OJP Grant Application Resource Guide

The Office of Justice Programs (OJP) Grant Application Resource Guide ("Guide") provides guidance to assist OJP grant applicants in preparing and submitting applications for OJP funding, and information that may help potential applicants making the decision whether to apply for funding. It addresses a variety of policies, statutes, and regulations that apply to many (or in some cases, all) OJP program applicants, or to grants and cooperative agreements awarded in fiscal year (FY) 2020. Some OJP programs may have program solicitations that expressly modify a provision of this Guide; in such cases, the applicant is to follow the guidelines in the solicitation as to any such expressly-modified provision.

The provisions of this Guide apply to only those OJP applications submitted in response to OJP solicitations (published by OJP's various program offices*) that expressly incorporate this Guide by reference.

* OJP's program offices include the Bureau of Justice Assistance; the Bureau of Justice Statistics; the National Institute of Justice; the Office for Victims of Crime; the Office of Juvenile Justice and Delinquency Prevention; and the Office of Sex Offender Sentencing, Monitoring, Apprehending, Registering, and Tracking.

Contents

• Programmatic Information
  • Evidence-Based Programs or Practices
  • Information Regarding Potential Evaluation of Programs and Activities
  • Financial Management and System of Internal Controls
  • Cost Sharing or Matching Requirement
  • Pre-agreement Costs (also known as Pre-award Costs)
  • Limitation on Use of Award Funds for Employee Compensation; Waiver
  • Prior Approval, Planning, and Reporting of Conference/Meeting/Training Costs
  • Costs Associated with Language Assistance (if applicable)
  • Complete the Application for Federal Assistance (Standard Form (SF)-424)
  • Note on Project Evaluations
  • Budget Preparation and Submission Information
    • Detailed Computations and Allowable Costs
    • Narrative Justification for Every Cost
    • Information on Proposed Subawards (if any) and Proposed Procurement Contracts (if any)
    • Indirect Cost Rate Agreement (if applicable)
    • Applicant Disclosure of Pending Applications
    • Applicant Disclosure and Justification – DOJ High Risk Grantees
    • Research and Evaluation Independence and Integrity
    • Disclosure of Process Related to Executive Compensation
    • Registration and Submission Steps (Grants.gov)
    • Registration and Submission Steps (GMS)
    • Federal Award Notices
    • Administrative, National Policy, and Other Legal Requirements
    • Information Technology (IT) Security Clauses
    • Post-Federal Award Reporting Requirements
    • Freedom of Information and Privacy Act (5 U.S.C. § 552 and 5 U.S.C. § 552a)
    • Provide Feedback to OJP
    • To Become an OJP Peer Reviewer

    Programmatic Information

    Evidence-Based Programs or Practices

    OJP strongly emphasizes the use of data and evidence in policy making and program development in criminal justice, juvenile justice, and crime victim services. OJP is committed to:

    • improving the quantity and quality of evidence OJP generates,
    • integrating evidence into program, practice, and policy decisions within OJP and the field, and
    • improving the translation of evidence into practice.

    OJP considers programs and practices to be evidence-based when their effectiveness has been demonstrated by causal evidence, generally obtained through one or more outcome evaluations. Causal evidence documents a relationship between an activity or intervention (including technology) and its intended outcome, including measuring the direction and size of a change, and the extent to which a change may be attributed to the activity or intervention.

    Causal evidence depends on the use of scientific methods to rule out, to the extent possible, alternative explanations for the documented change. The strength of causal evidence, based on the factors described above, will influence the degree to which OJP considers a program or practice to be evidence-based.

    The OJP CrimeSolutions.gov website is one resource that applicants may use to find information about evidence-based programs in criminal justice, juvenile justice, and crime victim services.

    Information Regarding Potential Evaluation of Programs and Activities

    The Department of Justice has prioritized the use of evidence-based programming and deems it critical to continue to build and expand the evidence informing criminal and juvenile justice programs to reach the highest level of rigor possible. Therefore, the applicant should note that OJP may conduct or support an evaluation of the programs and activities funded under the solicitation. Recipients and subrecipients will be expected to cooperate with program related assessments or evaluation efforts, including through the collection and provision of information or data requested by OJP (or its designee) for the assessment or evaluation of any activities and/or outcomes of those activities funded under the solicitation. The information or data requested may be in addition to any other financial or performance data already required under the program.

    Financial Information

    Financial Management and System of Internal Controls

    Award recipients and subrecipients (including recipients or subrecipients that are pass-through entities [1] ) must, as described in the Part 200 Uniform Requirements [2] as set out at 2 C.F.R. 200.303:

    1. Establish and maintain effective internal control over the Federal award that provides reasonable assurance that [the recipient (and any subrecipient)] is managing the Federal award in compliance with Federal statutes, regulations, and the terms and conditions of the Federal award. These internal controls should be in compliance with guidance in "Standards for Internal Control in the Federal Government" issued by the Comptroller General of the United States and the "Internal Control Integrated Framework", issued by the Committee of Sponsoring Organizations of the Treadway Commission (COSO).
    2. Comply with Federal statutes, regulations, and the terms and conditions of the Federal awards.
    3. Evaluate and monitor [the recipient's (and any subrecipient's)] compliance with statutes, regulations, and the terms and conditions of Federal awards.
    4. Take prompt action when instances of noncompliance are identified including noncompliance identified in audit findings.
    5. Take reasonable measures to safeguard protected personally identifiable information and other information the Federal awarding agency or pass-through entity designates as sensitive or [the recipient (or any subrecipient)] considers sensitive consistent with applicable Federal, state, local, and tribal laws regarding privacy and obligations of confidentiality.

    To help ensure that the applicant understands the applicable administrative requirements and cost principles, OJP encourages prospective applicants to enroll, at no charge, in the DOJ Grants Financial Management Online Training, available at https://onlinegfmt.training.ojp.gov/. (This training is required for all OJP award recipients.)

    Also, the applicant should be aware that OJP collects information from applicants on their financial management and systems of internal controls (among other information) which is used to make award decisions. The applicant may access and review the OJP Financial Management and System of Internal Controls Questionnaire that OJP requires all applicants (other than an individual applying in his/her personal capacity) to download, complete, and submit as part of the application.

    [1] For purposes of the solicitation, the phrase "pass-through entity" includes any recipient or subrecipient that provides a subaward ("subgrant") to a subrecipient (subgrantee) to carry out part of the funded award or program.

    [2] The "Part 200 Uniform Requirements" means the DOJ regulation at 2 C.F.R Part 2800, which adopts (with certain modifications) the provisions of 2 C.F.R. Part 200.

    Cost Sharing or Matching Requirement

    If the solicitation does not require a match, and a successful application proposes a voluntary match amount, and OJP approves the budget, then the total match amount incorporated into the approved budget becomes mandatory and subject to audit.

    If the solicitation includes a cost sharing or matching requirement, then the solicitation will specify one of the following three match scenarios – (1) cash or in-kind, 2) cash only, or 3) match based on federal award amount) – in order to indicate the cost sharing or matching requirement that will apply to applications submitted in response to the solicitation. If the solicitation requires match, applicants should read closely the match requirement section that corresponds to the type of match specified in the "Cost Sharing or Match Requirement" section in the solicitation. (Note: Indian tribes and tribal organizations that otherwise are eligible for an award may be able to apply certain types of funds received from the federal government (for example, certain funds received under an Indian "self-determination contract") to satisfy all or part of a required "non-federal" match.

    Cash or in-kind* (*see solicitation for match (recipient's share) percentage)

    Cash only* (*see solicitation for match (recipient's share) percentage)

    Match based on federal award amount* (*see solicitation for match (recipient's share) percentage and dollar/cents figure)

    See the DOJ Grants Financial Guide Postaward Requirements at https://ojp.gov/financialguide/DOJ/PostawardRequirements/chapter3.3b.htm for additional information on cost sharing and match.

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

    Pre-agreement costs are costs incurred by the applicant prior to the start date of the period of performance of the federal award. OJP does not typically approve pre-agreement costs; an applicant must request and obtain the prior written approval of OJP for all such costs. All such costs incurred prior to award and prior to approval of the costs are incurred at the sole risk of the applicant. (Generally, no applicant should incur project costs before submitting an application requesting federal funding for those costs.) Should there be extenuating circumstances that make it appropriate for OJP to consider approving pre-agreement costs, the applicant may contact the point of contact listed in the solicitation for the requirements concerning written requests for approval. If approved in advance by OJP, award funds may be used for pre-agreement costs, consistent with the recipient's approved budget and applicable cost principles. See the section on Costs Requiring Prior Approval in the DOJ Grants Financial Guide Post Award Requirements at https://ojp.gov/financialguide/DOJ/index.htm for more information.

    Limitation on Use of Award Funds for Employee Compensation; Waiver

    With respect to any award of more than $250,000 made under a solicitation, a recipient may not use federal funds to pay total cash compensation (salary plus cash bonuses) to any employee of the recipient at a rate that exceeds 110 percent 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. [3] The 2020 salary table for SES employees is available on the Office of Personnel Management website at https://www.opm.gov/policy-data-oversight/pay-leave/salaries-wages/salary-tables/20Tables/exec/html/ES.aspx . Note: A recipient may compensate an employee at a greater rate, provided the amount in excess of this compensation limitation is paid with non-federal funds. (Non-federal funds used for any such additional compensation will not be considered matching funds, where match requirements apply.) If only a portion of an employee's time is charged to an OJP award, the maximum allowable compensation is equal to the percentage of time worked times the maximum salary limitation.

    The Assistant Attorney General for OJP may exercise discretion to waive, on an individual basis, this limitation on compensation rates allowable under an award. An applicant that requests a waiver should include a detailed justification in the budget narrative of its application. An applicant that does not submit a waiver request and justification with its application should anticipate that OJP will require the applicant to adjust and resubmit the budget.

    The justification should address, in the context of the work the individual would do under the award, the particular qualifications and expertise of the individual, the uniqueness of a service the individual will provide, and the individual's specific knowledge of the proposed program or project. The justification should also provide a statement that explains whether and how the individual's salary under the award would be commensurate with the regular and customary rate for an individual with his/her qualifications and expertise, and for the work he/she would do under the award.

    [3] OJP does not apply this limitation on the use of award funds to the nonprofit organizations listed in Appendix VIII to 2 C.F.R. Part 200.

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

    OJP strongly encourages every applicant that proposes to use award funds for any conference-, meeting-, or training-related activity (or similar event) to review carefully—before submitting an application—the OJP and DOJ policy and guidance on approval, planning, and reporting of such events, available at https://ojp.gov/financialguide/DOJ/PostawardRequirements/chapter3.10a.htm. OJP policy and guidance:

    1. encourage minimization of conference, meeting, and training costs;
    2. require prior written approval (which may affect project timelines) of most conference, meeting, and training costs for cooperative agreement recipients, as well as some conference, meeting, and training costs for grant recipients; and
    3. set cost limits, which include a general prohibition of all food and beverage costs.

    Costs Associated with Language Assistance (if applicable)

    If an applicant proposes a program or activity that would deliver services or benefits to individuals, the costs of taking reasonable steps to provide meaningful access to those services or benefits for individuals with limited English proficiency may be allowable. Reasonable steps to provide meaningful access to services or benefits may include interpretation or translation services, where appropriate.

    Application Elements and Formatting Instructions

    An applicant should anticipate that if it fails to submit an application that contains all of the specified elements, it may negatively affect the review of its application; and, should a decision be made to make an award, it may result in the inclusion of award conditions that preclude the recipient from accessing or using award funds until the recipient satisfies the conditions and OJP makes the funds available.

    Moreover, an applicant should anticipate that an application that OJP determines is nonresponsive to the scope of the solicitation, or that OJP determines does not include the application elements that must be included in the application submission in order for the application to meet the basic minimum requirements, will neither proceed to peer review, nor receive further consideration.

    OJP strongly recommends that applicants use appropriately descriptive file names (e.g., "Program Narrative," "Budget Detail Worksheet," "Timelines," "Memoranda of Understanding," "Résumés") for all attachments. Also, OJP recommends that applicants include résumés in a single file.

    Please review the "Note on File Names and File Types" under the "How To Apply" section to be sure applications are submitted in permitted formats.

    Complete the Application for Federal Assistance (Standard Form (SF)-424)

    The SF-424 is a required standard form used as a cover sheet for submission of pre-applications, applications, and related information. Grants.gov and the OJP Grants Management System (GMS) take information from the applicant's profile to populate the fields on this form. An applicant with a current, active award must ensure that its GMS profile is current. If the profile is not current, the applicant should submit a Grant Adjustment Notice (GAN) updating the information on its GMS profile prior to applying.

    The Federal Award amount requested on the SF-424 should be for the full period of performance expected for the completion of the proposed project and should match the totals listed within the Budget Summary at the end of the Budget Detail Worksheet.

    NOTES:

    Type of applicant: If the applicant is a for-profit entity, select "For-Profit Organization" or "Small Business" (as applicable).

    Section of SF-424

    Current OJP Award Recipient

    Box 8a (Legal Name)

    Enter the legal business name exactly as it appears on the matching System for Award Management (SAM) record for your organization.

    Box 8b (Employer Identification Number (EIN))

    Enter the EIN exactly as it appears on the matching SAM record for your organization.

    Box 8c (Data Universal Numbering System (DUNS) number

    Enter the entity's active registration DUNS number exactly as it appears on the matching SAM record for your organization.

    Enter the entity's mailing address exactly as it appears on the matching SAM record for your organization.

    Note on Project Evaluations

    An applicant that proposes to use award funds through the solicitation to conduct project evaluations should be aware that certain project evaluations (such as systematic investigations designed to develop or contribute to generalizable knowledge) may constitute "research" for purposes of applicable DOJ human subjects protection regulations. However, project evaluations that are intended only to generate internal improvements to a program or service, or are conducted only to meet OJP's performance measure data reporting requirements, likely do not constitute "research." The applicant should provide sufficient information for OJP to determine whether the particular project it proposes would either intentionally or unintentionally collect and/or use information in such a way that it meets the DOJ definition of research that appears at 28 C.F.R. Part 46 ("Protection of Human Subjects").

    "Research," for purposes of human subjects protection for OJP-funded programs, is defined as "a systematic investigation, including research development, testing and evaluation, designed to develop or contribute to generalizable knowledge." 28 C.F.R. 46.102(d).

    For additional information on determining whether a proposed activity would constitute research for purposes of human subjects protection, applicants should consult the decision tree in the "Research and the protection of human subjects" section of the "Requirements related to Research" webpage of the "Overview of Legal Requirements Generally Applicable to OJP Grants and Cooperative Agreements - FY 2020 Awards," available through the OJP Funding Resource Center. Every prospective applicant whose application may propose a research or statistical component also should review the "Data Privacy and Confidentiality Requirements" section on that webpage.

    Budget Preparation and Submission Information

    All applicants should use the Excel version of OJP's Budget Detail Worksheet when completing the proposed budget in an application, except in cases where the applicant does not have access to Microsoft Excel or experiences technical difficulties. If an applicant does not have access to Microsoft Excel or experiences technical difficulties with the Excel version, then the applicant should use the Adobe Portable Document Format (PDF) version.

    Both versions of the Budget Detail Worksheet can be accessed at https://ojp.gov/funding/Apply/Forms/BudgetDetailWorksheet.htm.

    Detailed Computations and Allowable Costs

    Narrative Justification for Every Cost

    The Budget Detail Worksheet should include a thorough and clear description of every cost listed in the "Narrative" section for each budget category. OJP expects proposed budgets to be complete, cost effective, and allowable (e.g., reasonable, allocable, and necessary for project activities).

    An applicant should demonstrate in the narrative how it will maximize cost effectiveness of award expenditures in particular to justify the proposed costs in relation to potential alternatives to achieving the same project goals. For example, the narrative should detail why planned in-person meetings/trainings are necessary versus webinars or remote meetings.

    Information on Proposed Subawards (if any) and Proposed Procurement Contracts (if any)

    • Subawards under OJP Awards and Procurement Contracts under Awards: A Toolkit for OJP Recipients.
    • Checklist to Determine Subrecipient or Contractor Classification.
    • Sole Source Justification Fact Sheet and Sole Source Review Checklist.

    In general, the central question is the relationship between what the third-party will do under its agreement with the recipient and what the recipient has committed (to OJP) to do under its award to further a public purpose (e.g., services the recipient will provide, products it will develop or modify, research or evaluation it will conduct). If a third party will provide some of the services the recipient has committed (to OJP) to provide, will develop or modify all or part of a product the recipient has committed (to OJP) to develop or modify, or will conduct part of the research or evaluation the recipient has committed (to OJP) to conduct, OJP will consider the agreement with the third-party to be a subaward for purposes of federal grants administrative requirements.

    This will be true even if the recipient, for internal or other non-federal purposes, labels or treats its agreement as a procurement, a contract, or a procurement contract. Neither the title nor the structure of an agreement determines whether the agreement -- for purposes of federal grants administrative requirements -- is a subaward or is instead a procurement contract under an award. The substance of the relationship should be given greater consideration than the form of agreement between the recipient and the outside entity.

    Information on proposed subawards

    1. identify (if known) the proposed subrecipient(s),
    2. describe in detail what each subrecipient will do to carry out the federal award and federal program, and
    3. provide a justification for the subaward(s), with details on pertinent matters such as special qualifications and areas of expertise.

    Pertinent information on subawards should appear not only in the Program Narrative, but also in the Budget Detail Worksheet and Budget Narrative.

    Information on proposed procurement contracts (with specific justification for proposed noncompetitive contracts over $250,000 4 )

    [4] Consistent with the provisions of Office of Management and Budget memorandum, OMB M-18-18, dated June 20, 2018, and entitled, "Implementing Statutory Changes to the Micro-Purchase and the Simplified Acquisition Thresholds for Financial Assistance," DOJ will allow recipients (and any subrecipients) of awards made under the solicitation to use a simplified acquisition threshold of $250,000 and a micro-purchase threshold of $10,000, for federal grants administrative purposes.

    Indirect Cost Rate Agreement (if applicable)

    1. The recipient has a current (unexpired), federally approved indirect cost rate; or
    2. The recipient is eligible to use, and elects to use, the "de minimis" indirect cost rate described in the Part 200 Uniform Requirements, as set out at 2 C.F.R. 200.414(f).

    An applicant with a current (unexpired) federally approved indirect cost rate is to attach a copy of the indirect cost rate agreement to the application. An applicant that does not have a current federally-approved rate may request one through its cognizant federal agency, which will review all documentation and approve a rate for the applicant entity, or, if the applicant's accounting system permits, applicants may propose to allocate costs in the direct cost categories.

    For assistance with identifying the appropriate cognizant federal agency for indirect costs, please contact the Office of the Chief Financial Officer (OCFO) Customer Service Center at 1-800-458-0786 or at [email protected] . If DOJ is the cognizant federal agency, applicants may obtain information needed to submit an indirect cost rate proposal at https://ojp.gov/funding/Apply/Resources/IndirectCosts.pdf.

    Certain OJP recipients have the option of electing to use the "de minimis" indirect cost rate. An applicant that is eligible to use the "de minimis" rate and wishes to use the "de minimis" rate should attach written documentation to the application that advises OJP of both (1) the applicant's eligibility to use the "de minimis" rate, and (2) its election to do so. If an eligible applicant elects the "de minimis" rate, costs must be consistently charged as either indirect or direct costs, but may not be double charged or inconsistently charged as both. The "de minimis" rate may no longer be used once an approved federally negotiated indirect cost rate is in place. (No entity that ever has had a federally approved negotiated indirect cost rate is eligible to use the "de minimis" rate.) For the "de minimis" rate requirements (including information on eligibility to elect to use the rate), see the Part 200 Uniform Requirements, at 2 C.F.R. 200.414(f).

    Tribal Authorizing Resolution (if applicable)

    An application in response to the solicitation may require inclusion of information related to a tribal authorizing resolution. A tribe, tribal organization, or third party that proposes to provide direct services or assistance to residents on tribal lands should include in its application a resolution, letter, affidavit, or other documentation, as appropriate, that demonstrates (as a legal matter) that the applicant has the requisite authorization from the tribe(s) to implement the proposed project on tribal lands. In those instances when an organization or consortium of tribes applies for an award on behalf of a tribe or multiple specific tribes, the application should include appropriate legal documentation, as described above, from all tribes that would receive services or assistance under the award. A consortium of tribes for which existing consortium bylaws allow action without support from all tribes in the consortium (i.e., without an authorizing resolution or comparable legal documentation from each tribal governing body) may submit, instead, a copy of its consortium bylaws with the application.

    Financial Management and System of Internal Controls Questionnaire (including applicant disclosure of high risk status)

    Every OJP applicant (other than an individual applying in his or her personal capacity) is required to download, complete, and submit the OJP Financial Management and System of Internal Controls Questionnaire (Questionnaire) at https://www.ojp.gov/sites/g/files/xyckuh241/files/media/document/FinancialCapability.pdf as part of its application. The Questionnaire helps OJP assess the financial management and internal control systems, and the associated potential risks of an applicant as part of the pre-award risk assessment process.

    The Questionnaire should only be completed by financial staff most familiar with the applicant's systems, policies, and procedures in order to ensure that the correct responses are recorded and submitted to OJP. The responses on the Questionnaire directly impact the pre-award risk assessment and should accurately reflect the applicant's financial management and internal control system at the time of the application. The pre-award risk assessment is only one of multiple factors and criteria used in determining funding. However, a pre-award risk assessment that indicates that an applicant poses a higher risk to OJP may affect the funding decision and/or result in additional reporting requirements, monitoring, special conditions, withholding of award funds, or other additional award requirements.

    Among other things, the form requires each applicant to disclose whether it currently is designated "high risk" by a federal grant-making agency outside of DOJ. For purposes of this disclosure, high risk includes any status under which a federal awarding agency provides additional oversight due to the applicant’s past performance, or other programmatic or financial concerns with the applicant. If an applicant is designated high risk by another federal awarding agency, the applicant must provide the following information:

    • The federal awarding agency that currently designates the applicant high risk
    • The date the applicant was designated high risk
    • The high risk point of contact at that federal awarding agency (name, phone number, and email address)
    • The reasons for the high risk status, as set out by the federal awarding agency

    OJP seeks this information to help ensure appropriate federal oversight of OJP awards. An applicant that is considered "high risk" by another federal awarding agency is not automatically disqualified from receiving an OJP award. OJP may, however, consider the information in award decisions, and may impose additional OJP oversight of any award under the solicitation (including through the conditions that accompany the award document).

    Disclosure of Lobbying Activities

    Each applicant must complete and submit this information. An applicant that expends any funds for lobbying activities is to provide all of the information requested on the form Disclosure of Lobbying Activities (SF-LLL) posted at https://ojp.gov/funding/Apply/Resources/Disclosure.pdf. An applicant that does not expend any funds for lobbying activities is to enter "N/A" in the text boxes for item 10 ("a. Name and Address of Lobbying Registrant" and "b. Individuals Performing Services").

    Application Attachments

    Applicant Disclosure of Pending Applications

    Each applicant is to disclose whether it has (or is proposed as a subrecipient under) any pending applications for federally funded grants or cooperative agreements that (1) include requests for funding to support the same project being proposed in the application under the solicitation, and (2) would cover any identical cost items outlined in the budget submitted to OJP as part of the application under the solicitation. The applicant is to disclose applications made directly to federal awarding agencies, and also applications for subawards of federal funds (e.g., applications to State agencies that will subaward ("subgrant") federal funds).

    OJP seeks this information to help avoid inappropriate duplication of funding. Leveraging multiple funding sources in a complementary manner to implement comprehensive programs or projects is encouraged and is not seen as inappropriate duplication.

    Each applicant that has one or more pending applications as described above is to provide the following information about pending applications submitted within the last 12 months:

    • The federal or State funding agency
    • The solicitation name/project name
    • The point of contact information at the applicable federal or State funding agency

    Federal or State Funding Agency

    Solicitation Name/Project Name

    Name/Phone/Email for Point of Contact at Federal or State Funding Agency

    DOJ/Office of Community Oriented Policing Services (COPS Office)

    COPS Hiring Program

    Health and Human Services/Substance Abuse and Mental Health Services Administration

    Drug-Free Communities Mentoring Program/ North County Youth Mentoring Program

    Each applicant should include the table as a separate attachment to its application. The file should be named "Disclosure of Pending Applications." The applicant's Legal Name on the application must match the entity named on the disclosure of pending applications statement.

    Any applicant that does not have any pending applications as described above is to submit, as a separate attachment, a statement to this effect: "[Applicant Name on SF-424] does not have (and is not proposed as a subrecipient under) any pending applications submitted within the last 12 months for federally funded grants or cooperative agreements (or for subawards under federal grants or cooperative agreements) that request funding to support the same project being proposed in this application to OJP and that would cover any identical cost items outlined in the budget submitted as part of this application."

    Applicant Disclosure and Justification – DOJ High Risk Grantees 5

    An applicant that is designated as a DOJ High Risk Grantee is to submit, as a separate attachment to its application, information that OJP will use, among other pertinent information, to determine whether it will consider or select the application for an award under this solicitation. The file should be named "DOJ High Risk Grantee Applicant Disclosure and Justification." (See, also, Application Review Information, for a brief discussion of how such information may considered in the application review process.)

    OJP constantly seeks to optimize its investments in criminal- and juvenile justice-focused programs and activities, increase program effectiveness, and maximize the return – and program impact – from limited programmatic resources. Therefore, OJP may remove from consideration or not select for award a "DOJ High Risk Grantee" applicant that is determined to pose a substantial risk of program implementation failure. In making such determinations, OJP will consider one or more of the following factors: the applicant's lack of sufficient progress in addressing required corrective actions necessary for removal of the DOJ High Risk Grantee designation; the nature and severity of the issues leading to or accompanying the applicant's DOJ High Risk Grantee designation; or the applicant's expected ability to manage grant funds and achieve grant goals and objectives.

    In this attachment, the applicant is to provide any additional information or justification – especially with regard to corrective actions yet to be implemented (as of the application date) – that may help demonstrate how the applicant has addressed or otherwise mitigated such uncorrected matters, such that any negative impact on the proposed program and its implementation would be immaterial or would be significantly reduced or eliminated. (To the extent that the applicant believes that any of the information provided pursuant to this disclosure may be confidential in nature, the applicant should specifically identify it.)

    [5] A "DOJ High Risk Grantee" is a recipient that has received a DOJ High-Risk designation based on a documented history of unsatisfactory performance, financial instability, management system or other internal control deficiencies, or noncompliance with award terms and conditions on prior awards, or that is otherwise not responsible.

    Research and Evaluation Independence and Integrity

    If an application proposes research (including research and development) and/or evaluation, the applicant must demonstrate research/evaluation independence and integrity, including appropriate safeguards, before it may receive award funds. The applicant must demonstrate independence and integrity regarding both the research and/or evaluation project proposed in response to the solicitation, and any current or prior related projects.

    Each application that proposes research and/or evaluation should include an attachment that addresses both i. and ii. below.

    1. The applicant is to document research and evaluation independence and integrity by including one of the following two items:
       1. A specific assurance that the applicant has reviewed its application to identify any actual or potential apparent conflicts of interest (including through review of pertinent information on the principal investigator, any co-principal investigators, and any subrecipients), and that the applicant has identified no such conflicts of interest — whether personal or financial or organizational (including on the part of the applicant entity or on the part of staff, investigators, or subrecipients) — that could affect the independence or integrity of the research, including the design, conduct, and reporting of the research. OR
       2. A specific description of actual or potential apparent conflicts of interest that the applicant has identified — including through review of pertinent information on the principal investigator, any co-principal investigators, and any subrecipients — that could affect the independence or integrity of the research, including the design, conduct, or reporting of the research. These conflicts may be personal (e.g., on the part of investigators or other staff), financial, or organizational (related to the applicant or any subrecipient entity). Some examples of potential investigator (or other personal) conflict situations are those in which an investigator would be in a position to evaluate a spouse's work product (actual conflict), or an investigator would be in a position to evaluate the work of a former or current colleague (potential apparent conflict). With regard to potential organizational conflicts of interest, as one example, generally an organization would not be given an award to evaluate a project, if that organization had itself provided substantial prior technical assistance to that specific project or a location implementing the project (whether funded by OJP or other sources), because the organization in such an instance might appear to be evaluating the effectiveness of its own prior work. The key is whether a reasonable person understanding all of the facts would be able to have confidence that the results of any research or evaluation project are objective and reliable. Any outside personal or financial interest that casts doubt on that objectivity and reliability of an evaluation or research product is a problem and must be disclosed.
          

       Disclosure of Process Related to Executive Compensation

       An applicant that is a nonprofit organization may be required to make certain disclosures relating to the processes it uses to determine the compensation of its officers, directors, trustees, and key employees.

       Under certain circumstances, a nonprofit organization that provides unreasonably high compensation to certain persons may subject both the organization's managers and those who receive the compensation to additional federal taxes. A rebuttable presumption of the reasonableness of a nonprofit organization's compensation arrangements, however, may be available if the nonprofit organization satisfied certain rules set out in Internal Revenue Service (IRS) regulations with regard to its compensation decisions.

       Each applicant nonprofit organization must state at the time of its application (question 9c in the "OJP Financial Management and System of Internal Controls Questionnaire" located at https://www.ojp.gov/sites/g/files/xyckuh241/files/media/document/FinancialCapability.pdf and mentioned earlier) whether or not the applicant entity believes (or asserts) that it currently satisfies the requirements of 26 C.F.R. 53.4958-6 (which relate to establishing or invoking a rebuttable presumption of reasonableness of compensation of certain individuals and entities).

       A nonprofit organization that states in the questionnaire that it believes (or asserts) that it has satisfied the requirements of 26 C.F.R. 53.4958-6 must then disclose, in an attachment to its application (to be titled "Disclosure of Process Related to Executive Compensation"), the process used by the applicant nonprofit organization to determine the compensation of its officers, directors, trustees, and key employees (together, "covered persons").

       At a minimum, the disclosure must describe in pertinent detail: (1) the composition of the body that reviews and approves compensation arrangements for covered persons; (2) the methods and practices used by the applicant nonprofit organization to ensure that no individual with a conflict of interest participates as a member of the body that reviews and approves a compensation arrangement for a covered person; (3) the appropriate data as to comparability of compensation that is obtained in advance and relied upon by the body that reviews and approves compensation arrangements for covered persons; and (4) the written or electronic records that the applicant organization maintains as concurrent documentation of the decisions with respect to compensation of covered persons made by the body that reviews and approves such compensation arrangements, including records of deliberations and of the basis for decisions.

       For purposes of the required disclosure, the following terms and phrases have the meanings set out by the IRS for use in connection with 26 C.F.R. 53.4958-6: officers, directors, trustees, key employees, compensation, conflict of interest, appropriate data as to comparability, adequate documentation, and concurrent documentation.

       Applicant nonprofit organizations should note that following receipt of an appropriate request, OJP may be authorized or required by law to make information submitted to satisfy this requirement available for public inspection. Also, a recipient may be required to make a prompt supplemental disclosure after the award in certain circumstances (e.g., changes in the way the organization determines compensation).

       How To Apply (Grants.gov)

       Applicants must obtain a Data Universal Number System (DUNS) Number and register online with the System for Award Management (SAM) and then 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 https://www.grants.gov/web/grants/support.html. An applicant that experiences technical difficulties during this process should call the Grants.gov Customer Support Hotline at 800-518-4726 or 606-545-5035, which operates 24 hours a day, 7 days a week, except on federal holidays.

       Registering with Grants.gov is a one-time process; however, processing delays may occur, and it can take several weeks for first-time registrants to receive confirmation of registration and a user password. OJP encourages applicants to register several weeks before the application submission deadline. In addition, OJP urges applicants to submit applications at least 72 hours prior to the application due date, in order to allow time for the applicant to receive validation messages or rejection notifications from Grants.gov, and to correct in a timely fashion any problems that may have caused a rejection notification.

       OJP strongly encourages all prospective applicants to sign up for Grants.gov email notifications regarding the solicitation(s) of interest at https://www.grants.gov/web/grants/manage-subscriptions.html. If the solicitation is cancelled or modified, individuals who sign up with Grants.gov for updates will be automatically notified. All applicants are required to complete the following steps:

       Unique Entity Identifier (DUNS Number) and SAM

       Every applicant entity must comply with all applicable SAM and unique entity identifier (currently, a DUNS number) requirements. SAM is the repository for certain standard information about federal financial assistance applicants, recipients, and subrecipients. A DUNS number is a unique nine-digit identification number provided by the commercial company Dun and Bradstreet. More detailed information about SAM and the DUNS number is in the numbered sections below.

       If an applicant entity has not fully complied with the applicable SAM and unique identifier requirements by the time OJP makes award decisions, OJP may determine that the applicant is not qualified to receive an award and may use that determination as a basis for making the award to a different applicant.

       Applying as an Individual (if applicable)

       (This information is only applicable if an individual is eligible to apply under the solicitation.)

       An individual who wishes to apply in his/her personal capacity should search Grants.gov for funding opportunities for which individuals are eligible to apply. Use the Funding Opportunity Number (FON) to register. (An applicant applying as an individual must comply with all applicable Grants.gov individual registration requirements.)

       Enter the FON at https://apply07.grants.gov/apply/IndCPRegister to complete the registration form and create a username and password for Grants.gov. (An applicant applying as an individual should complete all steps below except 1, 2 and 4.)

       Registration and Submission Steps (Grants.gov)

       1. Acquire a unique entity identifier (currently, a DUNS number). The Office of Management and Budget requires every applicant for a federal award (other than an individual) to include a "unique entity identifier" in each application, including an application for a supplemental award. Currently, a DUNS number is the required unique entity identifier. This unique entity identifier is used for tracking purposes, and to validate address and point of contact information for applicants, recipients, and subrecipients. It will be used throughout the life cycle of an OJP award. Obtaining a DUNS number is a free, one-time activity. Call Dun and Bradstreet at 866-705-5711 to obtain a DUNS number or apply online at https://www.dnb.com/. A DUNS number is usually received within 2 business days.
       2. Register or maintain registration with SAM. Access https://www.sam.gov and complete the online registration process. It will take an estimated 45 minutes to complete registration if the applicant has all necessary information on hand, depending on the size and complexity of the organization. If the applicant already has an Employer Identification Number (EIN), the SAM registration will take up to 2 weeks to become active. If the applicant does not have an EIN, then the applicant should allow 2 to 5 weeks for obtaining an EIN from the Internal Revenue Service. If the entity does not have an EIN, then the applicant should allow two to five weeks for obtaining the information from the Internal Revenue Service when requesting the EIN via phone, fax, mail or Internet. For more information about EIN, visit https://www.irs.gov/individuals/international-taxpayers/taxpayer-identification-numbers-tin. There is no fee associated with these processes. Additionally, these processes cannot be expedited. Once the SAM registration is active, the applicant will be able to complete the Grants.gov registration. The information transfer from SAM to Grants.gov can take as long as 48 hours. Therefore, OJP recommends that the applicant register or renew registration with SAM as early as possible. Within 60 days of the SAM registration activation, any applicant for an OJP award creating a new entity registration (or updating or renewing a registration) in SAM.gov must submit an original, signed notarized letter to SAM appointing the authorized Entity Administrator. Notarized letters must be submitted via U.S. Postal Service Mail. Failure to submit the notarized letter within 60 days of SAM registration activation may result in the registration no longer being active. Organizations must update or renew their SAM registration at least once a year to maintain an active status.
       3. Acquire an Authorized Organization Representative (AOR) and a Grants.gov username and password. Complete the AOR profile on Grants.gov and create a username and password. An applicant entity's "unique entity identifier" (DUNS number) must be used to complete this step. For more information about the registration process for organizations and other entities, go to https://www.grants.gov/web/grants/applicants/organization-registration.html. Individuals registering with Grants.gov should go to https://www.grants.gov/web/grants/applicants/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. Search using the Catalog of Federal Domestic Assistance (CFDA) number and Assistance Listing title and the funding opportunity number from the solicitation.
       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. If the solicitation does not have multiple competition IDs, skip this step.
       7. Access Funding Opportunity and Application Package from Grants.gov. Select "Apply for Grants" under the "Applicants" column. Enter your email address to be notified of any changes to the opportunity package before the closing date. Click the Workspace icon to use Grants.gov Workspace.
       8. Submit a valid application consistent with the solicitation by following the directions in Grants.gov. To preview the application prior to (or after) submitting, go to the View Application tab in Workspace. For additional information, review the View Application Tab help article and Attachments Tab help article. Within 48 hours after submitting the electronic application, the applicant should receive two notifications from Grants.gov. The first will confirm the receipt of the application. The second will state whether the application has been validated and successfully submitted, or whether it has been rejected due to errors, with an explanation. It is possible to first receive a message indicating that the application is received, and then receive a rejection notice a few minutes or hours later. Submitting an application well ahead of the deadline provides time to correct the problem(s) that caused the rejection. Important: OJP urges each applicant to submit its application at least 72 hours prior to the application due date, to allow time to receive validation messages or rejection notifications from Grants.gov, and to correct in a timely fashion any problems that may have caused a rejection notification. Verify the application deadline (date and time) in the solicitation.

       Go to https://www.grants.gov/web/grants/applicants/organization-registration.html for further details on DUNS numbers, SAM, and Grants.gov registration steps and timeframes.

       Browser Information: Grants.gov was built to be compatible with Internet Explorer. For technical assistance with Google Chrome, or another browser, contact Grants.gov Customer Support.

       Note on Attachments: Grants.gov has two categories of files for attachments: "mandatory" and "optional." OJP receives all files attached in both categories. Attachments should be labeled to describe the file being attached (e.g., Project Narrative, Budget Narrative, Other). Ensure that all required documents are attached in the correct Grants.gov category and are labeled correctly. Do not embed "mandatory" attachments within another file.

       An applicant must use the Add Attachment button to attach a file to its application. Do not click the paperclip icon to attach files. This action will not attach the files to the application. After adding an attachment, select the View Attachment button to confirm you attached the correct file. To remove the file, select the Delete Attachment button.

       An application can be checked for errors via the Check Application button on the Forms tab of the Manage Workspace page. The button is active if the set of forms in the workspace matches those required in the application package. If you receive a Cross-Form Errors message after clicking the Check Application button, refer to the Cross-Form Errors help article for more detailed information about this validation error.

       Note on File Names and File Types: Grants.gov only permits the use of certain specific characters in the file names of attachments. Valid file names may include only the characters shown in the table below. Grants.gov rejects any application that includes an attachment(s) with a file name that contains any characters not shown in the table below. Grants.gov forwards successfully submitted applications to the OJP Grants Management System (GMS).

       Characters

       Special Characters