Appendix A
Unavailable or Incomplete Information Requested by the Committee

Table A-1 is a sample of materials requested by the committee that the National Institute of Justice (NIJ) was unable to provide or provided only in part. The committee did receive a number of documents from NIJ with useful information. However, many of these were currently in the public domain or had significant limitations (e.g., information available for only a short time period or for a partial set of program activities). This sample is presented to enable the reader to understand the limits on the committee’s analyses. Of critical importance is the fact that we were not allowed access to grant applications, peer-review documents, or the agency’s electronic grant management system. As a result of our inability to access some types of data, we were restricted in our ability to analyze and assess the quality of NIJ’s grant award process, funding decisions, and award monitoring. In addition, the limitations in the data we received curtailed our ability to examine the historical trends of NIJ’s funding sources, programs, and accomplishments.



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Appendix A Unavailable or Incomplete Information Requested by the Committee T able A-1 is a sample of materials requested by the committee that the National Institute of Justice (NIJ) was unable to provide or provided only in part. The committee did receive a number of documents from NIJ with useful information. However, many of these were currently in the public domain or had significant limitations (e.g., information avail- able for only a short time period or for a partial set of program activities). This sample is presented to enable the reader to understand the limits on the committee’s analyses. Of critical importance is the fact that we were not allowed access to grant applications, peer-review documents, or the agency’s electronic grant management system. As a result of our inability to access some types of data, we were restricted in our ability to analyze and assess the quality of NIJ’s grant award process, funding decisions, and award monitoring. In addition, the limitations in the data we received cur- tailed our ability to examine the historical trends of NIJ’s funding sources, programs, and accomplishments. 

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TAbLE A-1 Unavailable or Incomplete Information Requested by the Committee  Data Item/Information Requested Status Comment 1. Budgetary Information Annual National Institute of Justice (NIJ) Not available. spring budget call submissions. Annual Office of Justice Programs Not available. (OJP) budget submissions to Office of Management and Budget. Information NIJ provided to Office of the Partial list of items provided but not the materials This was an attempt to obtain Inspector General (OIG) for years 2005- themselves. information already provided to OIG 2007 on competitive and noncompetitive for its study of NIJ’s grant-making grants. activities so that NIJ would not have to prepare budget or programmatic information in a new form. NIJ funding history by functional area Unavailable data for ORE funds by functional area Data system for identifying and tracking or major program, including publication as listed on their website; breakdown of discretionary evaluation grants no longer operational. and dissemination and OJP management and nondiscretionary funds by functional areas not and administrative support for years available; breakdown by such categories as research 1994-2008. and evaluation, basic and applied also not available. Breakdown of Office of Science and OST provided a breakdown of discretionary and Technology (OST) and Office of Research nondiscretionary funds available for research and Evaluation (ORE) budgets by category but not for other functional categories, such research versus program support; pass- as testing and evaluation, technical assistance, and through versus appropriation to NIJ; and capacity building. earmarks and other nondiscretionary spending.

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Breakdown of grants and other financed Congressionally mandated funds were identified activities that involve partnering of NIJ but not funds that had been transferred from other with other agencies. agencies at their discretion, e.g., funds from Office of Juvenile Justice and Delinquency Prevention or Bureau of Justice Assistance for evaluations of their programs. List of interagency agreements. OST and ORE interagency agreements for 2008 only. List of FY 2009 grants (awarded Not provided as of 12/10/2009. 9/30/09). 2. Organization/Staffing OJP-approved staffing charts of full-time Three signed OJP staffing charts obtained from NIJ Other years unavailable from either NIJ equivalents (FTEs) by organizational unit, date 2/14/2008, 11/21/2007, 9/28/2006. or OJP’s human resources department. title, job series, and grade level for years 1994-2008. Actual staffing chart of FTEs by Only one staffing chart for 2/14/2008 identified organizational unit, titles, grades, names of staff and vacancies. vacancies, staff names by position, and noted vacancies. Educational level of staff, years of service, Aggregate information on staff degrees presented by Current educational levels and years current position held. major office and grouped into 22 categories for years of service available in aggregate form 1995, 1998, 2001, 2004, 2008. only; no information available on area of concentration for graduate work; only federal service available not service at NIJ. continued 

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TAbLE A-1 Continued 0 Data Item/Information Requested Status Comment Staff turnover and reason for separation. Available for period January 1, 2002, through Reason for separation not available; November 2007 only. does not include names of staff who transferred out of NIJ but stayed in federal service. Eligibility for retirement. Current eligible dates available in aggregate for 2008 only. FTEs vs. contract employees per year. Not available. Human resources department does not keep FTE information by year. Office of General Counsel (OGC) advised that all information on contract employees confidential. Previously posted electronic staff listings Not provided. An OGC lawyer opined that once staff from NIJ website. left NIJ, needed to have their permission to release this information; names of contractors would need to be redacted. 3. Peer-Review Process Peer-review reports, peer-review panel Not available. According to NIJ, OGC indicates that reports. no specific peer-review information can be provided to anyone other than the designated applicant without the applicant’s permission. 4. Grant Award Process Applications submitted for the Centers of Not available from NIJ. OGC advised the committee to submit Excellence program. a Freedom of Information Act (FOIA) request.

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Winning proposals for the Centers of Not available from NIJ. Winning proposals provided by OGC Excellence. via FOIA or grantee with staff names and budget removed. 5. Management Information Systems Description of Grant Management System Not available. Approval by OJP provided but not infrastructure and other databases. communicated in time to be useful. 6. Dissemination Process Requests for research reports by Total quantities ordered for the 30 most requested practitioner organizations. documents 1997-2007 but no breakdown as to kind of requestor. 7. Program Files Grant files on Program on Human Some random working files provided by NIJ staff. A request was made to the OJP File Development in Chicago Neighborhoods. No official files stored at NIJ. Archives; it was reported that the official grant files were missing. 8. Miscellaneous Information Written documentation of Department of Not provided. OGC was asked to provide Justice and OJP policies that prevented documentation as to why the committee the following information from being was unable to have access to certain provided: documents. a. grant-monitoring documents/progress reports, b. proposals from unsuccessful applicants, c. proposals from successful applicants, d. staffing and budgetary information on funded proposals. NOTE: This list does not represent the entirety of the committee’s requests, but only those documents that were not received or were incomplete. 

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