Solicitation for Research and Evaluation on Violence Against Women.

Series: NIJ Solicitation
Published: April 1997
21 pages
50,778 bytes

Solicitation for Research and Evaluation 
on Violence Against Women

---------------------------------

Applicants may also be interested in the
Solicitation for Evaluation of Arrest Policies
Program Under the Violence Against Women Act which
has a proposal date of June 12, 1997. Copies of the
solicitation are available electronically from the
National Criminal Justice Reference Service home
page (http://www.ncjrs.org), or in paper form from
the Response Center at 800-421-6770.

-----------------------------

I. Introduction

This request for proposals announces a third year
of evaluation and research support on the Violence
Against Women Act (Title IV) of the Violent Crime
Control and Law Enforcement Act of 1994 and related
issues. It continues to be responsive to both the
Congressional and public demand for accountability
and the need to develop a knowledge base that
examines policy and programmatic experience and
recommends improvements to them. This third year
will support approximately $1,300,000 in projects
that will provide for practitioner-researcher
partnerships, and support other specified research
and evaluation projects that contribute directly to
effectively implementing the Act and assisting
states achieve the goals and objectives they have
established under the Violence Against Women Act.

II. Background 

Title IV of the Violent Crime Control and Law
Enforcement Act of 1994 is the Violence Against
Women Act. The Act responds to the needs of
millions of women who are the victims of violence
each year. It also responds to the need for
fundamental changes in addressing violence against
women, and it responds to the special needs of
women in minority and Native American communities
who are violently victimized. 

The VAW Act addresses these needs through a variety
of provisions, including: a grant program to
strengthen law enforcement, prosecution, and victim
services in cases involving violent crimes against
women; grants to prevent crime in public
transportation and parks; education and prevention
grants to reduce sexual assaults against women; a
national domestic violence hotline which opened in
February 1996; penalties under federal law for sex
crimes; and a variety of other provisions and
studies directed toward reducing violence against
women and improving responses to women who are
victims of violent crime.

Law Enforcement and Prosecution Grants Under the
VAWA: "STOP Grants" 

Chapter 2 under Subtitle A of the VAW Act provides
support to the States and Indian tribal governments
for criminal justice responses and victim
assistance efforts. The program is referred to as
the STOP Violence Against Women Program. It
provided $26 million in FY95, $130 million in FY96,
and $145 million in FY97 for law enforcement,
prosecution and victim services efforts aimed at
reducing violence against women. Three additional
years of support are anticipated under the Act.
These VAW formula grants are intended to lay the
foundation for on-going interventions that promote
and increase an effective criminal justice system
response to violence against women, and also
increase the range of services for the victims of
such violence.

Under the program, each state is eligible to apply
for a base amount plus additional population based
funds each year. States submit a plan and must
allocate 25% of the funds to law enforcement, 25%
to prosecution, and 25% to victim services. The
remaining 25% may be allocated at the State's
discretion within the parameters of the Act. Seven
major purpose areas are cited in the Act and
special emphasis is placed on underserved
populations and Indian tribal governments.
Guidelines for the program are available from the
National Criminal Justice Reference Service at 800
851-3420 or 301 251-5500.

National Institute of Justice Research and
Evaluation on Violence Against Women 

Prior to the VAWA, NIJ had supported research on
spouse assault, child abuse, and sexual assault for
many years. Family and intimate violence research
and evaluation, particularly as it concerns the
justice system, is now a major program area at NIJ
that has been significantly enhanced by the VAWA.

The VAWA brought responsibility for a number of
Congressionally mandated studies to NIJ. Among them
are a research agenda on violence against women, a
study of domestic and sexual violence data
collection, a project on public access to
information on the location of domestic violence
victims, and a study of the validity and use of
evidence concerning battering and its effects in
criminal trials.
 
Over the years of the STOP program, NIJ has
announced a research and evaluation program
conducted in conjunction with the program efforts.
This research and evaluation program is supported
with funding transferred to NIJ from the Office of
Justice Program's Violence Against Women Grants
Office.

The fiscal year 1995 solicitation followed a March
1995 Strategic Planning Workshop which included
researchers, practitioners and other agency policy
makers. The 1995 solicitation encouraged proposals
in three major areas. Part I addressed the need for
a national evaluation of Subtitle A, Chapter 2
programs supported under the VAWA.  One national
level evaluation grant was awarded. Part II
encouraged program evaluations at the State, local
or tribal government level, and Part III of the
solicitation sought proposals to evaluate other
State or local efforts to counter violence against
women and research that addressed significant
policies and issues for improving responses to
violence against women. Projects supported
included: 1) a study of the experiences and needs
of former stalking victims, 2) an evaluation of
Alexandria's coordinated response to domestic
violence, 3) a study of successful prosecution
strategies in domestic violence, 4) a national
sample survey on the extent and nature of sexual
victimization of college women, and 5) a study of
models of community coordination in response to
partner violence. Most of these projects will
conclude this year.

The fiscal year 1996 solicitation encouraged
proposals in two major areas. Part I, which was
allocated the major portion of funds, addressed the
conduct of impact evaluations on the purpose areas
of the STOP Grants. Part II encouraged other
evaluations and related research on violence
against women. Four purpose area grants and a
supplemental grant to the National Evaluation were
awarded. In addition three grants were awarded from
the proposals received under Part II of the
solicitation. These included: 1) an experimental
study on court mandated counseling for domestic
violence offenders, 2) a study of alcohol abuse and
domestic violence, and 3) a study of the factors
influencing judicial and prosecutorial decision
making in domestic violence cases and factors that
influence victim reluctance in bringing batterers
to successful adjudication. 
 
Over the course of the STOP Program, these research
and evaluation projects along with NIJ's ongoing
related family and intimate violence research
program will enhance national, state and local
interventions with an improved understanding of the
problem, the issues, and effective strategies for
addressing violence against women. The following
fiscal year 1997 solicitation is intended to fill
some of the remaining research gaps, to increase
involvement of practitioners in the research and
evaluation on violence against women, and to
enhance the VAWA program's concern for policy
relevant research and evaluation. 

III. Areas of Research Solicited

The following two sections solicit research and
evaluation proposals in specific areas.
Approximately $1,300,000 will be available to
support eight to ten projects. Applications are
encouraged both as small grants (up to $50,000) and
as larger efforts.

Applicants should be familiar with the VAW Act, the
current NIJ program on Violence Against Women, and
related research and evaluation. Through this
solicitation, projects can be jointly supported by
NIJ and other interested agencies if applicants
have obtained or applied to other interested
governmental or non-governmental funders.

A. Practitioner-Researcher Partnerships

Over the years NIJ has supported research that has
been useful in modifying practice and formulating
policy. Much of this research was done in
cooperation with criminal justice and social
service agencies. The domestic violence and sexual
assault areas were among those that have benefited
from such cooperative arrangements which often
involved a researcher gaining access to evaluate a
program or analyze agency data. This solicitation
however, goes beyond many of the past cooperative
arrangements and encourages the formation of close
working partnerships among researchers and at least
two key practitioners groups relevant to the
reduction of violence against women.

These partnerships may be newly formed in response
to this solicitation or they may build on an
existing relationship between researchers and
practitioners. The applicant may be either the
practitioner agency or the research agency or
academic institution. Applications from
jurisdictions of all sizes are encouraged.

NIJ recognizes that in order for domestic violence
and sexual assault service providers, police,
prosecutors, and the judiciary to continue the
development of their professions they need sound
research and program evaluations. The Violence
Against Women Act speaks to the need for
coordinated community responses to these problems.
Therefore this solicitation encourages
practitioners to form close partnerships with
researchers that will advance the growth of policy
and practice that addresses violence against women.

The ultimate goal is to engage practitioners and
researchers in a process of collaboration directed
toward grappling with issues around program efforts
to reduce violence against women. The collaboration
is to benefit all parties to the partnerships
during and beyond the Federal funding period. The
partnerships should help justice system
practitioners and victim service providers develop
a capacity to produce measurable indicators of how
well they are achieving their program goals. True
partnerships, therefore, should provide
practitioners with policy relevant research and
program evaluations in which they have played a
major participative role. The partnerships should
also afford researchers better means and
opportunities to contribute, through their direct
partnerships with practitioners, to the growing
body of knowledge that can be used to effectively
address violence against women. 

What has been learned by similar collaborations in
the policing area is that a number of factors are
critical to successful practitioner-researcher
partnerships. These include a shared vision, a
problem solving orientation, a clear definition of
roles and responsibilities, effective
communication, continuity of personnel, and an
approach in which all of the partners benefit.
Applicants should consider these factors in
developing their proposals. 

A wide range of partnership structures may be
supported under this solicitation. For example, a
partnership may consist of a local prosecutor,
judge, victim service provider, and researcher;
another may involve a researcher working directly
with a local or state domestic violence coalition;
or local victim service and shelter providers may
partner with police and researchers. Research
partnerships may also include other relevant local
or state government agencies or private service
providers. A critical element of the application is
that it reflect a genuine collaboration regardless
of who may have initiated the effort, and a focus
on helping practitioners develop measurable
indicators of the success of their programs and
strategies. The application must clearly
demonstrate a commitment to the partnership on the
part of all parties involved.

As the partners initiate a collaboration in the
development of a proposal, they should consider the
spirit and intent of the VAWA in deciding on
specific issues to be addressed. Priority will be
given to collaborations that focus on VAWA
initiated policies and programs. A particular
population may be addressed - victims of domestic
violence, victims of sexual assault, rural women,
Native American women, minority women, elderly or
homeless women - or a particular policy, practice
or issue relating to violence against women may
provide the focus for the partnership, such as the
impact of prosecution on recidivism in domestic
violence cases.

Funding under this section is intended to support
the establishment of the partnerships, the
collaborative development of a policy relevant
research agenda, the development of measurable
indicators of program accomplishments, and the
completion of at least one collaborative research
project. The application must include a task
outline that includes a schedule for the completion
of the key tasks over the course of the project. 

While the project may include one or more initial
short term questions or issues to be addressed
through the partnership, the completion of a
specific research or evaluation effort is required.
Documentation of the development of the partnership
is critical, therefore the application must include
a plan to create a system to record the
establishment, development, and achievements of the
research collaboration. Partnerships of up to 18
months in duration are encouraged. It is
anticipated that three to five partnerships will be
supported.

B. Research Issues of Priority Interest

In addition to encouraging proposals on researcher-
practitioner partnerships this solicitation seeks
proposals on the following issues. Applicants are
strongly encouraged to include victim advocate and
criminal justice representation in the conduct of
their project. 

Evaluation of State Antistalking Efforts and
Legislation. Proposals are encouraged that would
address the effectiveness of State antistalking
efforts and legislation. Applicants may propose a
one to two year project that assesses both State
antistalking legislation and other antistalking
efforts. Applicants should provide a clear
discussion of how they would operationalize
"effectiveness." Results would be incorporated into
reports that are prepared for Congress.

To assist states in their efforts to respond to
stalking, Congress in 1992 directed NIJ to develop
model antistalking legislation that would be both
constitutional and enforceable. Information on the
code and related material can be found in the NIJ
publication "Domestic Violence, Stalking, and
Antistalking Legislation" dated April 1996.
Interested applicants can contact the National
Criminal Justice Reference Service for further
information on this report.

Welfare Reform and Domestic Violence. Recent
changes in Federal welfare requirements may have
implications for women who are victims of domestic
violence. Research is encouraged that would inform
welfare policy, either welfare-to-work or child
support enforcement, with a focus on the safety and
protection of women and children who may be victims
of domestic violence. One approach to study this
issue would involve cross jurisdictional
comparisons of several states that have considered
these issues in the formulation of their programs
and in collaboration with community domestic
violence, law enforcement and court resources.

Victim Advocacy.  It has been suggested that legal
advocacy to victims, and their friends and
families, in understanding and navigating the
justice system is important to the victims' ongoing
participation in the criminal justice system. The
extent to which such advocacy is effective in
carrying the case to final adjudication, and in
improving the safety of the victim, has not been
studied, thus research proposals on this issue are
encouraged. 

Other types of advocacy that could be evaluated
under this section include advocacy within the
police department to inform victims of possible
outcomes when they seek to drop charges, other
counseling, safety planning, emergency shelter, and
civil legal advocacy. Evaluative projects in all
areas of advocacy should consider the ways in which
the particular advocacy service provided impacts
and relates to the criminal justice system, and how
case outcomes compare to those not afforded the
advocacy.

Media Campaigns.  Comprehensive, coordinated
programs aimed at reducing violence against women
have been encouraged and described but little
attention has been given to the role of media as a
partner in an integrated community-wide program.
Descriptive and evaluative projects are sought that
would examine the role of media as a key
participant in communicating a community's shared
vision in addressing violence against women.

Measuring Program Effectiveness. The need for
innovation in developing ways for practitioners and
policymakers to know whether their programs and
strategies are achieving the goals they have set is
acknowledged. This will require a new emphasis on
measurable indicators that can be tracked by
practitioners themselves over time, on qualitative
measures, on culturally sensitive measures, and on
the development of indicators using different
levels of data. Outcome measures that go beyond
reoffending need to be considered and utilized. New
outcome measures could address stress, economic
independence, quality of life, and offending with a
new partner. The use of data from a variety of
systems (criminal justice, social service, public
health) is encouraged, as is the development of
indicators of outcome that can be built into
ongoing program record keeping and information
systems. Projects may involve experimental designs,
case studies, ethnography, victim and practitioner
focus groups and surveys, the use of anecdotal
data, data on secondary consequences, and other
relevant approaches. 

Dissemination. NIJ is also interested in
expeditious and innovative methods to disseminate
the results of policy studies, evaluations and
research, that would supplement the more
traditional dissemination approaches. This would
include methods to make the results available at
the local level in policy discussions and program
improvement. Results of projects are expected to be
reported to NIJ and the Office of Justice Programs
as they become available. This will facilitate the
dissemination of findings and innovations.
Applicants should provide a discussion of the types
of results or products that would become available
over the course of the project. 

Administrative Guidelines 

In this section applicants will find
recommendations to grant writers, requirements for
grant recipients, general application information,
and application deadlines.

Application Information

Please see "Requirements for Award Recipients"
below for general application and eligibility
requirements and selection criteria. Proposals not
conforming to these application procedures will not
be considered.

Award amount. Approximately $1,300,000 to support
up to ten grants will be made available under this
NIJ solicitation.

Due date. Ten (10) copies of fully executed
proposals should be sent to:

Solicitation for Research and Evaluation on
Violence Against Women National Institute of
Justice
633 Indiana Avenue N.W., Room 303
Washington, DC 20531

Deadlines: Completed proposals must be received at
the National Institute of Justice by the close of
business on June 25, 1997. Extensions of this
deadline will not be permitted. Proposals must be
complete; additions at a later date will not be
accepted.

The author(s) of the proposal should be clearly
identified. Proposals that are incorrectly
collated, incomplete, or handwritten will be judged
as submitted or, at NIJ's discretion, will be
returned without a deadline extension. No additions
to the original submission are allowed. Pages over
the page limit will not be read. The Institute
suggests that applicants make certain that they
address the questions, issues, and requirements set
forth below when preparing an application. 

Contact. Applicants are encouraged to contact the
U.S. Department of Justice Response Center to
obtain information on application requirements for
this solicitation as well as copies of the Arrest
Policies Program application kit. The Response
Center can be reached at 800-421-6770, in the
Washington, D.C., area at 202-307-1480, and by fax
at 202-616-9249.

Recommendations to Grant Writers

Over the past 5 years, Institute staff have
reviewed approximately thousands of grant
applications. On the basis of those reviews and
inquiries from applicants, the Institute offers the
following recommendations to help potential
applicants present workable, understandable
proposals.

1. What technical materials are required to be
included in the application? 

o A one-page abstract of the full proposal,
highlighting the project's purpose,  methods,
activities, and when known, the location(s) of
field research. 

o A program narrative, which is the technical
portion of the proposal. It should include a clear,
concise statement of the problem, goals, and
objectives of the project and related questions to
be explored. A discussion of the relationship of
the proposed work to the existing research
literature is expected.

o A list of key personnel, as well as key positions
that have yet to be filled.

o A statement of the project's anticipated
contribution to criminal justice policy and
practice. It is important that applicants briefly
cite those particular issues and concerns of
present-day criminal justice policy that stimulate
the proposed line of inquiry and suggest what their
own investigation would contribute to current
knowledge.

o A detailed statement of the proposed research or
study design and analytical methodologies. The
proposed data sources, data collection strategies,
variables and issues to be examined, and procedures
of analysis to be employed should be delineated
carefully and completely. When appropriate,
experimental designs are encouraged because of
their potential relevance to policymaking and the
strength of the evidence they can produce.

o A Certificate of Confidentiality, if one is
necessary under 28 CFR part 22.

o The organization and management plan to conduct
the study. A list of major milestones of events,
activities, and products and a timetable for
completion that indicates the time commitments to
individual project tasks should be included. All
grant activities, including writing of the final
report, should be completed within the duration of
the award period.

o A plan to disseminate the results of the
research, evaluation, technology, or demonstration
beyond the jurisdictions and individuals directly
affected by the project. The plan should identify
the specific methods that will be used to inform
the field about the project such as the publication
of journal articles or the distribution of key
materials. Expectations regarding products are
discussed more fully in the following section,
"Requirements for Award Recipients." Applicants
must concisely describe the interim and final
products and address each product's purpose,
audience, and usefulness to the field. This
discussion should identify the principal criminal
justice constituency or type of agency for which
each product is intended and describe how the
constituent group or agency would be expected to
use the product or report. In addition, a schedule
of delivery dates of all products should be
delineated. 

o The key personnel's curriculum vitae should
summarize education, research experience, and
bibliographic information related to the proposed
work.

o A detailed statement identifying all machine
readable and non-machine readable databases which
will be developed as part of the proposed project.
This statement should also identify any anticipated
problems associated with the archiving of this
data.

o Past Performance.  In an Appendix to the
proposal, applicants must list their prior and
current funded grants with NIJ, and for each grant
must indicate the status of the grant, and where
appropriate, the products that resulted (final
report, specific NIJ publications, other
publications, etc.).

2. What is the page order? The requisite page order
is given below. Omission of sections can result in
rejection of the application:

1. SF 424. A copy of Standard Form (SF) 424.
Application for Federal Assistance, plus
instructions, appears in the back of this document.
Please follow the instructions carefully and
include all parts and pages. In addition to SF 424,
recent requirements involve certification regarding
(1) lobbying; (2) debarment, suspension, and other
responsibility matters; and (3) drug-free workplace
requirements. The certification form should be
signed by the appropriate official and included in
the grant application.

2. Names and affiliations of all key persons from
applicant and subcontractor(s), advisors,
consultants, and Advisory Board members. Include
the name of the Principal Investigator, title,
organizational affiliation (if any), department (if
institution of higher education), address, phone,
and fax.

 3. Abstract.

 4. Table of Contents.

 5. Budget narrative.

 6. Assurances and Certifications, etc.

 7. Negotiated rate agreement.

 8. Program narrative.

 9. References.

 10. Resum‚s of key personnel.
 
3. Is there a page limit? (a) Grants greater than
$50,000: The Institute has established a limit of
30 double-spaced pages (with font size not smaller
than 12 points) for all normal grant applications.
This page limit does not include references, budget
narrative, curriculum vitae, or necessary
appendices. (b) Applications for small grants (less
than $50,000): are limited to 15 double-spaced
pages. Proposals failing to conform to these page
and font limitations will not be accepted.

4. What are the specific costs involved? The budget
application should be presented clearly. Major
budget categories such as personnel, benefits,
travel, supplies, equipment, and indirect costs
should be identified separately. The components of
"Other" or "Miscellaneous" items should be
specified in the application budget narrative and
should not include set-asides for undefined
contingencies. Grant funds may be used to purchase
or lease equipment essential to accomplishing the
objectives of the project. The budget narrative
must list such equipment and explain why the
equipment is necessary. Funds may not be used for
operating programs, augmenting program staff time,
writing texts or handbooks, training, or writing
proposals.

5. How much detail should be included in the budget
narrative? The budget narrative should list all
planned expenditures and detail the salaries,
materials, and cost assumptions used to estimate
project costs for the full period of the proposed
project. Worksheets and sample budgets are included
in the application package. The narrative and cost
estimates should be presented under the following
standard budget categories: personnel, fringe
benefits, travel, equipment, supplies, contracts,
other, and indirect costs. For multiyear projects,
applicants must include the full amount of NIJ
funding for the entire life of the project. This
amount should be reflected in item 15g on Form 424
and line 6k on 424A. When appropriate, grant
applications should include justification of
consultants and a full explanation of daily rates
for any consultants proposed. To avoid common
shortcomings of application budget narratives,
include the following information:  
 
o Personnel estimates that accurately provide the
amount of time to be spent by personnel involved
with the project and the total associated costs,
including current salaries for the designated
personnel (e.g., Project Director, 50 percent of 1
year's annual salary of $50,000 = $25,000). If
salary costs are computed using an hourly or daily
rate, the annual salary and number of hours or days
in a work year should be shown.

o Estimates for supplies and expenses supported by
a complete description of the supplies to be used,
nature and extent of printing to be done,
anticipated telephone charges, and other common
expenditures, with the basis for computing the
estimates included (e.g., 100 reports x 75 pages
each x $0.05/page = $375.00). Supply and expense
estimates offered simply as "based on experience"
are not sufficient.

6. What travel regulations apply to the budget
estimates? Transportation costs and per diem rates
must comply with the policies of the applicant
organization, and a copy of the applicant's travel
policy should be submitted as an appendix to the
application. If the applicant does not have a
travel policy established in writing, then travel
rates must be consistent with those established by
the Federal Government. The budget narrative should
state which regulations are in force for the
project and should include the estimated fare, the
number of persons traveling, the number of trips to
be taken, and the length of stay. The estimated
costs of travel, lodging, ground transportation,
and other subsistence should be listed separately.
When combined, the subtotals for these categories
should equal the estimate listed on the budget
form.

7. To what extent may indirect costs be included in
the budget estimates? It is the policy of the
Institute that all costs should be budgeted
directly; however, if an applicant has an indirect
cost rate that has been approved by a Federal
agency within the past 2 years, an indirect cost
recovery estimate may be included in the budget. A
copy of the approved rate agreement should be
submitted as an appendix to the application. If an
applicant does not have an approved rate agreement,
the applicant should contact the Office of the
Comptroller, Office of Justice Programs, (202) 307-
0623, to obtain information about preparing an
indirect cost rate proposal.

8. What, if any, matching funds are required? Units
of State and local governments (not including
publicly supported institutions of higher
education) are encouraged to contribute a match
(cash, noncash, or both) of requested funds. Other
applicants also are encouraged to seek matching
contributions from other Federal agencies or
private foundations to assist in meeting the costs
of the project. 

9. Should other funding sources be listed?
Applicants are expected to identify all other
Federal, local, or private sources of support,
including other NIJ programs, to which this or a
closely related proposal has been or will be
submitted. This information permits NIJ to consider
the joint funding potential and limits the
possibility of inadvertent duplicate funding.
Applicants may submit more than one proposal to
NIJ, but the same proposal cannot be submitted in
more than one program area.

10. What does the review process entail? After all
applications for a competition are received, NIJ
will convene a series of peer review panels of
researchers and criminal justice professionals.
Panel members read each proposal and meet to assess
the technical merits and policy relevance of the
proposed research. Panel assessments of the
proposals, together with assessments by NIJ staff,
are submitted to the Director, who has sole and
final authority over approval and awards. The
review normally takes 60 to 90 days, depending on
the number of applications received. Each applicant
receives written comments from the peer review
panel concerning the strengths and weaknesses of
the proposal. These comments may include
suggestions for how a revised or subsequent
application to NIJ might be improved. 

11. What are the criteria for an award? The
essential question asked of each applicant is, "If
this study were successful, how would useful
knowledge about criminal justice policies or
operations be improved?" Four criteria are applied
in the evaluation process: 

o Impact of the proposed project. 

o Feasibility of the approach to the issue,
including technical merit and practical
considerations.

o Originality of the approach, including creativity
of the proposal and capability of the research
staff.

o Economy of the approach. Applicants bear the
responsibility of demonstrating to the panel that
the proposed study addresses the critical issues of
the topic area and that the study findings could
ultimately contribute to a practical application in
law enforcement or criminal justice. Reviewers will
assess applicants' awareness of related research or
studies and their ability to direct the research or
study toward answering questions of policy or
improving the state of criminal justice operations.

Projects should have a national impact or have
potential relevance to a number of jurisdictions.
Because of the broad national mandate of the
National Institute of Justice, projects that
address the unique concerns of a single
jurisdiction should be fully justified. 

Projects that intend to provide services in
addition to performing research are eligible for
support, but only for the resources necessary to
conduct the research tasks outlined in the
proposal.

Technical merit is judged by the likelihood that
the study design will produce convincing findings.
Reviewers take into account the logic and timing of
the research or study plan, the validity and
reliability of measures proposed, the
appropriateness of statistical methods to be used,
and each applicant's awareness of factors that
might dilute the credibility of the findings.
Impact is judged by the scope of the proposed
approach and by the utility of the proposed
products. Reviewers consider each applicant's
understanding of the process of innovation in the
targeted criminal justice agency or setting and
knowledge of prior uses of criminal justice
research by the proposed criminal justice
constituency. Appropriateness of products in terms
of proposed content and format is also considered. 

Applicants' qualifications are evaluated both in
terms of the depth of experience and the relevance
of that experience to the proposed research or
study. The applicant's performance on previous or
current NIJ grants will also be taken into
consideration in making funding decisions. Costs
are evaluated in terms of the reasonableness of
each item and the utility of the project to the
Institute's overall research program. 

12. Who is eligible to apply? NIJ awards grants to,
or enters into cooperative agreements with,
educational institutions, nonprofit organizations,
public agencies, individuals, and profitmaking
organizations that are willing to waive their fees.
Where appropriate, special eligibility criteria are
indicated in the separate solicitations. 

13. Does NIJ accept resubmission of proposals? The
Institute will accept resubmission of a previously
submitted proposal. The applicant should indicate
for Question 8, Form 424, that the application is a
revision. The applicant should include this
information in the abstract. Finally, the applicant
should prepare a one-page response to the earlier
panel review (to follow the abstract) including (1)
the title, submission date, and NIJ-assigned
application number of the previous proposal and (2)
a brief summary of responses to the review and/or
revisions to the proposal.

NIJ Policy Regarding Unsolicited Proposals

It is NIJ's policy to submit all unsolicited
proposals to peer review. NIJ's peer review process
takes place in periodic cycles; unsolicited
proposals received will be included in the next
appropriate review cycle.

Requirements for Award Recipients

Data Confidentiality and Human Subjects Protection

Research that examines individual traits and
experiences plays a vital part in expanding our
knowledge about criminal behavior. It is essential,
however, that researchers protect subjects from
needless risk of harm or embarrassment and proceed
with their willing and informed cooperation. NIJ
requires that investigators protect information
identifiable to research participants. When
information is safeguarded, it is protected by
statute from being used in legal proceedings:
"[Such information and copies thereof shall be
immune from legal process, and shall not, without
the consent of the person furnishing such
information, be admitted as evidence or used for
any purpose in any action, suit, or other judicial,
legislative, or administrative proceedings" (42
United States Code 3789g).

Applicants should file their plans to protect
sensitive information as part of their proposal.
Necessary safeguards are detailed in 28 Code of
Federal Regulations (CFR), 22. A short "How-to"
guide-line for developing a privacy and
confidentiality plan can be obtained from NIJ
program managers. 

In addition, the U.S. Department of Justice has
adopted Human Subjects policies similar to those
established by the U.S. Department of Health and
Human Services. In general, these policies exempt
most NIJ-supported research from Institutional
Review Board (IRB) review. These exceptions will be
decided on an individual basis during application
review. Researchers are encouraged to review 28 CFR
46, 46.101 to determine their individual project
requirements.

Required Products

Each project is expected to generate tangible
products of maximum benefit to criminal justice
professionals, researchers, and policymakers. In
particular, NIJ strongly encourages documents that
provide information of practical utility to law
enforcement officials; prosecutors; judges;
corrections officers; victims services providers;
and Federal, State, county, and local elected
officials. 

Products must include: The recipient shall provide
all products specified in the proposal. In
addition, the recipient will comply with the
following requirements:

o A summary of approximately 2,500 words
highlighting the research findings and the policy
issues those findings will inform. The material
should be written in a style that will be
accessible to policy officials and practitioners
and suitable for possible publication as an NIJ
Research in Brief.

o A full technical report, including a discussion
of the research question, review of the literature,
description of project methodology, detailed review
of project findings, and conclusions and policy
recommendations.

o Clean copies of all automated data sets developed
during the research and full documentation prepared
in accordance with the instructions in the NIJ
publication Depositing Data with the Data Resources
Program of the National Institute of Justice: A
Handbook.

Additional products such as case studies and
interim reports (e.g., articles, manuals, or
training materials) may be specified in the
proposal or negotiated at the time of the award. 

Public Release of Automated Data Sets

NIJ is committed to ensuring the public established
its Data Resources Program in 1984. All NIJ award
recipients who collect data are required to submit
a machine-readable copy of the data and appropriate
documentation to NIJ prior to the conclusion of the
project. The data and materials are reviewed for
completeness. NIJ staff then create machine-
readable data sets, prepare users' guides, and
distribute data and documentation to other
researchers in the field. A variety of formats are
acceptable; however, the data and materials must
conform with requirements detailed in Depositing
Data With the Data Resources Program of the
National Institute of Justice: A Handbook. A copy
of this handbook is sent to each project director
at the time of the award. For further information
about NIJ's Data Resources Program, contact Dr.
James Trudeau, (202) 307-1355. 

Standards of Performance by Recipients 

NIJ expects individuals and institutions receiving
its support to work diligently and professionally
toward completing a high-quality research or study
product. Besides this general expectation, the
Institute imposes specific requirements to ensure
that proper financial and administrative controls
are applied to the project. Financial and general
reporting requirements are detailed in Financial
and Administrative Guide for Grants, a publication
of the Office of Justice Programs. This guideline
manual is sent to recipient institutions with the
award documents. Project directors and recipient
financial administrators should pay particular
attention to the regulations in this document. 

FINANCIAL REQUIREMENTS

Audit Requirement: Audits of institutions of higher
education and other non-profit institutions must
comply with the organizational audit requirements
of OMB circular A-133, which states that recipients
who expend $300,000 or more of Federal Funds during
their fiscal year, are required to submit an
organization-wide financial & compliance audit
report within 13 months after the close of each
fiscal year during the term of the award to their
cognizant federal agency.

State and local units of governments must comply
with the
organizational audit requirements of OMB circular
A-128, which states that recipients who receive
more than $25,000 of Federal funds during their
fiscal year, are required to submit an audit report
to their cognizant federal agency. Recipients who
receive less than $25,000 of Federal Funds are
exempt from the audit requirements.

Certifications regarding lobbying; debarment,
suspension, and other responsibility matters; and
drug-free workplace requirement: Applicants should
read and sign the certification form included in
this application kit. Signing this form commits the
applicant to compliance with the certification
requirements under 28 CFR Part 69, "New
Restrictions on Lobbying," and 28 CFR Part 67,
"Government-Wide Debarment and Suspension
(Nonprocurement) and Government-Wide Requirements
for Drug-Free Workplace (Grants)."  The
certification will be treated as a material
representation of the fact upon which reliance will
be placed by the U.S. Department of Justice in
making awards.

Suspension or Termination of Funding: The Office of
Justice Programs may suspend, in whole or in part,
terminate funding for, or impose another sanction
on a recipient for the following reasons:

o Failure to comply substantially with the
requirements or statutory objectives of the (insert
title of funding legislation), program guidelines
issued thereunder, or other provisions of Federal
law.

o Failure to make satisfactory progress toward the
goals or strategies set forth in this application;

o Failure to adhere to the requirements in the
agreement, standard conditions or special
conditions;

o Proposing or implementing substantial plan
changes to the extent that, if originally
submitted, the application would not have been
selected for funding;

o Failure to submit reports; or

o Filing a false certification in this application
or other report or document.

Before imposing sanctions, the Office of Justice
Programs will provide reasonable notice to the
recipient of its intent to impose sanctions and
will attempt informally to resolve the problem.
Hearing and appeal procedures will follow those in
Department of Justice regulations in 28 CFR part
18.


REPORTING REQUIREMENTS
Progress Reports: 

Discretionary Programs

Recipients of funding are required to submit an
initial and then semi-annual progress report. The
progress reports describe activities during the
reporting period and the status or accomplishment
of objectives as set forth in the approved
application for funding. Progress reports are due
for the first full quarter the award is active and
then every six months after that for the remainder
of the award period. Progress reports are due on
the 30th day following the end of that reporting
period. 

For example, if the begin date of the award is
October 1, the first report would cover the period
from October through December and would be due
January 30. The next report would cover the period
of January through June and would be due July 30.
If the begin date on the award date is November 1,
the first report would cover the period of November
through March (January through March being the
first full quarter the award is active) and would
be due April 30. The next report would cover the
period of April through September and would be due
October 30. A report is due every six months. 

A final report, which provides a summary of
progress toward achieving the goals and objectives
of the award, significant results, and any products
developed under the award, is due 120 days after
the end date of the award. Report forms will be
provided to the recipient by the (name of the
awarding agency.)

Financial Status Reports: Financial status reports
(SF 269A) are due quarterly on the 45th day
following the end of each calendar quarter. A
report must be submitted every quarter the award is
active. The final report is due 120 days after the
end date of the award. The Office of the
Comptroller will provide a copy of this form in the
initial award package.

Future awards and fund drawdowns may be withheld if
the progress and financial status reports are
delinquent.

Program Monitoring 

Award recipients and Principal Investigators assume
certain responsibilities as part of their
participation in government-sponsored research and
evaluation. NIJ's monitoring activities are
intended to help grantees meet these
responsibilities. They are based on good
communication and open dialogue, with collegiality
and mutual respect. Some of the elements of this
dialogue are:

o Communication with NIJ in the early stages of the
grant, as the elements of the proposal's design and
methodology are developed and operationalized. 

o Timely communication with NIJ regarding any
developments that might affect the project's
compliance with the schedules, milestones, and
products set forth in the proposal. (See statement
on Timeliness, below.)

o Communication with other NIJ grantees conducting
related research projects. An annual "cluster
conference" should be anticipated and should be
budgeted for by applicants at a cost of $1,000 for
each year of the grant.

o Providing NIJ on request with brief descriptions
of the project in interim stages at such time as
the Institute may need this information to meet its
reporting requirements to the Congress. NIJ will
give as much advance notification of these requests
as possible, but will expect a timely response from
grantees when requests are made. NIJ is prepared to
receive such communication through electronic
media.

o Providing NIJ with copies of presentations made
at conferences, meetings, and elsewhere based in
whole or in part on the work of the project.

o Providing NIJ with prepublication copies of
articles based on the project appearing in
professional journals or the media, either during
the life of the grant or after.

o Other required reporting requirements (Financial
Reports, Progress Reports, Final Reports, and other
grant products) are spelled out above.

Timeliness 

Grantees are expected to complete award products
within the timeframes that have been agreed upon by
NIJ and the grantee. The Institute recognizes that
there are legitimate reasons for project
extensions. However, NIJ does not consider the
assumption of additional research projects that
impinge upon previous time commitments as
legitimate reasons for delay. Projects with
unreasonable delays can be terminated
administratively. In this situation, any funds
remaining are withdrawn. Future applications from
either the project director or the recipient
institution are subject to strict scrutiny and may
be denied support based on past failure to meet
minimum standards. 

Publications 

The Institute encourages grantees to prepare their
work for NIJ publication. In cases where grantees
disseminate their findings through a variety of
media, such as professional journals, books, and
conferences, copies of such publications should be
sent to the Program Manager as they become
available, even if they appear well after a
project's expiration. NIJ imposes no restriction on
such publications other than the following
acknowledgment and disclaimer:

This research was supported by grant number
_____________ from the National Institute of
Justice. Points of view are those of the author(s)
and do not necessarily represent the position of
the U.S. Department of Justice.

Applicants should file their plans to protect
sensitive information as part of their proposal.
Necessary safeguards are detailed in 28 Code of
Federal Regulations (CFR), 22. A short "how-to"
guideline for developing a privacy and
confidentiality plan can be obtained from NIJ
program managers.

Application Forms

All the requisite application forms are available
electronically from the National Criminal Justice
Reference Service home page
(http://www.ncjrs.org), or in paper form from the
Response Center at 800-421-6770. Copies are also
available at the back of this document. 

-----------------------------

NIJ is trying to streamline its process to
accommodate the volume of proposals anticipated
under this and other Crime Act solicitations.
Researchers can help in a significant way by
sending NIJ a nonbinding letter of intent by June
6, 1997. The Institute will use these letters to
forecast the numbers of peer panels it needs and to
identify conflicts of interest among potential
reviewers. There are three ways to send these
letters. You can fill out the mailer on the last
page of this solicitation. You can reach NIJ by
Internet by sending e-mail to tellnij@ncjrs.org and
identifying the solicitation and section(s) you
expect to apply for. You can write a letter with
the same information to Research and Evaluation on
Violence Against Women, Fiscal Year 1997, 633
Indiana Avenue N.W., Washington, DC 20531. Help us
help you.