Title: FY 2000 Corrections and Law Enforcement Family Support:
Solicitation for Research, Evaluation, Development, and Demonstration
Projects.
Series: Solicitation
Author: National Institute of Justice
Published: NIJ, April 2000
Subject: Funding resources
24 pages
52,000 bytes

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U.S. Department of Justice
Office of Justice Programs
National Institute of Justice

National Institute of Justice
Solicitation

Jeremy Travis, Director
April 2000

FY 2000 Corrections and Law Enforcement Family Support: Solicitation
for Research, Evaluation, Development, and Demonstration Projects

APPLICATION DEADLINE:
June 1, 2000

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U.S. Department of Justice
Office of Justice Programs
810 Seventh Street N.W.
Washington, DC 20531

Janet Reno
Attorney General
U.S. Department of Justice

Raymond C. Fisher
Associate Attorney General

Mary Lou Leary
Acting Assistant Attorney General

Noel Brennan
Principal Deputy Assistant Attorney General

Alexa Verveer
Deputy Assistant Attorney General

Jeremy Travis
Director, National Institute of Justice

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

Department of Justice Response Center:
800-421-6770

Office of Justice Programs
World Wide Web Site:
http://www.ojp.usdoj.gov

National Institute of Justice
World Wide Web Site:
http://www.ojp.usdoj.gov/nij

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FY 2000 Corrections and Law Enforcement Family Support: Solicitation
for Research, Evaluation, Development, and Demonstration Projects

I. Introduction

Stress is an occupational hazard for law enforcement and correctional
officers of all ranks. Beyond its toll on officers' physical and emotional
health and on the efficiency and effectiveness of law enforcement and
correctional agencies, the effects of stress can be seen in the incidence
among law enforcement and correctional personnel of substance abuse,
divorce, and, most tragically, suicide. Officer-related stress can also affect
the officer's family, significant others and co-workers. 

In addition, officers and their family members routinely report stressors
such as unpredictable child care needs, increasing media scrutiny, public
criticism, threats of law suits, inadequate equipment or training, and
certain aspects of police culture. Law enforcement stress may have
negative consequences in a wide array of domains, including job
performance, family functioning, and officers' physical health.

Recognizing that an officer's stress can affect family members and others,
and that these persons also represent a potential source of support for an
officer attempting to cope with stress, many law enforcement and
correctional agencies have developed stress-reduction programs that
include family, friends, and peer supporters.

II. Background 

In recognition of the negative consequences that job-related stress exerts
on law enforcement personnel and their families, Congress established a
Law Enforcement Family Support program under Title XXI of the Violent
Crime Control and Law Enforcement Act of 1994 and authorized the
Attorney General of the United States to:

o Research the effects of stress on law enforcement and correctional
personnel and their families and disseminate the findings.

o Identify and evaluate model programs that provide support services to
law enforcement and correctional personnel and their families.

o Provide technical assistance and training programs to develop stress-
reduction and family-support programs to State and local law enforcement
and correctional agencies.

o Collect and disseminate information regarding family support, stress
reduction, and psychological services to State and local law enforcement
and correctional organizations and other interested parties.

o Determine issues to be researched by the Department of Justice and
grant recipients.

In response to Congressional concern about law enforcement and
correctional-related stress, NIJ commissioned a review of stress-reduction
and employee assistance programs operating in law enforcement agencies
(see NIJ Issues and Practices Report Developing a Law Enforcement
Stress Program for Officers and Their Families, NCJRS document number
163175). The report is available through the National Criminal Justice
Reference Service (NCJRS) at 800-851-3420. 

This report discusses several conditions known to contribute to stress
experienced by law enforcement officers and their families. These
conditions range from the inherent dangers of police work to organization
conditions such as shift work, labor/management tensions, inadequate
career advancement opportunities, and periods during which there exists
either too much or too little work to do.

Less is known about the nature and extent of stress experienced by
correctional officers and their families, or about sources of organizational
stress within correctional agencies. Consequently, NIJ is intensifying
efforts to advance knowledge and state-of-the-art practice in this area.
Recent findings indicate that, although similar in some ways to stress
experienced by law enforcement officers, correctional officer stress may
also be associated with chronic understaffing and overtime work, role
conflict or ambiguity, threatened or actual inmate violence, low public
recognition, low pay, and difficult employee relations, among other issues.

Additional information about NIJ's Corrections and Law Enforcement
Family Support (CLEFS) Program can be obtained from the National
Institute of Justice's web page at http://www.ojp.usdoj.gov/nij, by
contacting the National Criminal Justice Reference Service (NCJRS) at
800-851-3420, by sending e-mail to askncjrs@aspensys.com, or by
writing to: Corrections and Law Enforcement Family Support Program,
National Institute of Justice, 810 7th St., N.W., Washington, D.C. 20531.

III. Solicitation Request

The National Institute of Justice (NIJ) is requesting proposals to:

o Develop, demonstrate, and test innovative stress prevention or treatment
programs for State or local correctional personnel and their families.

o Conduct research on the nature, extent, causes and consequences of
stress experienced by correctional or law enforcement officers and their
families, or to evaluate the effectiveness of existing correctional and/or
law enforcement officer stress prevention and/or treatment programs.

o Develop, implement, and test effective methods of changing correctional
or law enforcement agency policies, practices, and organizational culture
to ameliorate stress experienced by correctional or law enforcement
officers and their families.

While NIJ reserves the right to categorize all proposals, applicants are
required to specify one of the following three categories under which they
are seeking funds: 

1. Hypothesis-based prevention or treatment programs: Proposals are
being sought to develop, implement, and test innovative hypothesis-based
stress prevention or treatment programs for correctional officers and their
families and/or law enforcement officers and their families. The programs
must include, but are not limited to, one or more of the following required
services: counseling for family members, child care on a 24 hour basis,
marital and adolescent support groups, stress reduction programs, stress
education for recruits and families, or technical assistance and training
programs. The programs may include one or more of the following
optional services: post-incident debriefing for officers and families, group
therapy, hypertension clinics, 24-hour critical incident response, 24-hour
crisis telephone service, counseling for officers exposed to HIV,
counseling for peers, counseling for families of personnel killed in the line
of duty, or seminars for compulsive behaviors. 

Programs must be designed to benefit correctional officers and their
families and/or law enforcement officers and their families. 

Proposals may seek to implement a completely new innovative prevention
or treatment strategy, expand an existing program by providing additional
innovative services, and/or expand an existing program by providing
services to a broader audience (e.g., to the family members of correctional
or law enforcement officers).

Projects funded under this section are intended to test the efficacy of
innovative service delivery models and to serve as demonstration
programs that could be replicated by other correctional and/or law
enforcement agencies or organizations. A hypothesis must be developed
and the program must contain measurable objectives. Therefore, a
program evaluation that ploys a rigorous research design and uses
standardized measures, if available, is required.

Applicants under this section should also address the points raised in the
'Issues' section below. Applicants proposing partnerships that correctional
and/or law enforcement practitioners with expert researchers and/or health
care service providers are of particular interest (see eligibility limitations
in Section V below).

2. Hypothesis-based Research and Evaluation projects: NIJ seeks
proposals to conduct hypothesis-based research on the nature, extent,
causes, and/or consequences of stress experienced by correctional and/or
law enforcement officers and their families. Proposals are also sought to
conduct comprehensive impact evaluations of the effectiveness of existing
correctional and/or law enforcement officer stress prevention and
treatment programs. Such an evaluation must be independent in nature,
employ a rigorous research design, and use standardized measures if
available. NIJ also will consider research proposals which plan to
investigate risk and protective factors related to the development of stress-
related difficulties among correctional and/or law enforcement officers and
their families. 

Applicants under this section should also address the points raised in the
'Issues' section below. 

3. Organizational Interventions: Proposals are sought to develop and
implement methods of ameliorating officer and family stress by effecting
changes in correctional and/or law enforcement agency policies, practices
and organizational culture. These proposals should describe innovative
programs that will demonstrate how correctional and/or law enforcement
policy-makers, unions, personnel and family members can work together
to effect changes in policies, practices, and organizational culture. 

Proposals under this section should discuss cost-sharing arrangements and
the respective roles of labor, management, and families in the development
and implementation of stress programs. 

A process evaluation will be required to document, at a minimum, a) what
was done, b) how it was done, and c) if basic measurable objectives were
accomplished. Formal, independent impact or outcome evaluations are not
required for grants awarded under this section. 

Applicants under this section should also address the points raised in the
'Issues' section below.

Issues

The Act also specifies that no more than 5 percent of grant funds received
by a State or local correctional and/or law enforcement agency or
organization may be used for administrative purposes: at least 95 percent
of funds received must be used directly for program operations, services
delivered, and/or evaluation.

Applicants may wish to discuss one or more of the issues listed below in
their proposals, together with other issues they identify as important: (1)
policies and practices considered likely to prevent and treat stress; (2)
approaches for reducing organizational sources of stress; (3) indicators
signaling that stress is affecting officers and/or family members; (4)
response strategies to the symptoms of stress; (5) roles of both unions and
management in stress program planning, implementation, and ongoing
operations; (6) techniques to ensure, as well as convince, officers of
program integrity and confidentiality; (7) effects of health insurance issues
on the provision of program services;  (8) appropriate and inappropriate
uses of peer supporters; (9) strengths and weaknesses of mandatory
treatment referrals and related procedures; (10) development, use, and
updating of service provider referral networks; (11) monitoring and
evaluation of services and operations; and (12) outreach to and
participation by family members in program services, development efforts
and training.

All proposals should include a comprehensive review of the relevant
literature and should describe in detail the nature of the problem, the
specific hypothesis to be tested, all elements of program operations, the
number of staff required to administer the program, the number of
anticipated participants, the implementation work plan identifying
benchmark dates to include submission of interim and final reports, and,
for proposals submitted under sections 1 and 3 above, pages 2 and 3, plans
for evaluation. In their proposals, applicants should also discuss
anticipated follow-up activities and work products, including intended
publications. 

Respondents wishing to discuss potential demonstration, research, or
evaluation proposals, or the Institute's ongoing projects on stress among
correctional and/or law enforcement officers and their families should
contact Rebecca Childress, the Corrections and Law Enforcement Family
Support Program Manager at (202) 307-0200 or at
childrer@ojp.usdoj.gov.

IV. How to Apply 

Those interested in submitting proposals in response to this solicitation
must complete the required application forms and submit related required
documents. (See below for how to obtain application forms and guides for
completing proposals.) Applicants must include the following
information/forms to qualify for consideration:

o Standard Form (SF) 424--Application for Federal Assistance 
o Assurances
o Certifications Regarding Lobbying, Debarment, Suspension and Other
Responsibility Matters; and Drug-Free Workplace Requirements (one
form)
o Disclosure of Lobbying Activities
o Budget Detail Worksheet
o Budget Narrative
o Negotiated indirect rate agreement (if appropriate)
o Names and affiliations of all key persons from applicant and
subcontractor(s), advisors, consultants, and advisory board members.
Include names, titles, organizational affiliations (if any), departments (if
institution of higher education), addresses, phone and fax numbers for
Project Director and Principal Investigator
o Proposal abstract
o Table of contents
o Program narrative or technical proposal
o Privacy certificate
o References
o Letters of cooperation from organizations collaborating in the project
o Resumes
o Appendixes, if any (e.g., list of previous NIJ awards, their status, and
products [in NIJ or other publications])

Eligibility 

The Act stipulates that only State and local correctional and/or law
enforcement agencies and organizations representing State or local
correctional and/or law enforcement personnel are eligible to apply. For
the purposes of this solicitation, organizations representing correctional or
law enforcement personnel include: National, State, or local labor unions
or associations representing commissioned State or local law enforcement
or correctional officers in contract negotiations or other employment
matters in one or more correctional or law enforcement organization.

Other organizations such as universities, colleges, independent research
enterprises, professional associations, hospitals, health care clinics, and
counseling or other treatment service providers, while not eligible to
submit proposals, may provide technical assistance in either a consulting
or subcontracting capacity to the applicant.

Award Period 

The legislation limits CLEFS grants and cooperative agreements to a
maximum of 18 months. However, longer budget periods may be
considered. 

Award Amount 

Approximately $800,000 will be made available to support Corrections
and Law Enforcement Family Support Program grants during this period.
The Act specifies that a grant to a State or local law enforcement or
correctional agency may not exceed $100,000 and that a grant to an
organization representing law enforcement or correctional personnel may
not exceed $250,000. Funds under this program may be used to
supplement, but not supplant, existing stress-reduction or employee
assistance programs.

Page Limit 

The number of pages in the "Program Narrative" part of the proposal must
not exceed 30 (double-spaced pages) for awards of $50,000 or more; for
smaller awards (under $50,000), the maximum page length is 15 (double-
spaced pages).

Special Requirements 

The Act further stipulates that (1) each application shall match all Federal
funds with an equal amount of cash or in-kind goods or services from
other non-Federal sources if submitted by a law enforcement or
correctional agency; (2) include a statement from the highest ranking law
enforcement or corrections official from the State or locality, or from the
highest ranking official from the organization applying for the grant, that
attests to the need and intended use of services to be provided with grant
funds; and (3) assure that the Attorney General or the Comptroller General
shall have access to all records related to the receipt and use of grant funds
received.

Additionally, an annual "cluster conference" should be anticipated and
should be budgeted for by applicants at a cost of $2,000 for each year of
the grant. 

Due Date 

Completed proposals must be received at the National Institute of Justice
by 5:00 p.m. Eastern Standard Time on June 1, 2000. Extensions of this
deadline will not be permitted.

Ten (10) copies of fully executed proposals should be sent to: National
Institute of Justice, Corrections and Law Enforcement Family Support
Program, 810 7th St. N.W., Washington, DC 20531 (for express or
overnight deliveries, please use zip code '20001'). 

Certifications

Applicants should read and sign the certification form regarding lobbying;
debarment, suspension, and other responsibility matters; and drug-free
workplace requirements included in this solicitation. 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. 

Application Forms

Two packets need to be obtained: (1) application forms (including a
sample budget worksheet) and (2) guidelines for submitting proposals
(including requirements for proposal writers and requirements for grant
recipients). To receive them, applicants can:

o Access the Justice Information Center on the web:

http://www.ncjrs.org/fedgrant.htm#nij

or the NIJ web site:

http://www.ojp.usdoj.gov/nij/funding.htm

These web sites offer the NIJ application forms and guidelines as
electronic files that may be downloaded to a personal computer.

o Request hard copies of the forms and guidelines by mail from the
National Criminal Justice Reference Service at 800-851-3420 or from the
Department of Justice Response Center at 800-421-6770 (in the
Washington, D.C. area at 202-307-1480).

Request copies by fax. Call 800-851-3420 and select option 1, then option
1 again for NIJ. Code is 1023.

V. Requirements for Award Recipients

Required Products

Each grantee is expected to generate tangible products of maximum
benefit for criminal justice professionals, researchers, and policymakers.
In particular, NIJ strongly encourages documents that provide information
of practical utility to correctional and/or law enforcement officers and their
families. 

Products should include:

o A summary of approximately 2,500 words highlighting program results,
findings, and state-of-the-art practices and the research and policy issues
they 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 Program Focus. An NIJ editorial style guide is sent
to each project director at the time of the award.

o A full technical report, including a discussion of program goals, review
of the literature, description of program methodology, detailed review of
program outcomes, conclusions, and policy recommendations.

o Clean copies of any automated data sets developed 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, with one exception:
confidential treatment, personnel, or training records should not be
submitted except in the aggregate and then only if anonymity is assured. 

o Brief project summaries for NIJ use in preparing annual reports for the
President and the Congress. As appropriate, additional products such as
case studies and interim and final reports (e.g., articles, manuals, or
training materials) may be specified in the proposal or negotiated at the
time of the award.

Prohibition on Supplanting Funds

Federal funds must be used to supplement existing funds and not replace
funds that have been appropriated for the same purpose. Potential
supplanting will be the subject of application review, as well as pre-award
review, post-award monitoring, and audit. If there is a potential presence
of supplanting, the applicant or grantee will be required to supply
documentation demonstrating that the reduction in non-Federal resources
occurred for reasons other than the receipt or expected receipt of Federal
funds.

Public Release of Automated Data Sets

NIJ is committed to ensuring the public availability of research data and to
this end 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 Cynthia Mamalian at (202) 514-5981.

NOTE: This section is not intended to include nonaggregated data
pertaining to patient treatment, personnel or training records. 

Standard of Performance by Recipients

NIJ expects individuals and institutions receiving its support to work
diligently and professionally toward implementing, managing, and
assessing high-quality demonstration or training programs and producing
useful, high-quality products. In addition to this general expectation, the
Institute imposes specific requirements to ensure that proper financial and
administrative controls are applied to the program. Financial and general
reporting requirements are detailed in Financial Guide, published in April
1996 by the Office of Justice Programs. This guidance 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.

Audit Requirement

State and local governments are governed by the Single Audit Act of 1984
and OMB Circular A-128, "Audits of State and Local Governments."
Nonprofit organizations and institutions of higher education are governed
by OMB Circular A-133, "Audits of Institutions of Higher Education and
Other Nonprofit Institutions." The type of audit required under these
circulars is dependent on the amount of Federal funds that can be audited
during the recipient's fiscal year. For example: If the organization receives
$100,000 or more per year in Federal funds, the organization shall have an
organization-wide financial and compliance audit. If the organization
receives between $25,000 and $100,000 a year in Federal funds, the
organization may elect to have an organization-wide audit or program
audit. If the organization receives less than $25,000 a year in Federal
funds, the organization shall be exempt from the audit requirement.

Commercial (for-profit) organizations shall have financial and compliance
audits performed by qualified individuals who are independent of those
who authorize the expenditure of Federal funds. This audit must be
performed in accordance with Government Auditing Standards. The audit
thresholds contained in OMB Circulars A-128 and A-133 apply.

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, Office of Justice
Programs will provide a copy of this form in the initial award package.

Conditions for Suspension or Termination of Funding

The National Institute of Justice may suspend (in whole or in part),
terminate funding for, or impose another sanction on a recipient for the
following reasons: failure to comply substantially with the requirements or
statutory objectives of the Omnibus Crime Control and Safe Streets Act of
1968, as amended, the Anti-Drug Abuse Act of 1988, program guidelines
issued thereunder; or other provisions of Federal law; failure to make
satisfactory progress toward the goals or strategies set forth in this
application; failure to adhere to the requirements in the agreement,
standard conditions, or special conditions; proposing or implementing
substantial changes to the extent that, if originally submitted, the
application would not have been selected for funding; failure to submit
reports; or filing a false certification in this application or other report or
document. Before imposing sanctions, the National Institute of Justice 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 U.S. Department of Justice regulations in
28 CFR part 18.

Program Monitoring

Award recipients, Project Directors and Principal Investigators assume
certain responsibilities as part of their participation in government-
sponsored research, evaluation, and demonstration or training programs.
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 made
operational.

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.

o Communication with other NIJ grantees conducting related research
projects or demonstration programs.

o Providing NIJ, on request, with brief descriptions of the project in
interim stages at such a time as the Institute may need this information to
meet its reporting requirements to 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
program. 

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

Other reporting requirements (Progress Reports, Final Reports, and other
grant products) are spelled out elsewhere in this section. Financial
reporting requirements will be described in the grant award documents
received by successful applicants.

Progress Reports

NIJ Program Managers should be kept informed of program progress.
Written progress reports are required on a semiannual basis and should
inform the Program Manager of which tasks have been completed and
whether significant delays or departures from the original work plan are
expected. The first progress report should cover the period from the
beginning date of the award through the remainder of the quarter.
Subsequent progress reports should cover the next two quarters. 

All progress reports are due 30 days following the end of the reporting
period. For example, if a grant is awarded in October, the first progress
report would cover the rest of the current quarter (through December 31)
and it would be due February 1; the second progress report would cover
the next two quarters (January 1-March 31 and April 1-June 30) and
would be due August 1.

Timeliness

Grantees are expected to complete award products within the time frames
that have been agreed on by NIJ and the grantee. The Institute recognizes
that there are legitimate reasons for program extensions. However, NIJ
does not consider the assumption of additional research projects that
impinge on previous time commitments as legitimate reasons for delay.
Programs 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 program's expiration.
NIJ imposes no restriction on such publications other than inclusion of 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.

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 and program staff protect subjects from needless
risk of harm or embarrassment and proceed with their willing and
informed cooperation. NIJ requires that investigators and program staff
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 the 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 must include their plans to protect sensitive information as part
of their proposal. Necessary safeguards are detailed in 28 CFR, paragraph
22. A short "how-to" guideline 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 Subject
policies similar to those established by the U.S. Department of Health and
Human Services. If an Institutional Review Board is necessary for the
program being proposed, a copy of the Board's approval must be
submitted to the National Institute of Justice prior to the demonstration or
training program's implementation. Researchers are encouraged to review
28 CFR 46, paragraph 46.101 to determine their individual project
requirements. 

VI. Recommendations for Proposal Writers

Over the past several years, Institute staff have reviewed thousands of
grant applications. Based on those reviews and inquiries from applicants,
the Institute offers the following recommendations to help potential
applicants present workable, understandable proposals. Many of these
recommendations were adopted from materials provided to NIJ by the
State Justice Institute, especially for applicants new to NIJ. Others reflect
standard NIJ requirements.

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. The
Institute suggests that applicants make certain that they address the
questions, issues, and requirements set forth below when preparing an
application. 

What is the subject or problem you wish to address? Describe the subject
or problem and how it affects the criminal justice system and the public.
Discuss how your approach will improve the situation or advance state-of-
the-art or state-of-the-science knowledge, or current practices, and explain
why it is the most appropriate approach to take. Give appropriate citations
to the research literature. The source of statistics or research findings cited
to support a statement or position should be included in a reference list. 

What do you want to do? Explain the goal(s) of the program in simple,
straightforward terms. The goals should describe the intended
consequences or expected overall effect of the proposed program. Tasks or
activities to be conducted should be described in a separate section. To the
greatest extent possible, applicants should avoid a specialized vocabulary
that is not readily understood by the general public. Technical jargon does
not enhance an application.

How will you do it? Describe the program and evaluation methodology
carefully so that what you proposed to do and how you would do it is
clear. All proposed tasks should be set forth so that a reviewer can see a
logical progression of tasks and relate those tasks directly to the
accomplishment of the program's goal(s). When in doubt about whether to
provide a more detailed explanation or assume a particular level of
knowledge or expertise on the part of the reviewers, err on the side of
caution and provide the additional information. A description of program
tasks also will help identify necessary budget items. All staff positions and
program costs should relate directly to the tasks described. The Institute
encourages applicants to attach letters of cooperation and support from
agencies that will be involved in or directly affected by the proposed
project.

What should you include in a grant application for a program evaluation?
If a grant application is for or includes a program evaluation, describe how
the evaluation will determine whether the proposed program, training,
procedure, service, or technology accomplished the objectives it was
designed to meet. Applicants should describe the criteria that will be used
to evaluate the program's effectiveness and identify program elements that
will require further modification. The description in the application should
include how the evaluation will be conducted, the program period during
which it will occur, who will conduct it, and what specific measures will
be used. In most instances, the evaluation should be conducted by persons
not connected with implementation of the procedure, training, service or
technique, or with administration of the program. 

How will others learn about your finding? Include a plan to disseminate
the results of the demonstration program 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, such as the
publication of journal articles or the distribution of key materials.
Expectations regarding products are discussed more fully in the previous
section, "Requirements for Award Recipients." A statement that a report or
research finding "will be made available to the field" is not sufficient. The
specific means of distribution or dissemination as well as the types of
recipients, should be identified. Reproduction and dissemination costs are
allowable budget items. Applicants must concisely describe 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, report, demonstration program services, or
training program methods. Successful proposals will clearly identify the
nature of the grant products that can reasonable be expected. In addition, a
schedule of delivery dates of all products should be delineated. 

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. Items categorized as "other" or "Miscellaneous" should be
specified in the application budget narrative; set-asides for undefined
contingencies should not be included.  

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 program costs. 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 multi-year projects,
applicants must include the full amount of NIJ funding for the life of the
project. This amount should be reflected in item 15g on Form 424 and in
TOTAL PROJECT COSTS in Budget Detail Worksheet (OJP Form
7150/1). When appropriate, grant applications should include justification
of consultants and a full explanation of daily rates for any consultants
proposed. To avoid 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 2 $0.05/page = $375.00). Supply and expense estimates offered
simply as "based on experience" are not sufficient.

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 cost 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. 

What forms should be used? For instructions on obtaining form, see the
section 'Application Forms' under How to Apply. Please follow the
instructions carefully. In addition, complete the Budget Detail Worksheet
(OJP Form 7150/1), (OJP Form 4000/3 Assurances), and OJP Form
4061/6 (certifications regarding lobbying; debarment, suspension, and
other responsibility matters; and drug-free workplace requirements). 

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 proposal 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
literature is expected.

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, plan to ensure confidentiality, 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 The organization and management plan to implement, manage, and
assess the program. 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 The applicant's curriculum vitae should summarize education, research 
experience, and bibliographic information related to the proposed work.

How may grant funds be used? 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 be used for operating programs and
the writing of texts or handbooks that provide training in the
implementation, management, and assessment of a stress-reduction
program. The idea is to train a substantial number of police and/or
correctional personnel or others who would then implement stress-
reduction training and/or service delivery programs in their own agencies
and serve as resources to other police agencies and unions in their
jurisdictions.

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 at 1-800-458-0786
to obtain information about preparing an indirect cost rate proposal.

What, if any, matching funds are required? Applications generated by a
law enforcement or correctional agency are required to match (cash, in-
kind, or both) the amount of Federal funds requested.

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 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. 

What is the deadline? June 1, 2000 at 5:00 p.m. Eastern Standard Time. 

What elements constitute the proposal? The following components,
presented in the following order, are mandatory. Omission can result in
rejection of the application:

o SF-424 (with Assurances attached), followed by OJP Form 7150/1
(Budget Detail Worksheet), budget narrative, negotiated rate agreement
and certifications.

o Privacy certificate.

o Names and affiliations of all key persons from applicant and
subcontractor(s), advisors, consultants, and Advisory Board members.
Include the names, titles, organizational affiliations (if any), departments
(if institution of higher education), addresses and phone and fax numbers
for both the Project Director and the Principal Investigator.

o Abstract.

o Table of contents.

o Project narrative.

o References.

o Resumes of key personnel.

What does the review process entail? After all applications for a
competition are received, NIJ will convene a series of peer review panels
of criminal justice professionals and researchers. NIJ will assign proposals
to peer panels that it deems most appropriate. 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 the 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 on how a revised or subsequent application to
NIJ might be improved.

What are the criteria for an award? The essential question asked of each
applicant is, "If this demonstration or training program were successful,
how would criminal justice policies or operations be improved?" The
following criteria are applied in the evaluation process:

o Impact of the proposed demonstration or training program on individuals
(to include family members), agencies and organizations, and the field of
criminal justice.

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

o Originality of the approach, including creativity of the proposal in
developing an innovative program, reaching a new population and/or
addressing a previously unanswered research question.

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

o Technical merit is judged by the likelihood that the program design will
produce convincing results, findings, and state-of-the-art practices.
Reviewers take into account the logic of the program plan, the validity and
reliability of evaluation measures proposed, the appropriateness of service
or training methods to be used, and each applicant's awareness of factors
that might dilute the credibility of results, findings, and state-of-the-art
practices. 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, as well as 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.

o Applicants' qualifications are evaluated both in terms of depth of
experience and the relevance of that experience to the proposed
demonstration or training program. Costs are evaluated in terms of the
reasonableness of each item and the utility of program services or training
consistent with the legislation.

Are there any other considerations in selecting applications for an award?
Programs should 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. The applicant's performance on previous or current NIJ
grants will also be taken into consideration in making funding decisions.

Who is eligible to apply? Law enforcement and corrections agencies or
organizations representing law enforcement or correctional officers.

Does NIJ accept resubmission of proposals? The Institute will accept
resubmission of a previously submitted proposal. The applicant should
indicate on 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 is streamlining 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
May 5, 2000. 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 childrer@ojp.usdoj.gov and identifying the
solicitation. You can write a letter with the same information to CLEFS
Solicitation, 810 Seventh Street N.W., Washington, DC 20531. 

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

To find out more information about the National Institute of Justice, please
contact:

National Criminal Justice Reference Service
Box 6000
Rockville, MD 20849-6000
800-851-3420
e-mail: askncjrs@ncjrs.org

To obtain an electronic version of this document, access the NIJ web site
(http://www.ojp.usdoj.gov/nij).

If you have any questions, call or e-mail NCJRS.

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