National Criminal History Improvement Program (``NCHIP'')

[[Page 26212]]

DEPARTMENT OF JUSTICE

Bureau of Justice Statistics

[OJP No. 1080]

RIN 1121-ZA34

National Criminal History Improvement Program (``NCHIP'')

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 continuation of the National Criminal History

Improvement Program (NCHIP) in Fiscal Year 1996. The program implements

the grant provisions of the Brady Handgun Violence Prevention Act

(Brady Act), Pub. L. No. 103-159, 107 Stat. 1536 (1993), codified as

amended at 18 U.S.C. 921 et seq., the National Child Protection Act of

1993 (Child Protection Act), Pub. L. No. 103-209, 107 Stat. 2490

(1993), codified as amended at 42 U.S.C. 3759, 5101 note, 5119, 5119a,

5119b, 5119c, those provisions of the Omnibus Crime Control and Safe

Streets Act of 1968 (Omnibus Act), Pub. L. No. 90-351, 82 Stat. 197

(1968), codified as amended at 42 U.S.C. 3711 et seq., as amended, and

the Violent Crime Control and Law Enforcement Act of 1994 (Violent

Crime Control Act), Pub. L. No. 103-322, 108 Stat. 1796 (1994),

codified as amended at 42 U.S.C. 13701 et seq. which pertain to the

establishment, maintenance, or use of criminal history records and

criminal record systems.

Under NCHIP, States were asked to submit three year plans in FY

1995. Every State received an award in 1995. Most States received

partial funding last year. This program will provide additional funds

in FY 1996 to assist States in continuing implementation of their

multi-year programs and to address the Child Protection and National

Stalker and Domestic Violence Reduction initiatives authorized under

the new appropriation. Since the NCHIP program was designed as a multi-

year effort, 1996 applications will be less comprehensive than

applications in 1995. Applicants are encouraged to use portions of last

year's application when appropriate, or to reference the application by

topic and page number.

This program announcement describes procedures for awards which

will be made under the NCHIP program with FY 1996 funds. Awards may be

for up to 12 months. States will have the flexibility to begin

activities under the award as early as September 1, 1996 and as late as

the summer of 1997. Activities must be completed by June 1, 1998.

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, were issued on

February 23, 1995 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: Eligible states must submit applications on or before July 29,

1996.

ADDRESSES: Applications should be sent to Application Coordinator, the

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

Washington, D.C. 20531.

FOR FURTHER INFORMATION CONTACT: Carol G. Kaplan, Chief, Criminal

History Improvement Programs, (202) 307-0759. The BJS fax number is

(202) 307-5846.

SUPPLEMENTARY INFORMATION:

The National Criminal History Improvement Program

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;

Improving access to protection orders and records of

people wanted for stalking and domestic violence; 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 Federal Bureau of Investigations

(FBI) 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 III and

the National Instant Criminal Background Check System (NICS);

To develop and implement procedures for accessing records

of persons other than felons 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;

To identify, classify, collect, and maintain (through

interface with the National Crime Information Center (NCIC) and the III

where necessary) protection orders, warrants, arrests, and convictions

of persons violating protection orders intended to protect victims of

stalking and domestic violence; 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, 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 (Brady Alternative States).

Legislative Background

Section 106(b) of the Brady Act, 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 U.S.C. 922 (g) and (n), as amended by the

Violent Crime Control Act, 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

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(8) Is subject to a court order restraining them from harassing,

stalking, or threatening an intimate partner or child.

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

Act.

The Brady 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 U.S.C. 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 U.S.C. 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 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 Child Protection Act, 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 Child Protection 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 the Attorney

General to 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 National Stalker and Domestic Violence Reduction program

(Stalker Reduction), section 40602 of the Violence Against Women Act

(VAWA) Pub. L. No. 103-322, 108 Stat. 1902-1955 (1994), codified as

amended at 42 U.S.C. 14031 which was included in the Violent Crime

Control Act, authorized a program to assist States in entering data on

stalking and domestic violence into local, State, and national data-

bases. The Act emphasizes the importance of ensuring that data on

convictions for these crimes are included in databases being developed

with Federal funds.

Section 40606 of VAWA authorized technical assistance and training

in furtherance of the purposes of the Stalker Reduction program. This

section also allows for the evaluation of programs that receive funds

under this provision.

The NCHIP program implements the requirements of the programs

established in the Brady Act, Child Protection Act, and the Stalker

Reduction provision of VAWA.

Appropriation

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

grant program; the Child Protection Act authorized $20 million; Section

40603 of the Violent Crime Control Act authorized a total of $6 million

over three years for the Stalker Reduction program included in VAWA.

An appropriation of $100 million was made to implement section

106(b) of the Brady Act for FY 1995, to be available until expended. No

appropriation was made for Child Protection or Stalker Reduction

activities in FY 1995.

An appropriation of $25 million was made in FY 1996 to continue

implementation of section 106(b) of the Brady Act and to implement

section 4 (b) of the Child Protection Act. In addition, an

appropriation of $1.5 million was made in FY 1996 for Stalker

Reduction. In light of the overlap between Brady, Child Protection, and

Stalker Reduction goals, these appropriations are combined under NCHIP.

Program Strategy

The 1995 NCHIP program covered criminal history records

improvements. The 1996 program includes criminal history records

improvements and expands to incorporate serious misdemeanors against

children, the elderly, and the disabled, and improving access to

domestic violence protection orders.

The 1996 NCHIP program also permits funds to be used to assist

States in providing rapid, inexpensive, reliable background checks on

individuals who wish to work with sensitive populations. This will

include assisting States in identifying people who commit felony and

serious misdemeanor offenses against children, the elderly, and/or the

disabled. It also includes supporting background checks, and improving

access to domestic violence protection orders.

Consistent with section 40602, the Stalker Reduction program, BJS

is allowing funds to be used to help State and local governments

improve the process for classifying and entering data regarding

stalking and domestic violence into local, State, and national crime

information databases.

Application and Award Process

Eligibility Requirements

Only one application will be accepted from each State. The

application must be submitted by the agency previously designated by

the Governor or by a successor agency designated by the Governor in

writing to BJS. 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.

A grant will be made to each State with funds from the 1996

appropriation. States other than ``priority States'' are eligible to

receive funds for criminal records improvement, Child Protection, and

Stalker Reduction activities. Priority States, which received three-

year awards in FY 1995 for criminal records improvements, should apply

for Child Protection and Stalker Reduction activities only.

States may submit an application even though funds remain

unexpended under the 1995 award. Applications must contain a start date

and end date which fall between September 1, 1996 and June 1, 1998. FY

1996 projects may overlap with FY 1995 projects or the projects may run

consecutively.

Program Narrative

In addition to the requirements set forth in Appendix A, the NCHIP

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application should include the following four parts:

Part I. Background

This section should include a short update of current efforts

relating to criminal history record improvement funded under the BJS

NCHIP, Advanced State Award Program (ASAP), and Criminal History Record

Improvements (CHRI) programs, and the BJA Byrne 5% set-aside or with

State funds over the past year. 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 briefly

describe accomplishments with these funds and the relationship to

proposed FY 1996 NCHIP activities.

Part II. Identification of Needs

This part should discuss any recent evaluative efforts undertaken

to identify the key areas of weakness in the State's criminal record

system. Applications should include a short discussion of the State's

ability to identify ineligible firearm purchasers, persons ineligible

to hold positions involving children, the elderly, or the disabled, and

data on protection orders and people wanted, arrested, or convicted of

stalking and/or domestic violence. Among other things, this section may

include areas that were either eligible for funds last year, but did

not receive funding, or that were not eligible for funds because of the

wording of the FY 1995 appropriation. Proposals described in your 1995

NCHIP application may be used or cited.

Part III. NCHIP Effort

This section should describe the activities to be undertaken with

NCHIP funds over the 12 month period. Specifically, each application

should indicate the activities proceeding, how these activities relate

to efforts funded under the 1995 award, and the results that will be

achieved from 1996 funding.

Part III of the application should also describe any 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 Computerized Criminal History (CCH)

records and NIBRS or Uniform Crime Reporting (UCR) data. Studies

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

described in this section.

In furtherance of the Child Protection Act and the Stalker

Reduction program, up to $6.5 million of the funds appropriated in FY

1996 for Brady, Child Protection, and Stalker Reduction may go towards

the following Child Protection and Stalker Reduction activities:

Capturing domestic violence and/or stalking protection

orders;

Flagging of child abuse records and crimes against

children, the elderly and the disabled, convictions for domestic

violence and/or stalking, and domestic violence protection orders;

Incorporating serious misdemeanor offenses against

children, the elderly and the disabled into existing criminal history

records;

Offsetting the cost to volunteers for background checks,

including development and implementation of technological and

procedural advances;

Improving processes for entering data regarding stalking

and domestic violence into local, State, and national crime information

data bases.

Section 4(b) of the Child Protection Act requires preference to be

given to States that have in computerized criminal history files the

lowest percentages of charges and dispositions of identifiable child

abuse cases as of December 20, 1993. In accordance with this section of

the Child Protection Act, the five ``priority States'' with the lowest

percentages of charges and dispositions in their computerized criminal

history files will be awarded a total of $1 million to be used for the

Child Protection and Stalker Reduction activities listed above.

Section 40602(b) of the Violent Crime Control Act states that in

order to be eligible to receive a grant under the Stalker Reduction

program, a State shall certify that it has or intends to establish a

program that enters into the National Crime Information Center the

following records:

Warrants for the arrest of persons violating protection

orders intended to protect victims from stalking or domestic violence;

Arrests or convictions of persons violating protection or

domestic violence orders; and

Protection orders for the protection of persons from

stalking or domestic violence.

The Bureau of Justice Statistics will coordinate the Stalker

Reduction portion of NCHIP with the Violence Against Women Office

(VAWO) at the Department of Justice.

Because funds are limited for FY 1996, not every State which

requests funds for Child Protection and/or Stalker Reduction activities

may receive funds for these purposes.

In light of the importance of complete and nationally accessible

criminal records for the NICS instant check, Child Protection

background checks, and to protect society against stalkers and domestic

violence offenders, BJS, in reviewing applications requesting funds for

Child Protection and Stalker Reduction tasks, will consider the extent

to which the State has progressed in developing its State criminal

records system and taken steps to achieve participation in the national

system.

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

Funds under the Byrne Formula 5% set-aside program are available to

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

Brady and Child Protection Acts.

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. 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 prepared Guidelines

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

issued February 23, 1995, to State Administrative Agencies that receive

and distribute Byrne formula grant funds.

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 in order to avoid overlap and

maximize funding effectiveness. 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 may be for up to 12 months. States will have the

flexibility to begin activities under the award as early as September

1, 1996 and as late as the summer of 1997. Activities must be completed

by June 1, 1998. The budget should provide details for expenses in

required categories and by individual task (see Appendix A, Application

content). The application

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should identify those agencies to receive direct funding and indicate

the fiscal arrangements to accomplish fund transfer.

Application Submission and Due Dates

Applications may be submitted at any time after publication of this

announcement. Applications must be received by July 29, 1996, to be

eligible for FY 1996 funding.

States that submitted applications with multiple year budgets for

FY 1995 NCHIP funds and received funding for the first year (extended

to two years on February 8, 1996), may re-submit the parts of their

proposals which did not receive funds in 1995.

Allocation of Funds

All fifty States, including the District of Columbia, Puerto Rico,

American Samoa, and Guam, received NCHIP FY 1995 awards. Certain III

States received ASAP FY 1995 awards to assist in the identification of

persons other than felons who are prohibited from purchasing firearms.

Funds may be available in future years to implement those activities.

Awards under this program announcement may be made from the Brady,

Child Protection, and Stalker Reduction appropriations, and from

residual FY 1995 funds. The 1996 appropriation is 26.5 percent of the

FY 1995 amount. Up to $6.5 million will go for Child Protection and

Stalker Reduction activities.

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 extent to which the proposed activities will enable the

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

General;

(2) 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;

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

may be of value to other jurisdictions;

(4) 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;

(5) Amount awarded under FY 1995 NCHIP program, including whether

the State received funds as a priority State;

(6) Prior activity of the State with funds under the NCHIP, ASAP,

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) Appropriate focus on criminal history data improvement

regarding protection orders and crimes against children, the elderly,

and the disabled;

(11) Documentation of a program or intention to establish a system

to enter protection orders, and warrants, arrests, and convictions of

people violating protection orders intended to protect victims from

stalking or domestic violence (for States applying for Stalker

Reduction activities);

(12) Nature of the proposed expenditures;

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

between relevant components of the State organization and/or multi-

state systems; and

(14) 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

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.

(1) Participation in 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 wanted, arrested, and

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: Upgrading the accessibility of records,

through flagging, for presale and preemployment checks 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, and

persons convicted of crimes involving domestic violence and/or

stalking. Costs may include the cost of technical record flagging as

well as the costs associated with

[[Page 26216]]

identification of records to be flagged (see (7) below regarding

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/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 with respect to 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, involving domestic violence and/or stalking, 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.

(14) Reducing cost of background checks: States may use funds to

develop and implement technologies that lower costs of conducting

background checks. These funds may also be used to pay all or part of

the cost to the State of conducting background checks on persons who

are employed by or volunteer with a public, not-for-profit, or other

voluntary organization to reduce the amount of fees charged for such

background checks.

The Bureau of Justice Statistics is conducting parallel efforts to

develop standard definitions of domestic violence and child abuse.

States proposing to use funds for flagging or to interface with NIBRS

to identify convictions for domestic violence and/or stalking, domestic

violence protection orders, or crimes against children must coordinate

their efforts with BJS.

Appendix A--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).

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

[[Page 26217]]

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 specific tasks 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.

The budget narrative should indicate amounts to be made available

to agencies other than the grant recipient (for example, the agency

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

Applicants for grants must submit a budget narrative on separate

sheets. The budget narrative should detail by budget category for

Federal and non-Federal (in-kind and cash) share. The purpose of the

budget narrative is to relate items budgeted to project activities and

to provide justification and explanation for budget items, including

criteria and data used to arrive at the estimates for each budget

category. The following information is provided to assist the applicant

in developing the budget narrative.

a. Personnel Category. List each position by title (and name of

employee if available), show annual salary rate and percentage of time

to be devoted to the project by the employee. Compensation paid for

employees engaged in Federally-assisted activities must be consistent

with that paid for similar work in other activities of the applicant.

b. Fringe Benefits Category. Indicate each type of benefit included

and explain how the total cost allowable for employees assigned to the

project is computed.

c. Travel Category. Itemize travel expenses of project personnel by

purpose (e.g., faculty to training site, field interviews, advisory

group meetings, etc.) and show basis or computation (e.g., ``Five trips

for `x' purpose at $80 average cost--$50 transportation and two days

per diem at $15'' or ``Six people to 30 day meeting at $70

transportation and $45 subsistence.''). In training projects where

travel and subsistence for trainees is included, this should be

separately listed indicating the number of trainees and the unit costs

involved.

(1) Identify the tentative location of all training sessions,

meetings, and other travel.

(2) Applicants should consult such references as the Official

Airline Guide and the Hotel and Motel Redbook in projecting travel

costs to obtain competitive rates.

d. Equipment. List each type of equipment to be purchased or rented

with unit or monthly costs.

e. Supplies. List items within this category by major type (office

supplies, training materials, research forms, postage) and show basis

for computation. Provide unit or monthly estimates.

f. Contractual Category. State the selection basis for any contract

or subcontract or prospective contract or subcontract (including

construction services and equipment).

For individuals to be reimbursed for personal services on a fee

basis, list by name or type of consultant or service the proposed fee

(by day, week, or hour) and the amounts of time to be devoted to such

services.

For construction contracts and organization (including professional

associations and education institutions performing professional

services), indicate the type of service to be performed and the

estimated contract cost data.

g. Construction Category. Describe construction or renovation which

will be accomplished using grant funds and the method used to calculate

cost.

h. Other Category. Include under ``other'' such items as rent,

reproduction, telephone, and janitorial or security services. List

items by major type with basis of computation shown. (Provide square

footage and cost per square foot for rent--provide local and long

distance telephone charges separately.)

i. Indirect Charges Category. The Agency may accept an indirect

cost rate previously approved for an applicant by a Federal agency.

Applicants must enclose a copy of the approved rate agreement with the

grant application.

j. Program Income. If applicable, provide a detailed estimate of

the amount of program income to be generated during the grant period

and its proposed application (to reduce the cost of the project or to

increase the scope of the project). Also, describe the source of

program income, listing the rental rates to be obtained, sale prices of

publications supported by grant funds, and registration fees charged

for particular sessions. If scholarships (covering, for example,

registration fees) are awarded by the organization to certain

conference attendees, the application should identify the percentage of

all attendees that are projected as ``scholarship'' cases and the

precise criteria for their selection.

Program narrative. All applications must include a program

narrative which fully describes the expected design and implementation

of the proposed program. OJP Form 4000/3 (Rev. 1-93) provides

additional detailed instructions for preparing the program narrative.

The narrative should include a time line of activities indicating,

for each proposed activity, the projected duration of the activity,

expected completion date, and any products expected.

The application should include 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 C.F.R.

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.

[[Page 26218]]

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, 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. 96-13091 Filed 5-23-96; 8:45 am]

BILLING CODE 4410-18-P