State Justice Statistics Program for Statistical Analysis Centers Program Application Guidelines Fiscal Year 1999 U.S. Department of Justice Office of Justice Programs Bureau of Justice Statistics ---------------------------------------------------------------- This announcement is one in a series. More recent editions may be available. To view a list of all in the series go to the Funding page http://www.ojp.usdoj.gov/bjs/funding.htm#sjs Note to readers of the ASCII version: This file is text only without appendices. The full report including appendices in .pdf format are available from: http://www.ojp.usdoj.gov/bjs/abstract/sjspsac99.htm. ---------------------------------------------------------------- April 1999, NCJ 176333 U.S. Department of Justice Bureau of Justice Statistics Jan M. Chaiken, Ph.D. Director Contents Message from the Director Purpose New direction Background Goals Objectives Program strategy Support to established SACs Themes for the Fiscal 1999 SJS cycle Eligibility requirements Selection criteria Award period Award amount When to apply Privacy certification Contact Application and administrative requirements Application content Financial and administrative requirements Civil rights obligations Audit requirement Disclosure of Federal participation Intergovernmental review of Federal programs Application forms Privacy certification Message from the Director It is my pleasure to present you with the program announcement for the State Justice Statistics (SJS) Program for Statistical Analysis Centers for Fiscal Year 1999. On behalf of your BJS state monitors and the components of the Office of Justice Programs that are our partners in funding this program, I want to tell you how pleased we are with the content of applications and research products under this program. The themes selected for the SJS program each year enable SACs to apply for Federal funding to conduct research and analysis of the most critical and significant of criminal justice issues facing policy planners and decision makers today. These themes also establish the framework within which topics are selected for the annual conference co-sponsored by the Justice Research and Statistics Association and the Bureau of Justice Statistics. As you will see, the themes for this year remain unchanged from last year, although there has been some reordering and modification of them, increasing the emphasis on analysis of criminal history records. As long ago as 1972, when the concept of state statistical analysis centers was first given life as part of a multi-component funding vehicle called the Comprehensive Data Systems program, it has been the belief of many people that criminal history record information databases offered justice researchers and analysts a rich opportunity for examining the fascinating correlates of crime and its perpetrators. Once again, this year's themes reflect the continued and strong support of the Office of Juvenile Justice and Delinquency Prevention (OJJDP). As it did last year, OJJDP is making funds available through the Juvenile Accountability Incentive Block Grant (JAIBG) program. Over the course of the last year, sixteen SACs have taken advantage of the funding opportunities of this theme. We look forward to seeing the results of your work that has been made possible by the partnership between BJS and OJJDP. This year marks the 25th anniversary of the founding of the Justice Research and Statistics Association. BJS's continuing commitment to funding a portion of JRSA and SAC activities every year is testimony to the value of this partnership which is benefiting a diverse audience of policy makers and researchers. As always, I welcome your suggestions and comments for improving and enhancing the State Justice Statistics program. Jan M. Chaiken, Ph.D., Director Bureau of Justice Statistics Fiscal Year 1999 Application Guidelines A. Purpose This program announcement describes the guidelines and requirements of the Fiscal Year 1999 State Justice Statistics (SJS) Program for Statistical Analysis Centers (SACs). The SJS Program, first announced in Federal Fiscal Year 1997, supplants the State-Level Statistical Analysis Centers and Information Network Program. Since 1972, the Bureau of Justice Statistics (BJS) and its predecessor agency, the National Criminal Justice Information and Statistics Service, have provided partial support to State governments for the establishment and operation of Statistical Analysis Centers (SACs) to collect, analyze, and report statistics on crime and justice to Federal, State, and local levels of government, and to share State-level information nationally. The information produced by SACs and their involvement in criminal justice projects has been and will continue to be critical to State, local, and Federal criminal justice agencies and community organizations in their efforts to combat drugs and crime and to improve the administration of justice. This SJS Program is a shift from SAC support funded exclusively by BJS to a coordinated solicitation involving other Office of Justice Programs (OJP) agencies. During the first two years of the SJS Program we were pleased to have as a partner the Office of Juvenile Justice and Delinquency Prevention (OJJDP), which again this year has agreed to fund projects which examine critical juvenile justice issues. BJS also administers the National Criminal History Improvement Program (NCHIP), which implements the grant provisions of the Brady Handgun Violence Prevention Act, the National Child Protection Act of 1993, the Stalker and Domestic Violence Reduction provisions of the Violence Against Women Act, and related legislation. In each State, a single agency has been designated by the governor to coordinate the State's NCHIP applications, but BJS has encouraged SAC directors to contact their State NCHIP administrator so as to participate in their State's application for NCHIP funds, and NCHIP administrators were asked to demonstrate that they had coordinated requests related to statistical analyses with their State's SAC. Ongoing efforts to evaluate or monitor progress in meeting legislative or program goals through statistical or other related means have been allowed activities for SAC funding under BJS grants to NCHIP agencies, and specific SAC research studies relating to use of handguns are also being funded separately under NCHIP. In Fiscal Year 1998, the National Sex Offender Registry Assistance Program (NSOR-AP) was established as an additional component of NCHIP. In Fiscal Year 1999 the NCHIP program will include funding for activities related to establishing sex offender registries at the State level which supports the President's goals of establishing an effective national registry of sex offenders. This registry, to be operated and maintained by the Federal Bureau of Investigation (FBI), will depend upon the States' ability to contribute to the FBI accurate and timely data about convicted sex offenders. Applicants who choose Theme 98B (described below) are eligible for supplemental funding if their work is related to their State's sex offender registry or to issues of sharing sex offender registration information between states. BJS's goal is to maintain and enhance each State's capacity to address criminal justice issues through collection and analysis of data. The State Justice Statistics program simplifies the process by which SACs can obtain funding, possibly in partnership with other agencies, from the full spectrum of funding available through BJS and other components of the Office of Justice Programs that pass funds to BJS to enhance the SJS program. Examples included in this announcement are the OJJDP-supported themes described in Section F. BJS also continues to support those SACs located in States with a Safe Kids-Safe Streets program, administered by OJJDP, the Weed and Seed Office, and the Violence Against Women Act grant office. B. Direction The State Justice Statistics (SJS) Program for Statistical Analysis Centers is oriented around issues and products. Each application for funding under this program must identify the participating organizations in the State and the particular issues to be addressed. Each year, BJS announces specific topics and products it is encouraging (Section F, below) and asks applicants to give careful consideration to planning activities that fit within one or more of the designated topics. If a SAC does not feel that any of the topics is relevant to its own State, it may identify a topic or statistical activity of critical importance to its jurisdiction. The SJS program themes are selected jointly by BJS and Justice Research and Statistics Association (JRSA) staff and selected SAC Directors as reflective of issues of current concern and significance to criminal justice practitioners. JRSA will also play a lead role in publishing a report based on a compilation of state reports on one of the selected themes, which will be highlighted in each announcement. BJS recognizes the value and importance of clearinghouse activities historically exercised by the SACs and continues to support collection of statistical data and publication of statistical reports on general topics related to crime or the administration of justice. C. Background In the United States, most criminal justice activities take place at State and local levels of government. The systematic collection and analysis of data on these activities enable BJS to comply with its charter to publish and disseminate statistical information on crime and the operation of justice systems, giving emphasis to State and local justice system needs. State and local governments use the data for policy analysis, planning, and conducting their justice system operations and evaluations. BJS is specifically authorized by statute (42 U.S.C. 3732) to provide assistance in the development of State and local government justice information systems, and directed to give primary emphasis to the problems of State and local justice systems (42 U.S.C. 3731). BJS works in cooperation with the States through a network of SACs. These Centers were established with support from BJS and its predecessor agency, the National Criminal Justice Information and Statistics Service (NCJISS). Currently, there are SACs in 47 States, the District of Columbia, Puerto Rico, and the Northern Mariana Islands. 1. Goals ! Enhance the capabilities of the States to collect, analyze, and interpret data on justice issues relevant to the States and the Nation; ! Make maximum use of State statistical organizations and State-level data collected by BJS and other Department of Justice components; ! Provide a mechanism which supports the collection and sharing of vital justice system data among the States and between the States and the Federal Government; and ! Better serve the information needs of the States and Federal Government by providing a core body of knowledge about the administration of criminal justice in each State. 2. Objectives Provide support to the SACs to: ! participate in projects whose research, data collection, and analysis is coordinated across states and which results in a publication by JRSA. This theme will normally be of significant interest to policy makers, and the results of analysis done on this theme should support their efforts. ! produce statistical reports on crime, criminal offenders, and the justice system; ! develop improved justice statistical and information systems and maintain data service functions in the State; and ! support BJS data gathering efforts in individual States including statistics needed for all national data series and in support of NCHIP and NCHIP-related topics. D. Program Strategy The SJS program is designed to provide financial support which will supplement State funding of the SAC and will support activities for both State and national benefit, as well as provide technical and financial assistance for related research and data collection projects. SACs are strongly encouraged to produce and provide to BJS written products reflecting analytical efforts undertaken as a part of this program, and to document their plans for such publications in the application for funding under this program. BJS guidelines for the NCHIP grant program recommend that the State agency applying for these funds consult the SAC in conjunction with the development of projects to support the monitoring of State compliance with legislative or programmatic goals of the program. BJS encourages SACs to support such NCHIP activities; in addition, SACs should explore funding opportunities associated with monies coming into their State from other components of the Office of Justice Programs. To ensure that the SAC national program efficiently meets its objectives, recipients of BJS funds must agree to assist in any evaluation and/or assessment efforts associated with this program. Such evaluation activities should not result in any significant or unreasonable costs or burdens to the SACs that would interfere with the performance of the cooperative agreement. E. Support to Established SACs All awards will be made as cooperative agreements to a Statistical Analysis Center and will indicate the substantial involvement that BJS will have with each award. Applicants may transfer funds to other organizations listed in their application; some of the theme activities may require such cooperative arrangements. Where SACs do not have authority for such a transfer of funds, applicants should contact their BJS state monitor for advice; the purpose of this requirement is to foster cooperation within the State among agencies working on related BJS- or OJP-funded activities, and BJS does not want to foster cumbersome administrative arrangements. Activities in the SJS program include: 1. Collecting, analyzing, and publishing criminal justice data, including activities related to the analysis or evaluation of State efforts under the NCHIP; 2. Conducting research on themes identified in Section F of this announcement or selected by the applicant in consultation with BJS, usually about a topic of current or emerging national concern; 3. Providing JRSA with data on highlighted themes for compilation and production of a national report; 4. Maintaining contact with BJS to ensure the efficient development and sharing of information with BJS, other States, and various users; 5. Informing BJS of the State's needs relative to statistical data; 6. Pursuant to BJS request, providing information and automated data to the Justice Research and Statistics Association (JRSA), the National Archive of Criminal Justice Data, or other designated recipients; 7. Establishing and maintaining contacts with State criminal justice agencies, the courts, and local governments and their criminal justice agencies; 8. Assisting criminal justice agencies in defining their needs for specific statistical and other information for the planning, implementation, and evaluation of criminal justice programs; 9. Providing technical assistance in the collection, interpretation, utilization, and sharing of statistical information. Travel funds for this program should be used primarily for such activities within the State as data collection, providing technical assistance and training, liaison with other criminal justice agencies, and conducting statistical analysis. Travel to attend the annual Bureau of Justice Statistics (BJS)/Justice Research and Statistics Association (JRSA) national conference is limited to one person each year, unless BJS specifically authorizes additional conference travel. Because of the limited funds available for each State, the use of program funds for indirect costs is discouraged. All grant funds should be used to achieve specific program objectives. F. Themes for the Fiscal Year 1999 SJS Cycle SACs applying for funds under this announcement may choose from among the themes listed below. Applicants may choose any number of projects from within one theme (unless otherwise specified), or a combination of projects from more than one theme. It is recommended that not more than three topics be selected for a given project period. If a SAC chooses its own theme, it must provide persuasive documentation from its advisory committee, one or more branches of State government, or some other entity which explains and supports the decision to study this topic. With relation to any theme or topic proposed for funding, please indicate the background of your state's concern with the issue, a complete explanation of the methodology to be employed including databases and methods of analysis, any participation by other state agencies, and how conclusions and recommendations will be framed. Also, indicate political constraints (if any) which could impact the research, and what product will result. Since BJS contemplates that JRSA will assemble national reports where several states have addressed the same topic, we will support efforts to improve the quality of such compilations through coordination of the individual states' research and analysis. Themes will be revised each year with the issuance of the new fiscal year program announcement. In some instances, the revised list of themes may be mailed to SACs and other participating agencies separately in advance of the release of the program announcement. The new list will also be posted to the BJS World Wide Web site on the Internet (www.ojp.usdoj.gov/bjs/), so SACs with access to the Internet can learn of them in that manner as well. As other OJP budget and priority developments evolve, additional funding may be available for one or more of the theme topics. The first theme in each funding cycle's list is BJS's highlighted topic for the fiscal year; we strongly urge each state to consider this theme since BJS will be making extra efforts to generate a nationally visible document based on it. If you choose the highlighted topic and it carries additional funding, we suggest that you contact your BJS program manager for additional guidance before submitting an application. These are the themes/topics applicable to Fiscal Year 1998 of the SJS Program: 99A. Analysis of criminal history records (such as for patterns of criminal behavior or stalking), offender tracking/system flow studies, evaluation or review of the State's criminal history record improvement activities, or studies related to handgun use. Applications choosing this topic are eligible for funding higher than the otherwise normal award amount and must show separately the budgeted expenditures for this item. At most one topic may be proposed in this topic area. The application must either state that the applicant is also the State's administrator of NCHIP funds or include a letter or memorandum of endorsement from the State agency administering NCHIP funds. 99B. Domestic and sexual violence data collection and analysis, including victims and offenders, the impact of arrest and arrest policies, prosecution and sentencing policies, related patterns and trends. Supplemental funding will be available for studies based on records/information contained in Sex Offender Registries, which can include the identification of the characteristics of sexual predators, patterns of recidivism, issues of offender mobility, especially across state boundaries, and analysis of sexual offender community notification systems. Applications choosing this topic are eligible for funding other than the otherwise normal award amount and must show separately the budgeted expenditures for this task. At most one topic may be proposed in this topic area. The application must either state that the applicant is also the State's administrator of funds awarded by BJS to establish or enhance the state's sex offender registry or include a letter or memorandum of endorsement from the State agency administering funds for establishment or enhancement of the state's sex offender registry. 99C. Drug control and drug abuse monitoring and studies related to drug abuse monitoring, studies related to the relationship between drugs and violent crime, gun use by offenders under the influence of drugs, driving under the influence of drugs, (licit or illicit), drug courts, treatment, and evaluation of drug control programs and strategies. 99D. Juvenile justice studies, research, analysis and evaluation related to the provisions of the Juvenile Accountability Incentive Block Grants (JAIBG). (For a complete description of this program, please refer to the Office of Juvenile Justice and Delinquency Prevention's web site at http://www.ncjrs.org/ojjhome.htm on the grants and funding page.) Projects conducted under this theme may be related to a State's certification that it is considering legislation, policies, or practices that would qualify it for the block grant, and/or to the twelve Program Purpose Areas listed below for promoting juvenile accountability. SACs can submit applications to undertake one or more studies related to eligibility for grants or the twelve study areas. Each SAC is limited to $40,000 in additional funding (for example, one study for $40,000 or two studies at $20,000 each.) These projects must be budgeted separately in the application. A. Topics related to State's certification for JAIBG grants (1) States must consider legislation, policies or practices to ensure that juveniles who commit an act after attaining 15 years of age that would be a serious violent crime if committed by an adult are treated as adults for purposes of prosecution as a matter of law or that the prosecutor has the authority to do determine whether to prosecute such juveniles as adults. (2) States must consider legislation, policies or practices that impose sanctions on juvenile offenders for every delinquent or criminal act, or violation of probation, ensuring that such sanctions escalate in severity with each subsequent, more serious delinquent or criminal act, or violation of probation including such accountability-based sanctions as restitution, community service, punishment imposed by community accountability councils comprising individuals from the offender's and victim's communities, fines and short-term confinement. (3) States must consider legislation, policies or practices to establish, at a minimum, a system of records relating to any adjudication of a juvenile who has a prior delinquency adjudication and who is adjudicated delinquent that, if committed by an adult, would constitute a felony under Federal or State law, which is a system equivalent to maintained for adults who commit felonies under Federal or State law. States must also consider making such records available to the Federal Bureau of Investigation (FBI) in a manner equivalent to adult records. (4) States must consider legislation, policies or practices to ensure that State law does not prevent a juvenile court judge from issuing a court order against a parent, guardian, or custodian of a juvenile offender regarding the supervision of such an offender and from imposing sanctions for a violation of such an order. (5) A State or unit of local government must have implemented, or agree to implement by January 1, 1999, a policy of testing appropriate categories of juveniles with the juvenile justice system for use of controlled substance. The categories of juveniles that are appropriate for testing shall be determined by the Chief Executive Office of the State certifying compliance or by the applicant unit of local government. B. Topics Related to JAIBG Program Purpose Areas (1) Building, expanding , renovating, or operating temporary or permanent juvenile correction or detention facilities, including training of correctional personnel; (2) Developing and administering accountability-based sanctions for juvenile offenders; (3) Hiring additional juvenile judges, probation officers, and court-appointed defenders, and funding pre-trial services for juveniles, to ensure the smooth and expeditious administration of the juvenile justice system; (4) Hiring additional prosecutors, so that more cases involving violent juvenile offenders can be prosecuted and backlogs reduced; (5) Providing funding to enable prosecutors to address drug, gang, and youth violence problems more effectively; (6) Providing funding for technology, equipment, and training to assist prosecutors in identifying and expediting the prosecution of violent juvenile offenders; (7) Providing funding to enable juvenile courts and juvenile probation officers to be more effective and efficient in holding juvenile offenders accountable and reducing recidivism; (8) The establishment of court-based juvenile justice programs that target young firearms offenders through the establishment of juvenile gun courts for the adjudication and prosecution of juvenile firearms offenders; (9) The establishment of drug court programs for juveniles so as to provide continuing judicial supervision over juvenile offenders with substance abuse problems and to provide the integrated administration of other sanctions and services; (10) Establishing and maintaining interagency information-sharing programs that enable the juvenile and criminal justice system, schools, and social services agencies to make more informed decisions regarding the early identification, control, supervision, and treatment of juveniles who repeatedly commit serious delinquent or criminal acts; (11) Establishing and maintaining accountability-based programs that work with juvenile offenders who are referred by law enforcement agencies, or which are designed, in cooperation with law enforcement officials, to protect students and school personnel from drug, gang and youth violence; and (12) Implementing a policy of controlled substance testing for appropriate categories of juveniles within the juvenile justice system. 99E. Internet infrastructure development and linkages, including building a World Wide Web page, computer support, and preparing reports for dissemination via the Internet. Applicants may select an existing Internet server as the location for their site; if such an arrangement is impractical, applicants should contact BJS and JRSA in preparing their applications so that appropriate Internet site locations can be made available to SACs. It is recommended that applicants receiving funds for this theme confer with BJS staff who manage its homepage. 99F. Research using incident-based crime data that are compatible with the National Incident-Based Reporting System. 99G. Corrections studies related to changing sentencing policies, including risk assessment, performance measures, truth in sentencing, and population analysis or projections. Applications including this theme must include documentation demonstrating support and/or cooperation of the State agency that administers grants from the Office of Justice Programs' Corrections Program Office. 99H. Any theme or topic that is identified by the SAC applicant and is accompanied by persuasive documentation and justification that the subject is a top priority for the state's Governor or criminal justice policy officials. G. Eligibility Requirements The applicant SAC must be authorized by State legislation or executive order. The SAC must be a nonpartisan professional organization which serves all branches of the criminal justice system and all levels of government in the State as well as the general public. Objectivity, independence, and visibility are important considerations in determining its placement in the State government. It is desirable that the SAC not be part of an agency that has line responsibilities in criminal justice programs; if the SAC is located in such an agency (State Police, Department of Corrections, Administrative Office of the Courts, etc.), special provisions must be made to ensure the SAC's broad mission, objectivity, independence, and visibility. These provisions must be documented in each application for funding. Examples of such provisions are letters of agreement from agencies that deal with other aspects of criminal justice in the State, or a SAC advisory board that includes policy-level officials of such agencies. The SAC must inform BJS of any substantive changes in these provisions, such as changes in the advisory board's structure or revisions in the scope of letters of agreement. Applications for SAC funding must contain an explanation of the placement of the SAC within the State organization structure, including the SAC's relationship to the Governor's Office, to other relevant State agencies, and any other organizations included as recipients of funds in the application. The SAC must be staffed by professionals skilled in the statistical treatment of data for policy analyses and familiar with the factors, issues, and processes involved in crime and the criminal justice system. Each application must identify the SAC director and other key personnel and must provide brief summaries of their qualifications. However, a duplicate qualification summary need not be provided if it was submitted as part of an earlier application. In the case of vacant positions, job descriptions must be provided. If the SAC directorship becomes vacant after an award is made, the recipient agency must notify BJS, and submit the position description and required qualifications to be used in recruiting a replacement. When a replacement is designated, a resume of the individual's qualifications must be submitted to BJS for approval. State Statistical Analysis Centers are the only entities eligible to apply for funds under the SJS program. General applicants must meet the requirements for a SAC as specified in these Guidelines. The Catalog of Federal Domestic Assistance (CFDA) number for the SAC program is 16.550 (Criminal Justice Statistics Development). It is permissible for some or all of the work to be performed under the SAC's overall direction by other persons or organizations, such as other State agencies, universities, nonprofit research firms, and private consultants. If work will be performed outside of the SAC, the application must include the qualifications of those performing the work. A SAC that wishes to apply for funds in cooperation with another organization but lack the authority to transfer funds to the cooperating organization should contact its BJS state monitor. H. Selection Criteria In making decisions to award funds under this program, BJS will be the sole judge of whether the application meets program requirements and whether it is operating satisfactorily and conforms to all applicable Federal and State requirements. The amount of the award will be based on the strength of the justification for what it is seeking to do and accomplish during the award period. Final authority on funding decisions is vested in the Director of BJS. Each application should contain a statement of the intended project's goals and objectives; the proposed strategy for achieving them, including anticipated products; and an evaluation of the project. The criteria for review and selection include: 1. Applications should be written so that each task or activity is costed separately and in priority order. Applicants are encouraged to attach a product to each task, such as a report or publication. 2. Organizational integrity, technical competence, and organizational placement of the applicant and other organizations proposed for funding; 3. Experience of applicant's personnel in similar work; 4. Technical soundness and completeness of the proposed approach; 5. Appropriateness of the project schedule and budget; and 6. Past record of applicant's performance with previous awards, including quality of work, completeness, and adherence to schedules. 7. The extent to which the program narrative addresses specific objectives of the SJS program, and the dollar resources needed to achieve them. I. Award Period Awards made under this announcement will be in the form of a cooperative agreement. Awards normally will be for twelve months, but can be longer if the applicant chooses. No-cost extensions may be granted by BJS for good cause (for example, under-spending due to an unavoidable staff vacancy). Extensions should be requested in writing at least 30 days in advance of the award's scheduled expiration date; requests that are received later may not be approved. BJS will not approve any extension of more than 1 year beyond the original expiration date of the award. J. Award Amount No minimum or maximum amount is established for an award. While the amount of past SAC awards may be used as a guide when preparing the application, sufficiently strong justification of tasks and activities could result in an award greater than that in the past; a weak justification may result in a smaller award. Each award is intended to supplement State financial support of the SAC. K. When to Apply Applications should be submitted to BJS at least 90 days before the requested starting date for the initial award to a SAC applying under this guideline. For funding in FY 1999, applications should be received by BJS no later than June 30, 1999. Applications received after June 30th may be deferred until the next fiscal year, beginning October 1, 1999. A SAC may apply for funding at any time for a theme which carries additional dollar resources if, at the time it submitted its normal annual application, that theme had not been identified as such. This means, for example, that a SAC which submitted its application prior to the issuing of this announcement and now wants to pursue activities related to Themes 98A, 98B or 98D, may apply for a supplemental award up until such time as a new announcement is released. L. Privacy Certifications U.S, Department of Justice Regulation 28 CFR Section 22.23 requires that a Privacy Certificate be submitted to BJS as part of any application for a project in which information identifiable to a private person will be collected for research or statistical purposes. Please see the appendix at the end of this announcement for instructions and a copy of the Privacy Certificate. Please be sure to submit the Certificate with your application when required. M. Contact For further information, contact Paul White, SJS Program Manager, at (202) 307-0771, or your state monitor. Application and Administrative Requirements Application Content All applicants must submit: ! Standard Form 424, Application for Federal Assistance ! Budget Detail Worksheet (replaced the Standard Form 424A, Budget Information) ! OJP Form 4000/3 (Rev. 1-93), Program Narrative and Assurances ! OJP Form 4061/6 Certifications Copies of these forms are provided in the appendix of this application package. Applicants are requested to submit an original and two copies of the application and certifications to the following address: Application Coordinator Bureau of Justice Statistics 810 7th Street, NW Washington, DC 20531 Phone: (202) 616-3500 Standard Form 424 (SF-424). The SF-424, a one page sheet with 18 items, serves as a cover sheet for the entire application. This form is required for every application for Federal assistance. No application can be accepted without a completed, signed original SF-424. Directions to complete each item are included on the back of the form. Budget Detail Worksheet. Applicants must provide a detailed justification for all costs, including the basis for computation of these costs. For example, the detailed budget would include the salaries of staff involved in the project and the portion of those salaries to be paid from the award; fringe benefits paid to each staff person, travel costs related to the project; equipment to be purchased with the award funds; and supplies to complete the project. Detailed Budget. Applicants must provide a detailed justification for all costs, including the basis for computation of these costs. For example, the detailed budget would include the salaries of staff involved in the project and the portion of those salaries to be paid from the award; fringe benefits paid to each staff person; travel costs related to the project; equipment to be purchased with the award funds; and supplies required to complete the project. Budget Narrative. The budget narrative closely follows the content of the detailed budget. The narrative should relate the items budgeted to project activities and allowable cost categories and should provide a justification and explanation for the budgeted items including the criteria and data used to arrive at the estimates for each budget category. Please note applications that include noncompetitive contracts for the provision of specific services must contain a sole source justification for any procurement in excess of $100,000. Program Narrative. All applications must include a program narrative which fully describes the expected design and implementation of the proposed program. In developing the narrative, refer to the program design (permitted core and noncore activities) as described in the program announcement. OJP Form 4000/3 (Rev. 1-93) provides additional detailed instructions for preparing the program narrative. The narrative should include a timeline of activities indicating, for each proposed activity, the projected duration of the activity, expected completion date, and any products expected. The application should include an explanation of the placement of the applicant agency within the State organization structure; a description of the roles and responsibilities of key organizational and/or functional components involved in project activities; and a list of key personnel responsible for managing and implementing the major elements of the program. Assurances. OJP Form 4000/3 (Rev 1-93) must be included in the application submission. If submitting this form separate from the SF-424, the applicant must sign and date the form to certify compliance with the Federal statutes, regulations, and requirements as cited. Certification Regarding Lobbying; Debarment, Suspension, and Other Responsibility Matters; and Drug-Free Workplace. Applicants should refer to the regulations cited in OJP Form, 4061/6 to determine the certification to which the they are required to attest. A copy of OJP Form 4061/6 is provide in the appendices of this application package. Applicants should also review the instructions for certification included in the regulations before completing this form. Signature of this form provides for compliance with 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 certifications shall be treated as a material representation of fact upon which reliance will be placed when the U.S. Department of Justice determines to award the covered transaction, grant, or cooperative agreement. Financial and Administrative Requirements Discretionary grants are governed by the provisions of OMB Circulars applicable to financial assistance. The circulars, in addition to the information and guidance in "OJP Financial Guide", are available from the Office of Justice Programs. This guideline manual, provided upon request, is intended to assist grantees in the administration of funds and includes information on allowable costs, methods of payment, audit requirements, accounting systems, and financial records. Complete and accurate information is required relative to the application, expenditure of funds, and program performance. The consequences of failure to comply with program guidelines and requirements will be determined at the discretion of the Department of Justice. Reporting Requirements Semi-Annual Progress Reports. Recipients are required to submit semi- annual progress reports. The progress reports describe activities during the reporting period and the status or accomplishment of objectives as set forth in the approved award documents and/or subsequently approved project time lines. Progress reports must be submitted within 30 days after the end of the reporting periods, which are June 30 and December 31 for the life of the award. A final report which provides a summary of progress toward achieving the goals of the grant, major project activities, significant results, and any products developed, is due 120 days after the end of the grant. Financial Status Reports. Financial status reports (SF 269A) are due quarterly by the 45th day following the end of each calendar quarter. A report must be submitted every full quarter that the award is active. The final report is due 120 days after the end date of the award. Fund drawdowns and future awards may be withheld if progress and financial reports are delinquent. An original and two copies of all reports must be sent to the Office of the Comptroller, Control Desk, Room 5303, 810 7th Street, NW, Washington, D.C. 20531-0001. Civil Rights Obligations All applicants for Federal financial assistance must sign Certified Assurances that they are in compliance with the Federal laws and regulations which prohibit discrimination in any program or activity that receives such Federal funds. Section 809(c), Omnibus Crime Control & Safe Streets Act of 1968, 42 U.S.C. 3789d, provides that: No person in any State shall on the ground of race, color, religion, national origin, sex [or disability]* be excluded from participation in, be denied the benefits of, or be subjected to discrimination under, or denied employment in connection with any program or activity funded in whole or in part with funds made available under this title. * Section 504 of the Rehabilitation Act of 1973, and Title II of the Americans With Disabilities Act prohibit identical discrimination on the basis of disability. The applicant agency must discuss how it will ensure nondiscriminatory practices as they relate to: (1) Delivery of Services or Benefits--to ensure that individuals will not be denied access to services or benefits under the program or activity on the basis of race, color, religion, national origin, gender, age, or disability; (2) Employment Practices--to ensure that its personnel in the program or activity are selected for employment without regard to race, color, religion, national origin, gender, age, or disability; and (3) Program Participation--to ensure members of any planning, steering or advisory board, which is an integral part of the program or activity, are not excluded from participation on the basis of race, color, religion, national origin, gender, age or disability; and to encourage the selection of such members who are reflective of the diversity in the community to be served. Audit Requirement State and Local Governments and Non-Profit Organizations are now governed by OMB Circular A-133, titled "Audits of States, Local Governments and Non-Profit Organizations." In July 1996, the President signed an amendment to the Single Audit Act of 1984 which (1) mandates one audit circular for both State and local governments, institutions of higher education, and other non-profit organizations; (2) raises the audit threshold for all entities to $300,000 of federal funds expended (this requirement is effective for audits conducted for fiscal years beginning on or after July 1, 1996); and (3) requires the submission of the audit report within nine (9) months from the end of the audit cycle (this requirement is effective for audits conducted for fiscal years beginning on or after July 1, 1998). The completed audit reports should be mailed to the Federal Audit Clearinghouse, Bureau of the Census, 1201 East 10th Street, Jeffersonville, IN 7132. In addition, a copy of the transmittal letter should be mailed to the Office of Justice Programs, Office of the Comptroller, Control Desk, at the address shown above. Disclosure of Federal Participation Section 8136 of the Department of Defense Appropriations Act (Stevens Amendment), enacted in October 1988, requires that, "when issuing statements, press releases for proposals, bid solicitations, and other documents describing projects or programs funded in whole or in part with Federal money, all grantees receiving Federal funds, including but not limited to State and local governments, shall clearly state (1) the percentage of the total cost of the program or project which will be financed with Federal money, and (2) the dollar amount of Federal funds for the project or program." Intergovernmental Review of Federal Programs Federal Executive Order 12372, "Intergovernmental Review of Federal Programs," allows States to establish a process for reviewing Federal programs in the State, to choose which programs they wish to review, to conduct such reviews, and to make their views known to the funding Federal agency through a State "single point of contact." If the State has established a "single point of contact," and if the State has selected this program to be included in its review process, the applicant must send a copy of its letter or application to the State "single point of contact" at the same time that it is submitted to BJS. The letter or application submitted to BJS must indicate that this has been done. The State must complete its review within 60 days. The review period will begin on the date that the letter or application is officially received by BJS. If BJS does not receive comments from the State's "single point of contact" by the end of the review period, this will be interpreted as a "no comment" response. If the State has not established a "single point of contact," or if it has not selected the BJS statistics development or criminal history improvement programs in its review process, this must be stated in the letter or application. Application Forms (for the application forms see the PDF file) Privacy Certification U.S. Department of Justice regulations at 28 CFR Section 22.23 require that a Privacy Certificate be submitted to BJS as part of any application for a project in which information identifiable to a private person will be collected for research or statistical purposes. Please note that BJS, as a matter of policy, requires that if the privacy certification regulations do not apply, a statement shall be submitted with the grant application declaring that no identifiable data will be collected. If during the project period, it becomes necessary to collect data identifiable to a private person, a Privacy Certificate shall be submitted immediately to BJS and will be included in the official grant file. The Privacy Certificate must fully describe the following: * Procedures to ensure data confidentiality; * Procedures to ensure the physical and administrative security of data; * Procedures for subject notification or justification for waiver; and * Procedures for final disposition of data. The Privacy Certificate must also include the name and title of: * the person with primary responsibility for ensuring compliance with the regulations; * the person authorized to approve transfers of data; and * the person authorized to determine final disposition procedures for the data collected and developed by the project. The following summarizes the requirements of 28 CFR Part 22 and should be used as a guide to complete the Privacy Certificate. 1. Data identifiable to a private person will not be used or revealed unless it is research or statistical information being used for research and statistical purposes. 2. Identifiable data will be used or revealed only on a need-to-know basis to: a. Officers, employees, and subcontractors of the recipient of assistance; b. Persons and organizations receiving transfers of information for research and statistical purposes only if an information transfer agreement is entered into in which the recipient is bound to use the information only for research and statistical purposes and to take adequate administrative and physical precautions to ensure the confidentiality of the information. 3. Employees with access to data on a need-to- know basis will be advised in writing of the confidentiality requirements and must agree in writing to abide by these requirements. 4. Subcontractors requiring access to identifiable data will only do so in accordance with an information transfer agreement which states that the confidentiality of the data must be maintained and that the information may only be used for research or statistical purposes. 5. Private persons from whom identifiable data are obtained or collected will be advised that the data will only be used for research and statistical purposes and that compliance with requests for information is not mandatory. That is, participation in the research is voluntary and may be withdrawn at any time. If the notification requirement is to be waived, an explanation must be contained within or attached to the Privacy Certificate. 6. Adequate precautions will be taken to ensure the administrative and physical security of the identifiable data. 7. A log indicating that identifiable data has been transferred to persons other than those in BJS or other OR bureaus or to grantee, contractor, or subcontractor staff will be maintained and will indicate whether the data has been returned or if there is an alternative arrangement for the future maintenance of such data. 8. Project plans will be designed to preserve the anonymity of persons to whom the information relates, including where appropriate, name- stripping, coding of data, or other similar procedures. 9. Project findings and reports prepared for dissemination will not contain information which can reasonably be expected to be identifiable to a private person. 10. Upon completion of the project, the security of research or statistical information will be protected by either: a. the complete physical destruction of all copies of the materials or the identifiable portions of the materials after the required retention period of three years or as soon as authorized by law; or b. the removal of identifiers from the data and separate maintenance of a name-code index in a secure location. If you choose to keep a name-code index, you must maintain procedures to secure such an index. PRIVACY CERTIFICATE Grantee(1), __________________________________ ____________________________________________, certifies that data identifiable to a private person(2) will not be used or revealed, except as authorized under 28 CFR Part 22, Sections 22.21 & 22.22. ____ (1)Please include the name of the Principal Investigator(s) for this project as well as the name of the person representing the institution receiving the grant funds. (2)Information identifiable to a private person is defined in 28 CFR Section 22.2(e) as "Information which either 1) Is labelled by name or other personal identifiers, or 2) Can, by virtue of sample size or other factors, be reasonably interpreted as referring to a particular private person." ____ Grantee certifies that access to the data will be limited to those employees having a need for such data and that such employees shall be advised of and agree in writing to comply with the regulations in 28 CFR Part 22. Grantee certifies that all contractors, subcontractors, and consultants requiring access to identifiable data will agree, through conditions in their subcontract or consultant agreement, to comply with the requirements of 28 CFR Sections 22-24 regarding information transfer agreements. Grantee also certifies that BJS will be provided with copies of any and all transfer agreements before they are executed as well as the name and title of the individual(s) with the authority to transfer data. Grantee certifies that, if applicable, a log will be maintained indicating that (1) identifiable data have been transferred to persons other than employees of NIJ, BJA, BJS, OJJDP, OVC, OJP, or grantee/contractor/subcontractor staff; and (2) such data have been returned or that alternative arrangements have been agreed upon for future maintenance of such data, in accordance with 28 CFR Section 22.23(b)(6). Grantee certifies that any private person from whom identifiable information is collected or obtained shall be notified, in accordance with 28 CFR Section 22.27, that such data will only be used or revealed for research or statistical purposes and that compliance with the request for information is not mandatory. Grantee certifies that project findings and reports prepared for dissemination will not contain information which can reasonably be expected to be identifiable to a private person, except as authorized by 28 CFR Section 22.22. Grantee certifies that adequate precautions will be taken to ensure administrative and physical security of identifiable data and to preserve the anonymity of the private persons to whom information relates. Grantee certifies that all project personnel, including subcontractors, have been advised of and have agreed, in writing, to comply with all procedures to ensure the confidentiality of data identifiable to a private person. To comply with the regulations in 28 CFR Part 22, please submit the following information with the grant application. Brief Description of Project: Procedures to notify subjects, as required by 28 CFR Section 22.23(b)(4) or an explanation if notification is to be waived, pursuant to 28 CFR Section 22.27(c): Procedures developed to preserve the anonymity of private persons to whom information relates, as required by 28 CFR Section 22.23(b)(7): Procedures for data collection and storage, as required by 28 CFR Section 22.23(b)(5): Procedures for the final disposition of data, as required by 28 CFR Section 22.23(c) and Section 22.25 and: Access to data is restricted to the following individuals, as required by 28 CFR 22.23(W (2): Principal Investigator(s): Project Staff: Subcontractors and/or Consultants: Grantee certifies that the procedures are accurately described above and will be adhered to by project staff, as well as subcontractors. Grantee certifies that BJS shall be notified of any material change in any of the information provided in this Privacy Certificate. Signature(s): _______________________(Principal Investigator) _______________________(Principal Investigator) _______________________(Institutional Representative) Date:_______________________ (end of file)