National Criminal History Improvement Program (NCHIP)

DEPARTMENT OF JUSTICE

Bureau of Justice Statistics

[OJP No. 1016]

Z RIN 1121-ZA03

National Criminal History Improvement Program (NCHIP)

November 23, 1994.

AGENCY: Department of Justice, Office of Justice Programs, Bureau of

Justice Statistics.

ACTION: Notice of Program Plan.

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SUMMARY: The Bureau of Justice Statistics (BJS) is publishing this

notice to announce the initiation of the National Criminal History

Improvement Program (NCHIP) in Fiscal Year 1995. The grant program

implements the grant provisions of the Brady Handgun Violence

Prevention Act and the National Child Protection Act of 1993, and those

provisions of the Omnibus Crime Control and Safe Streets Act of 1968,

as amended, and Violent Crime Control and Law Enforcement Act of 1994

which pertain to the establishment, maintenance, or use of criminal

history records and criminal record systems.

This program announcement describes procedures applicable to awards

to be made under the NCHIP program during FY 1995. A program

announcement applicable to funding appropriated for years after FY 1995

will reflect comments received during the intervening time. Updated

guidelines governing use of Byrne Formula funds pursuant to the 5% set-

aside established under Section 509 of the Omnibus Crime Control and

Safe Streets Act of 1968, as amended, will be issued shortly by the

Bureau of Justice Assistance (BJA), in consultation with BJS. The Byrne

Guidelines should be considered together with this program announcement

in developing a state's program to meet the goals of the Brady Act and

the Child Protection Act.

DATES: Up to $25 million will be awarded to states submitting

applications before January 31, 1995.

ADDRESSES: Applications should be sent to Application Coordinator, the

Bureau of Justice Statistics, 633 Indiana Avenue, N.W., 11th Floor,

Washington, DC 20531.

FOR FURTHER INFORMATION CONTACT: Carol Kaplan, Assistant Deputy

Director, the Bureau of Justice Statistics at (202) 307-0759.

SUPPLEMENTARY INFORMATION:

Program Goals

The goal of the NCHIP grant program is to improve the nation's

public safety by: Facilitating the accurate and timely identification

of persons who are ineligible to purchase a firearm; ensuring that

persons with responsibility for child care, elder care, or care of the

disabled do not have disqualifying criminal records; and enhancing the

quality, completeness and accessibility of the nation's criminal

history record systems.

More specifically, NCHIP is designed to assist states:

--To meet timetables for criminal history record completeness and

participation in the FBI's Interstate Identification Index (III)

established for each state by the Attorney General,

--To improve the level of criminal history record automation, accuracy,

completeness and flagging,

--To expand and enhance participation in the FBI's Interstate

Identification Index (III) and the National Instant Criminal Background

Check System (NICS),

--To develop model procedures for accessing records of persons other

than felons (including persons subject to civil restraining orders

arising out of domestic or child abuse) who are ineligible to purchase

firearms,

--To identify (through interface with the National Incident Based

Reporting System (NIBRS) where necessary) records of crimes involving

use of a handgun and/or abuse of children, elderly or disabled persons,

and

--To ensure that states develop the capability to monitor and assess

state progress in meeting legislative and programmatic goals.

To ensure that all NCHIP-funded efforts support the development of

the national criminal record system, the program will be closely

coordinated with the FBI, the Bureau of Justice Assistance (BJA) and

the Bureau of Alcohol, Tobacco and Firearms (BATF).

Funding under the NCHIP program is available to both those states

which are subject to the 5 day waiting period (``Brady states'') and

those states which are operating under an alternative system pursuant

to approval of BATF (``non-Brady states'').

Legislative Background

The NCHIP program is authorized under Section 106(b) of the Brady

Act, which provides that:

The Attorney General, through the Bureau of Justice Statistics,

shall, subject to appropriations and with preference to States that

as of the date of enactment of this Act have the lowest percent

currency of case dispositions in computerized criminal history

files, make a grant to each State to be used (A) for the creation of

a computerized criminal history record system or improvement of an

existing system; (B) to improve accessibility to the national

instant criminal background system; and (C) upon establishment of

the national system, to assist the State in the transmittal of

criminal records to the national system.

The provisions of 18 USC 922(g) and (n), as amended by the Violent

Crime Control Act of 1994, prohibit the sale of firearms to an

individual who--(1) is under indictment for, or has been convicted in

any court, of a crime punishable by imprisonment for a term exceeding

one year; (2) is a fugitive from justice; (3) is an unlawful user of,

or addicted to, any controlled substance; (4) has been adjudicated as a

mental defective or been committed to a mental institution; (5) is an

alien who is illegally or unlawfully in the United States; (6) was

discharged from the Armed Forces under dishonorable conditions; (7) has

renounced his United States citizenship; or (8) is subject to a civil

restraining order arising out of domestic or child abuse.

The latter category was added as part of the Violent Crime Control

Act of 1994.

The Brady Handgun Violence Prevention Act, enacted in November 1993

and effective in February 1994, requires that licensed firearm dealers

request a presale check on all potential handgun purchasers by the

chief law enforcement officer in the purchaser's residence community to

determine, based on available records, if the individual is legally

prohibited from purchase of the firearm under the provisions of 18 USC

922 or state law. The sale may not be completed for 5 days unless the

dealer receives an approval before that time. The 5 day waiting period

requirement terminates by 1998, at which time presale inquiries for all

firearms will be made only to the National Instant Criminal Background

Check System (NICS). Section 103 of the Brady Act provides that NICS

will supply information on ``whether receipt of a firearm * * * would

violate (18 USC 922) or state law.'' As noted above, Section 106(b) of

the Brady Act establishes a grant program to assist states in upgrading

criminal record systems and in improving access to, and, interface

with, the NICS system.

In addition, Section 106(a) of the Brady Act amended Section 509(d)

of the Omnibus Crime Control and Safe Streets Act to specifically

provide that funds from the 5% set-aside under the Byrne Formula grant

program may be spent for ``the improvement of State record systems and

the sharing * * * of records * * * for the purposes of implementing * *

* (the Brady Act).''

The National Child Protection Act of 1993, as amended by the

Violent Crime Control Act, requires that records of abuse against

children be transmitted to the FBI's national record system. The Act

also encourages states to adopt legislation requiring background checks

on individuals prior to assuming responsibility for care of children,

the elderly, or the disabled. Section 4 of the Act establishes a grant

program to assist states in upgrading records to meet the requirements

of the Act. Under the definition set forth in Section 5(3) of the Act,

``child abuse crimes'' include crimes under any law of the state and

are not limited to felonies.

Both the Brady and Child Protection Acts required that the Attorney

General survey the status of state criminal history records and develop

timetables for states to achieve complete and automated records. The

survey was conducted during March 1994, and Governors were advised of

timetables by the Attorney General in letters of May and June 1994. The

letters indicated that compliance with timetable goals assumed

availability of grant funds under each Act.

The NCHIP program implements the requirements of the grant programs

established under both the Brady and Child Protection Acts.

In addition to the amendments noted above, Section 40602 of the

Violent Crime Control Act authorized a program to assist states in

entering data on stalking and domestic violence into local, state, and

national databases. Although funding was deferred, the Act emphasizes

the importance of ensuring that data on convictions for these crimes

are included in data bases being developed with Federal funds.

Appropriation

Section 106 (b) of the Brady Act authorized $200 million for the

grant program; the Child Protection Act authorized $20 million. An

appropriation of $100 million was made to implement Section 106 (b) of

the Brady Act for FY 1995, to be available until expended. Of this

amount, $6 million is being made available to the FBI for NICS, $1

million is available for Federal agency administration, and $5 million

will, consistent with the legislative history, be used to provide

technical assistance to states, program coordination, and to undertake

a program evaluation. The remaining $88 million will be made available

directly to the states. Of this amount, not less than $5 million will

be allocated to implement the requirement that preference be given to

states with the lowest levels of dispositions in automated records. In

light of the overlap between Brady and Child Protection Act goals,

funds from this appropriation may be used to meet related goals of the

Child Protection Act.

Program Strategy

General

To achieve the goals of the NCHIP program, at least one grant will

be made to each state with funds appropriated under the Brady Act.

Technical assistance will also be provided under BJS grant awards to

assist states in identifying areas of weakness, auditing record status,

long term planning, and developing and implementing technical and

administrative programs.

Funds under the Byrne Formula 5% set-aside program will also be

available to support the improvement of record systems and to meet the

goals of the Brady Act.

The NCHIP program includes three components: Core Activities,

Permitted Activities in Selected States (``extended core activities''),

and Least-Advanced ``Priority'' State Activities.

Core Activities

Basic System Development

Core activities focus on establishing and enhancing computerized

criminal history (CCH) records and on improving access to and interface

between such systems and the national instant criminal background check

(NICS) system. The Brady Act does not define the term criminal history

record. As defined in 28 CFR part 20, and used in the BJS Criminal

History Record Improvement (CHRI) program, however, the term is defined

as: ``information collected by criminal justice agencies on individuals

consisting of identifiable descriptions and notations of arrests,

detentions, indictments, information, or other formal criminal charges,

and any dispositions arising therefrom, sentencing, correctional

supervision, and release * * *''.

Specifically, core activities relating to basic system development

include efforts to improve the quality of criminal history records

(with emphasis on automation and disposition capture), increase

participation in the FBI's Interstate Identification Index (III), and

upgrade the accessibility of records for presale and preemployment

checks (primarily through record flagging). In addition to the above

activities relating to basic system development, core activities

include the following:

Non-Felony Records

Consistent with the Child Protection Act which defines a ``child

abuse crime'' within the context of ``a crime committed under any law

of a state,'' NCHIP core activities include efforts to increase system

access to non-felony records, particularly in areas relating to child

or domestic abuse or crimes against the elderly or disabled.

Interface With NIBRS

In order to permit states to identify persons with records

involving child, elderly, or disabled abuse, NCHIP core activities

include efforts to establish an interface between criminal history

record systems and any state data system which is compatible with

NIBRS.

Information on Stalking and Domestic Violence

Consistent with Section 40602 of the Violent Crime Control Act,

core activities include the development of procedures to ensure that

information on convictions relating to stalking and domestic abuse are

included in, and accessible through, the criminal history database.

Research, Evaluation, Monitoring and Audit

In order to maximize the utility of information collected as part

of the NCHIP program, core activities include continuing efforts to

evaluate, audit, or monitor progress in meeting legislative or program

goals through statistical or other related means, and specific research

studies relating to use of handguns.

To ensure program continuity and emphasize criminal history record

improvement in support of the NICS, the major portion of funds to be

expended for core activities should be retained by the agency with

responsibility for CCH records (if that is the agency designated to

administer the program) or transferred directly to the agency with such

responsibility. The application should indicate clearly the level of

funds which will be made available to this agency for this purpose. The

application should also indicate the level of funds which will be made

directly available to the courts where the courts are the appropriate

source for data on dispositions or other record data.

Permitted Activities in Selected States (``Extended Core Activities'')

In addition to funding core improvements to criminal history

records, BJS will provide a limited amount of NCHIP funds (not to

exceed $5 million in total) to selected states to assist in the

identification of persons other than felons who are prohibited from

purchasing firearms under 18 USC 922 (g) and (n), as amended. The

purpose of this effort will be to support the long-term goal of the

permanent system established under Section 102(b) of the Brady Act by

enhancing the effectiveness of the NICS.

In addition to previously identified non-computerized criminal

history (CCH) categories, the Violent Crime Control Act amended the

Brady Act to prohibit firearm purchase by persons subject to a civil

restraining order arising out of domestic or child abuse. Such orders,

although not technically criminal, are enforced by the criminal justice

system, which depends on the availability of data on such persons for

implementation.

Under the NCHIP ``extended core'' program, funds can be used to

evaluate the feasibility of accessing such records and to develop

protocols for interfacing with non-CCH systems for purposes of

background checks.

BJS will identify those states which are eligible to apply for

funds to conduct such activities based on level of CCH development,

participation in III, extent of automation and technical development,

current efforts to interface with other categories of prohibited

firearm purchasers (either within the state or interstate), and

experience under the BJS CHRI program. States determined to be eligible

will be notified by the end of January 1995. Funds will be in addition

to funds provided for core activities, which will be required to be the

major focus of the state's NCHIP program.

Selected states which wish to apply for funding under this category

should include a separate component in their grant application

describing such activities and proposing a budget to cover the proposed

efforts. This request may be submitted as a supplement or amendment to

the basic application.

States applying for funds under this section should understand that

the goal of these efforts is to demonstrate the feasibility of multi-

database interface for background check purposes and that the projects

are intended to provide guidance to, and serve as models for, future

implementation by other jurisdictions. In particular, it is envisioned

that the programs developed with NCHIP funds will serve as models for

these efforts and that additional states will subsequently use Byrne 5%

set-aside funds to develop system access to non-CCH data. For this

reason, applications for funds under this section should include a

description of proposed efforts to evaluate the success of activities

undertaken and to prepare materials describing the project for exchange

with other states. States should also realize that BJS will be

documenting these efforts and that the applicant will be expected to

provide input as requested by BJS for these materials.

In light of the importance of these demonstration programs to the

overall BJS NCHIP program, BJS will provide additional technical

assistance to the selected states to ensure that, together, the

activities being funded will advance the development of the NICS at

both the state and Federal level.

Least-Advanced Priority State Activities (``Priority State

Activities'')

Section 106(b) of the Brady Act requires that BJS give ``preference

to States that, as of the date of enactment *** have the lowest

currency of case dispositions in computerized criminal history files

***.'' To implement this requirement, at least $5 million will be

allocated to states in this category. Designated states will also be

eligible for priority technical assistance at no cost. The

determination of states qualifying under this special provision will be

made after release of the 1993 Survey of State CHRI Systems. States

will be notified by December 31, 1994. States designated under this

category may only use NCHIP funds to support the basic system

development components of the core funding activity.

Application and Award Process

Eligibility Requirements

Designation of Agency To Administer NCHIP Program

To participate in NCHIP, each state must designate an agency to

submit an application and to administer the program. The agency should

be the agency with primary responsibility for implementing the major

activity to be funded with NCHIP funds or a parent agency with

programmatic oversight over, and legislative authority to transfer

funds to, such agency. Since the NCHIP program focuses on improvement

of criminal records and interface with the NICS, BJS anticipates that,

in a large number of cases, the NCHIP agency will have responsibility

for maintenance of criminal records and liaison with the FBI and/or

other record sources including NIBRS, if existing. As noted below,

NCHIP procedures envision that strong state coordination will exist

between the NCHIP and Byrne 5% set-aside programs to avoid overlap and

maximize funding effectiveness. It is not necessary that the NCHIP

agency be the same as the agency with administrative authority over

Byrne 5% set-aside funds. The application should indicate the basis for

the selection of the NCHIP agency, justified in terms of the

organizational posture of the selected agency and its role in meeting

the goals of the Brady and Child Protection Acts.

Only one application will be accepted from each state for any

period of funding. It is the responsibility of the Governor to select

the applicant agency. A state may, however, choose to submit its

application as part of a multi-state consortium or other entity. In

such case, the application should include a statement of commitment

from each state and be signed by an individual designated by the

Governor of each participating state. The application should also

indicate specific responsibilities, and include a separate budget for,

each state. States may receive successive awards over time, assuming

availability of funds.

Program Narrative

In addition to the requirements set forth in the ``Application and

Administrative Requirements'' section of the program announcement, the

NCHIP application should include the following four parts:

Part I. Background

This part should include a discussion of current and previous

efforts relating to criminal history record improvement funded under

the BJS CHRI program, the BJA Byrne 5% set-aside or with state funds

over the past three years. The discussion should specify the amount of

funds received under the BJS and Byrne programs and the funds remaining

at the time of application. The section should also describe

accomplishments with previous funding and the relationship to proposed

NCHIP activities. A copy of the State plan and the most current update

on the use of Byrne 5% set-aside funds, as submitted to BJA, should be

appended, along with a copy of any other long term state plans for

criminal history record improvement.

Part II. Identification of Needs

This part should discuss audit or other evaluative efforts

undertaken to identify the key areas of weakness in the state's

criminal record system and in its ability to identify ineligible

firearm purchasers or persons ineligible to hold positions involving

children, the elderly or the disabled. Specific reference should be

made to relevant studies and to the findings of any internal or

external independent audits which have been completed in the past five

years.

Part III. NCHIP Effort

This part should describe the activities to be undertaken with

NCHIP funds over the coming 36-month period. Specifically, each

application should indicate the core activities to be undertaken to

improve its criminal history system, to initiate or enhance

participation in III, to support the state's interface with the NICS,

and to meet the timetable established by the Attorney General. The

section should also discuss proposed efforts, if any, to identify

particular offender types (either through interface with NIBRS or other

means); and to ensure that criminal records pertaining to stalking or

domestic abuse are included in criminal record data bases. Discussions

of proposed efforts to upgrade record completeness should indicate

whether, and how, the courts or other record providers have been

involved in preparation of the application and how funds will be made

available to such entities.

Part III of the application should also describe the efforts to be

supported to monitor state compliance with legislative or programmatic

goals through ongoing audits or other means such as statistical

analysis, comparison between CCH records and NIBRS or UCR data. Studies

relating to handgun use or sales approval, if proposed, should be

described in this section. The application should include evidence

that, where appropriate, the state Statistical Analysis Center was

consulted in connection with the development of such projects.

BJS is currently supporting the Firearm Inquiry STatistical

(``FIST'') program to develop national level data on Brady

implementation. BJS will advise states by the end of December 1994 of

the scope of this project. In support of the basic elements of this

project, however, the application should describe procedures to collect

data on the number of Brady inquiries, ``hits'' and captures (including

the total number of queries against data bases other than the criminal

history record). The application should also indicate procedures for

collection of data on the number of background checks on persons

seeking positions involving children, the elderly, or the disabled and

the number of records with action in the past five years which are

complete and automated. States receiving NCHIP funds will be required

to participate in the FIST effort and to submit other information for

evaluation programs instituted under the NCHIP program.

Permitted activities in selected states (``extended core

activities''): States selected to apply for ``extended core'' funds,

may apply for additional funds to develop, and/or implement procedures

to access information on persons other than felons/fugitives who are

Federally prohibited from purchasing a firearm. In addition to

describing proposed activities, interested states should justify their

request for such funding in terms of current CCH development and

participation in III, and describe state procedures, if any, for

interface between the criminal record system and other relevant

databases. (See ``allowable costs'' for covered expenses in this area.)

In order to permit assessment of state progress in meeting grant

goals, Part III of all applications should set forth measurable

benchmarks or goals for each proposed activity.

Part IV. Relationship to Byrne 5% Set-Aside Program

This Part should describe activity to be undertaken with Byrne 5%

set-aside funds during FY 1995 and 1996. A key part of this submission

is a description of the relationship between these activities and the

activities to be supported under the NCHIP program. Where the state has

previously submitted a 1995 update to BJA, a copy of the submission

should be included in this Part to meet this requirement.

Alternatively, a copy of the material developed for this Part, may be

submitted to BJA as the state's 1995 update, consistent with any other

requirements as set forth in the Byrne 5% set-aside Guidelines to be

issued. In the latter case, the state should have this section prepared

by the agency with responsibility for administering the Byrne funds,

rather than the agency designated to administer the NCHIP program. The

relationship between the Byrne 5% set-aside and the NCHIP program is

discussed more fully below.

Coordination Between NCHIP and the Byrne 5% Set-Aside Program

The Bureau of Justice Statistics and the Bureau of Justice

Assistance have jointly agreed that close and continuing coordination

between the NCHIP and Byrne 5% set-aside program is critical to meeting

the goals of the Brady Act and the National Child Protection Act of

1993. Such coordinated efforts are also necessary to ensure the

development of an effective interstate criminal history record system

to meet the needs of law enforcement, the criminal justice community

and the increasing number of non-criminal justice users of criminal

history record information. To achieve this goal, BJS and BJA will,

consistent with the legislative requirements, work together to prepare

Guidelines governing use of the Byrne 5% set-aside funds. The

Guidelines are expected to be finalized by the end of December 1994.

BJS expects that program plans for projects to be funded under

NCHIP and the Byrne 5% set-aside will be coordinated by the state

agencies responsible for these programs. Where costs of a proposed

activity exceed NCHIP available funds or are unallowable under NCHIP,

the state might, for example, use Byrne funds to fill remaining needs.

This joint effort, we believe, will maximize the effectiveness of both

of these programs.

Award Period

The application should cover a three-year period with specific

information provided primarily for the first year. The budget should

provide details for first-year expenses and should contain data in

required categories for years two and three if applicable (see

``Application Content'' in ``Application and Administrative

Requirements'' section). The application should identify those agencies

to receive direct funding and indicate the fiscal arrangements to

accomplish fund transfer.

Application Submission and Due Dates

The goal of the NCHIP program is to ensure that all states receive

funding support. Absent special circumstances, applications should be

received by July 1, 1995, to be eligible for FY 1995 funding.

Applications may be submitted at any time after publication of this

announcement and will be reviewed as received. Based on applications

received by January 31, 1995, up to $25 million of funds available for

core activities will be awarded by April 15, 1995. This does not

include additional awards which may be made from set-asides for

``priority'' states or states undertaking ``extended core'' activities.

Initial awards may be for partial funding for some states. Partially

funded applications will be reconsidered for additional funding at a

later date. Since approval of funding under the NCHIP program will be

based on proposed activities and the overall availability of

appropriations, states submitting applications after the January 31

deadline will not be disadvantaged in overall level of award.

If a state which is eligible to apply for ``priority state''

funding or funding for ``extended core activities'' has already

submitted its application for core activity, the application for

additional funds can be submitted as an amendment or a supplement to

the original application.

Allocation of Funds

To implement the ``preference'' requirement of the Brady Act, not

less than $5 million will be allocated to provide supplemental funding

for the least-advanced ``priority'' states. $5 million will be set

aside to cover the cost of ``extended core'' activities in the states

receiving an award to undertake such projects. $5 million will also be

used to cover costs of technical assistance, evaluation and

coordination. The remainder of available funds will be allocated to

cover the cost of core activities.

States may receive funding from the core allocation as well as

either the fund for ``priority'' states or the fund established for

``extended core'' activity. Including both core funding and

supplemental awards from the set- asides, the least-advanced

``priority'' states will receive an aggregate of at least $10 million.

Review Criteria

States should understand that full funding may not be possible for

all proposed activities. Allocation of funds will be based on the

amount requested and the following factors:

(1) The legislatively mandated ``preference to states which * * *

have the lowest percent currency of dispositions in computerized

criminal history files'' as of 1993;

(2) The extent to which the proposed activities will enable the

state to meet the timetables established for the state by the Attorney

General;

(3) The extent to which improvements in the state system, by virtue

of record numbers, levels of technical development, or operating

procedures, will have a major impact on availability of records

throughout the national system;

(4) The proposed use or enhancement of innovative procedures which

may be of value to other jurisdictions;

(5) The technical feasibility of the proposal and the extent to

which the proposal appears reasonable in light of the state's current

level of system development and statutory framework;

(6) Prior activity of the state with funds under the Byrne and CHRI

programs;

(7) State commitment to the national record system as evidenced by

membership in III, and participation in the FBI's National Fingerprint

File (NFF), Felon Identification in Firearms Sales (FIFS) programs,

etc., and the current status of development of its CCH;

(8) Reasonableness of the budget;

(9) Evidence of state progress in meeting record improvement and

background check goals as measured in terms of audits, and data

collection relating to presale firearm checks and background checks on

persons seeking positions involving children, the aged and the

disabled;

(10) Nature of the proposed expenditures;

(11) The extent to which the plan reflects constructive interface

between relevant components of the state organization and/or multi

state systems; and

(12) The reasonableness of the relationship between the proposed

activities and the current status of the state system, in terms of

technical development, legislation, current fiscal demands, and future

operating costs.

The program does not require either ``hard'' (cash) or ``soft''

(in-kind) match. Indications of state support, however, may be

interpreted as expressions of commitment by the state to the program.

All applicants must agree to participate in evaluations sponsored

by the federal government. Applicants must also agree to provide data

relating to Brady Act activity to the Firearm Inquiry Statistics (FIST)

program in the format designated by the FIST program.

Allowable Costs

To the extent possible, awards will be made to cover all allowable

costs. States receiving funds from the allocation for ``priority''

states, however, will be required to limit expenditures to purposes

directly related to establishment of the basic elements of the criminal

history record system and steps necessary to permit participation in

III. Among the remaining states, use of funds for non-CCH purposes will

be approved only to the extent that the state is making progress toward

the improvement of the criminal history record system and interface

with the III.

Allowable expenses are detailed below. All expenses are allowable

only to the extent that they directly relate to programs described in

the application's program narrative.

Core Activities

(1) Participation in the Interstate Identification Index (III):

This is a key goal, and costs should be related to achieving full

participation. Covered costs include, but are not limited to, costs

associated with automation of the database (see limitations in (4)

below), synchronization of records between state and FBI, and

development of necessary software and hardware enabling electronic

access on an intrastate or interstate basis.

(2) Database enhancement: Improving the quality, completeness and

accuracy of criminal history records is a key goal of the NCHIP effort.

Allowable costs include the costs associated with implementing improved

record capture procedures, establishing more effective accuracy

controls, and ensuring that records of all criminal events that start

with an arrest or indictment are included in the database. In addition

to felony records, limited funds may be used to capture data on serious

misdemeanors, and to ensure that data on persons convicted of stalking

and/or domestic abuse are included in the database. Use of funds for

capture of data on misdemeanors and persons convicted of stalking will

only be approved where the state has, or is actively undertaking

efforts to upgrade, the basic elements of the criminal history record

system.

(3) Improved disposition capture: Automated interface between the

criminal history repository and the courts, prosecutors, and/or

corrections agencies is encouraged. Funds provided to courts or

prosecutors for these purposes are allowable only to the extent that

the function to be supported is related to the capture of disposition

or other data relating to the offender record (for example, full costs

associated with establishment of court MIS systems are not allowable

under the NCHIP program).

(4) Record Automation: These are allowable costs only with respect

to records where the subject has been arrested, indicted, convicted, or

released from confinement within 5 years of the date of automation. As

appropriate, allowable costs also include costs associated with system

design in states with non automated systems or in states proposing to

enhance system operation to include access to non-CCH databases.

(5) Flagging of Records: This is an important activity. Allowable

costs include costs of flagging, or algorithms used for flagging,

felony records and records of persons with convictions for crimes

involving children, the elderly and/or the disabled. Costs may include

the cost of technical record flagging as well as the costs associated

with identification of records to be flagged (see (7) below re:

Interface with NIBRS).

(6) AFIS/Livescan: Automated Fingerprint Identification System

(AFIS)/livescan equipment for local law enforcement agencies is

allowable to improve the level of arrest and disposition reporting, but

only where: (1) The state repository system is automated, participating

or looking toward participation in III, and has in place the technical

capability to accept AFIS transmissions, and (2) sufficient traffic can

be demonstrated to justify the cost, possibly through the use of

regional systems.

AFIS/livescan in squad cars is not allowable since field inquiries

are not a factor in checks under either the Brady Act or the Child

Protection Act. Additionally, since data are not generally input to the

system by the field unit, AFIS in the squad car would not support

record improvement or completeness.

AFIS/livescan for use in courts is allowable to support record

completeness. The same conditions regarding repository capability and

levels of traffic are also applicable to costs in this category.

Costs associated with AFIS/livescan communication from the

repository to the FBI national system (IAFIS) are allowable but only

where the state can demonstrate adequate levels of record completeness

(both arrest and disposition) and current membership in III.

States should understand that Byrne 5% set-aside funds are

available for AFIS and livescan, and that, accordingly, use of NCHIP

funds for AFIS or livescan will only be allowable when justified as

appropriate given the overall status of the state system, its

participation in the national system and its planned use of Byrne 5%

set-aside funds. This is particularly relevant as respects state

proposals to use NCHIP funds to cover costs of local livescan

equipment.

(7) Interface with NIBRS: Funds may be used to interface with any

state data system which is compatible with NIBRS for purposes of

identifying persons convicted of crimes against children, the elderly,

or the disabled, and/or identification of records involving firearm

crimes for operational or research purposes. NCHIP funds are not

available, however, to develop the NIBRS database.

(8) Research, Evaluation, Monitoring and Audits: Costs associated

with research or evaluation efforts are allowable to the extent that

they are directly associated with a project approved in the

application. Costs associated with monitoring state compliance with

legislative or programmatic goals, through ongoing or periodic audits

or other procedures, are allowable and encouraged. The purchase of

equipment such as modems and the necessary communications and data

software for storing and transmitting evaluative data between states

and to BJS or other designated federal agencies is an allowable

expense.

(9) Conversion of juvenile records to the adult system: The

Attorney General has recently amended Federal Regulations to allow the

FBI to accept juvenile records if submitted by the state or local

arresting agency. Expenditures to interface juvenile and adult records

are allowable if consistent with relevant state law and undertaken to

further the goals of the NCHIP program.

(10) Missing Dispositions Backlog Reduction: These costs are

allowable to improve the level of disposition reporting but only where

limited to records with arrests within the past 5 years. States must

also propose a strategy to prevent future backlogs from developing.

(11) Equipment Upgrades: Upgrade costs are allowable where related

to improving availability of data and where appropriate given the level

of data completeness, participation in III, etc. Replacement costs will

be considered but states are encouraged to contribute some portion of

the total costs.

(12) Training, participation in seminars and meetings: Limited

funds may be used to cover costs of training and participation in

state, regional or national seminars or conferences (including travel,

where necessary).

(13) Expenditures related to presale handgun background checks:

Funds are allowable to cover costs incurred by a governmental agency

for equipment or development of capability required to conduct presale

background checks. This ``governmental agency'' limitation may be

waived in a very limited number of cases where the state has

implemented a functioning background check system and can demonstrate

that the vast preponderance of inquiries are made by a limited number

of dealers, that technical and procedural safeguards have been

established to protect the privacy of potential purchasers, and that

the equipment to be provided to dealers would be of use for operation

under the permanent system. Waivers will only be considered in states

which are participants in III and which have achieved high levels of

automation and record completeness. NCHIP funds may not be used to

cover costs of conducting presale background checks.

Extended Core Expenditures

Interface with non-CCH databases: Costs associated with developing

access to, and interface between, databases on persons other than

felons who are ineligible to purchase a firearm are allowed. Such costs

include, but are not limited to, costs of investigating the existence

and completeness of other databases, identifying problems in accessing

and interfacing with such databases, and developing and implementing

protocols for accessing these categories of data, and, where

appropriate, incorporating such data into criminal history record data

systems. Costs of documenting these projects and presenting results

thereof are also allowable. Costs in this category are allowable only

for those selected states that receive a grant to conduct ``extended

core'' activities.

Application and Administrative Requirements

Application Content

All applicants must submit:

Standard Form 424, Application for Federal Assistance

Standard Form 424A, Budget Information

OJP Form 4000/3 (Rev. 1-93), Program Narrative and

Assurances

OJP Form 4061/6 Certifications

OJP Form 7120/1 (Rev. 1-93), Accounting System and

Financial Capability Questionnaire (to be submitted by applicants who

have not previously received Federal funds).

Copies of these forms can be obtained from the BJS Application

Coordinator.

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, 633 Indiana

Avenue, 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.

Standard Form 424A (SF-424A). All applications must include SF-

424A, Budget Information for all years of project activity. Applicants

should ensure that all appropriate columns and rows balance. Directions

to complete this form are found on page 3 of SF-424A.

Detailed Budget. Applicants must provide a detailed justification

for all costs during year one and for any additional project years, as

appropriate, 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 $25,000. The

budget narrative should indicate amounts to be made available to

agencies identified in the program strategy (for example, the agency

with responsibility for CCH, the courts, local agencies.)

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 they are required to attest. A copy of OJP Form

4061/6 can be obtained from the BJS Application Coordinator. 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, with

additional information and guidance, are contained in the ``Financial

and Administrative Guide for Grants,'' Office of Justice Programs,

Guideline Manual, M7100, 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, Federal rights of access to

records, 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.

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, or sex 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 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

In October 1984, Congress passed the Single Audit Act of 1984. On

April 12, 1985, the Office of Management and Budget issued Circular A-

128, ``Audits of State and Local Governments'' which establishes

regulations to implement the Act. OMB Circular A-128, ``Audits of State

and Local Governments,'' outlines the requirements for organizational

audits which apply to BJS grantees.

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.

Jan M. Chaiken,

Director Bureau of Justice Statistics.

[FR Doc. 94-29577 Filed 11-30-94; 8:45 am]

BILLING CODE 4410-18-P