skip navigation
About UsNews CenterGrants/FundingPartnershipsResourcesFor CongressTraining & TA
OJP Topics

2.1 Application Process

Application Review

Jump to Section:
Applicant Type
Decision and Designation Regarding Risk Status of Applicant
Audit Issues
Verification of Taxpayer Identification Number
Review of Applicant Federal Debt
Assessment of Applicant’s Financial Capability
Confirmation of Dun & Bradstreet Data Universal Numbering System Number
Confirmation of Listing in System for Award Management

OJP or the awarding agency is required to ensure that awards meet certain legislative, regulatory, and administrative requirements. This policy requires that OJP or other awarding agency makes sure of the following:

  • The applicant is eligible for the specified program.
  • The costs and activities in the application are for allowable, allocable, necessary, and reasonable costs.
  • The applicant possesses the responsibility, financial management, fiscal integrity, and financial capability to administer Federal funds adequately and appropriately.

Applicant Type

Examples of types of applicants include, but are not limited to:

  • An individual
  • Not-for-profit organization
  • For-profit organization
  • State
  • Local unit of government
  • Tribe
  • Educational institution

[ back to top ]

Decision and Designation Regarding Risk Status of Applicant

When an applicant is designated as high risk by the Office of Audit, Assessment and Management, (OAAM), all DOJ components must consider the applicant high risk.

  • Under the DOJ High Risk Grantee Designation Program, OAAM may designate a grantee as high risk if the grantee:
  • Has a history of unsatisfactory performance;
  • Is not financially stable;
  • Has an accounting system that does not meet the standards set forth in Title 28 CFR §66.20 [PDF - 144 Kb] (which details standards for financial management systems);
  • Has not conformed to the terms and conditions of previous awards;
  • Is otherwise not responsible;
  • Has open a single audit report or Office of the Inspector General (OIG) audit report recommendations that have been open for more than a year, whereby an adequate corrective action plan has not been submitted by the grantee to OJP;
  • Does not respond to requests from OJP to address open single audit or OIG audit report recommendations;
  • Has significant noncompliance issues that were identified through the normal award administration process (i.e., financial or programmatic monitoring);
  • Is subject to an OIG investigation where award noncompliance issues were noted that require corrective action;
  • Is included on the list of grantees currently prohibited from receiving funding from the Office of Community Oriented Policing Services; and/or
  • Was referred to the U.S. Department of Treasury (Treasury) under the Treasury Offset Program for collection of award funds owed to OJP.
  • The DOJ may also impose additional restrictions on awards to grant recipients designated as high risk in accordance with Title 28 CFR §66.12 [PDF - 142 Kb] and Title 28 CFR §70.14 [PDF - 127 Kb].

[ back to top ]

Audit Issues

  • OJP may not approve you for an award if you have an overdue audit report or an open audit report that you have not responded to or tried to resolve.
  • If you are not in compliance with audit requirements, your application for an award may be rejected, or your funds may be withheld until audit compliance is achieved.

[ back to top ]

Verification of Taxpayer Identification Number

  • OJP or the awarding agency will verify the employer identification number (EIN) provided on the application.
  • OJP may assign a vendor number very similar to your EIN. This is done so that when a sub-agency within your government receives awards directly, they will have a separate identifier from that of the parent agency.
  • For example, you are a State government and your EIN is 123456777. A police department within your government applies for and receives an award from OJP, but since the EIN is the same, we assign them an OJP vendor number of 123456778 so that we can identify them as a sub-agency within your government.

[ back to top ]

Review of Applicant Federal Debt

The SF-424 asks if the applicant is delinquent on any Federal debt.

  • The applicant is the organization that is requesting Federal assistance, not the person who signs the application as the authorized representative of the organization.
  • Federal debt includes delinquent audit disallowances, loans, taxes, and any outstanding debts with the Treasury.

[ back to top ]

Assessment of Applicant’s Financial Capability

If you are a nongovernmental organization and you do not have any history with OJP within 3 years, then you are required to complete a Financial Capability Questionnaire [PDF - 541 Kb] and submit it to OJP before you can be approved for an award.

[ back to top ]

Confirmation of Dun & Bradstreet Data Universal Numbering System Number

All organizational grant applicants must have a Data Universal Numbering System (DUNS) number when applying for Federal awards and cooperative agreements (initial or supplemental awards). For more information, see the White House memo [PDF - 67.3 Kb] regarding the authority to collect a DUNS number.

  • As an organization, you can obtain a DUNS number at no cost by calling the toll-free DUNS number request line at 1-866-705-5711.
  • Individuals who apply for grant awards or cooperative agreements from the Federal Government are exempt from this requirement.

[ back to top ]

Confirmation of Listing in System for Award Management

The System for Award Management (SAM) is the Official U.S. Government system that consolidated the capabilities of the Central Contractor Registration (CCR), Federal Agency Registration (FedReg), the Online Representations and Certifications Application (ORCA), and the Excluded Parties List System (EPLS). It became operational in August 2012. It is where organizations (Entities) register if they want to do business with the Federal Government.

  • SAM collects, validates, stores, and disseminates data on organizations to help agencies in their acquisition missions, including Federal agency contract and assistance awards. The term “assistance awards” includes grants, cooperative agreements, and other forms of Federal assistance.
  • If you had an active record in the CCR in August 2012, your Entity’s record was migrated and included in SAM.
  • You must update or renew your registration at least once per year to maintain an active status. SAM will send notifications to the registered user via email 60, 30, and 15 days prior to the expiration of the record.
  • To update or renew your Entity record(s) in SAM, you will need to create a SAM User Account and link it to your migrated (existing) Entity records.
  • It takes 2 to 3 days for SAM to complete record updates. You will be notified via email when the process is complete and your record is active in SAM.
  • If your organization is new to doing business with the Federal Government, the initial registration in SAM takes up to 5 days to become active. Registration with SAM requires a DUNS number and your Entity’s Tax ID number (TIN).

[ back to top ]