)

_____ Program Narrative (see page 17)

_____ Budget Detail Worksheet (see page 22)

_____ Budget Narrative (see page 22)

_____ Indirect Cost Rate Agreement (if applicable) (see page 23)

_____ Tribal Authorizing Resolution (if applicable) (see page 23)

_____ Applicant Disclosure of High-Risk Status (see page 24)

_____ Additional Attachments

_____ Applicant Disclosure of Pending Applications (see page 24)

_____ Research and Evaluation Independence and Integrity (see page 25)

_____ Financial Management and System of Internal Controls Questionnaire (see page 27)

_____ Disclosure of Lobbying Activities (SF-LLL) (see page 27)

_____ Employee Compensation Waiver request and justification (if applicable)

(see page 14)