National Criminal History Improvement Program (NCHIP)

DEPARTMENT OF JUSTICE

Office of Justice Programs

[OJP(BJS)-1139]

RIN 1121-ZA85

National Criminal History Improvement Program (NCHIP)

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

Justice.

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 1997. Copies of this

Announcement can also be found at http://www.ojp.usdoj.gov/bjs/.

FOR FURTHER INFORMATION CONTACT: Carol G. Kaplan at (202) 307-0759

(this is not a toll-free number).

SUPPLEMENTARY INFORMATION:

The Program Implements the Grant Provisions of

The Brady Handgun Violence Prevention Act (Brady Act),

Public Law 103-159, 107 Stat. 1536 (1993), codified as amended at 18

U.S.C. Sections 921 et seq.;

The National Child Protection Act of 1993 (Child

Protection Act), Public Law 103-209, 107 Stat. 2490 (1993), codified as

amended at 42 U.S.C. Sections 3759, 5101 note, 5119, 5119a, 5119b,

5119c;

Those provisions of the Omnibus Crime Control and Safe

Streets Act of 1968 (Omnibus Act), Public Law 90-351, 82 Stat. 197

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

amended; and the Violent Crime Control and Law Enforcement Act of 1994

(Violent Crime Control Act), Public Law 103-322, 108 Stat. 1796 (1994),

codified as amended at 42 U.S.C. Sections 13701 et seq.,which pertain

to the establishment, maintenance, analysis, or use of criminal history

records and criminal record systems; and,

Related legislation pertaining to the identification,

collection, analysis and interstate exchange of records relating to

domestic violence and stalking (including protective orders) and to the

establishment of, and exchange of data between, sexual offender

registries.

The NCHIP Program to Date

The NCHIP program, administered by the Bureau of Justice

Statistics, was initiated in 1995. During FY 1995 and 1996, from the

total appropriation of $126.5 Million, direct awards were made to all

states and eligible territories in an amount totaling over $112

Million. Six million dollars was also transferred to the FBI for

implementation of the Federal segment of the National Instant Criminal

Background Check System (NICS) which will provide instant interstate

access to records prohibiting the sale of a firearm. About $5 Million

was awarded to provide direct technical assistance to states, to

evaluate the program, and to collect statistics and research data on

presale firearm programs.

To date, under the NCHIP program, all States have received funds to

upgrade criminal record systems (including establishing and upgrading

Automated Fingerprint Identification Systems (AFIS)) and to support

efforts to participate in the FBI's Interstate Identification Index

(III) which permits instant exchange of criminal records among the

States. Eighteen States also received additional funding under the

Advanced State Award Program to initiate efforts to identify persons

other than felons who are prohibited from purchasing firearms.

Consistent with the 1996 appropriation language, beginning in 1996,

NCHIP program funds could also be used by States to upgrade record

systems to identify and flag persons convicted of child, elderly and

disabled abuse offenses. Funds could also be used to offset some of the

costs of providing rapid and reliable background checks on individuals

who wish to work with these sensitive populations.

Additionally, starting in 1996, NCHIP program funds could be used

to develop and implement procedures for classifying and entering data

regarding stalking and domestic violence (including protective orders)

into local, State, and national crime information databases consistent

with the provisions of the Violence Against Women Act (VAWA).

The 1997 Program

Consistent with the 1997 appropriation, funds awarded under the

1997 NCHIP program may be used to improve criminal record systems, to

support interstate exchange of records through the FBI, and for

authorized purposes consistent with the NCPA and the identified

sections of the VAWA, as described above, and, more fully, in later

sections of this Announcement.

Commitment to Participation in the Interstate Identification Index

(III)

Participation by all States in the Interstate Identification Index

(III) is critical to ensuring that the most accurate and complete

criminal records are available instantly in response to background

check inquiries regarding persons seeking positions involving national

security, persons with responsibility for children, the elderly or the

disabled, and persons attempting to purchase firearms. Instant

interstate availability of complete records is also vital to supporting

effective law enforcement strategies involving pretrial release,

determinate sentencing, and correctional assignment.

Section 103(b) of the Brady Act requires that the National Instant

Criminal Background Check System (NICS) become operational in November

1998. At that time, Federal ``waiting period'' requirements will no

longer be applicable and presale firearm inquiries will be based on an

inquiry to the NICS. Effective operation of the NICS requires that

complete State criminal records be instantly available to the NICS

system through the III.

At present, 32 states are participants in III. In response to a

survey conducted by the Attorney General pursuant to the Brady Act, the

majority of the remaining states indicated that they would become III

participants before the November 1998 date for NICS implementation. In

light of the importance of III participation, BJS has identified III

participation as a priority goal of the 1997 program and anticipates

that States which are not currently III members will focus 1997 NCHIP

funds on activities which further this goal.

The 1997 Awards

Awards may be for up to 12 months. States will have the flexibility

to begin activities under the award as early as October 1, 1997 and as

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

1999.

The NCHIP program was designed as a multi-year effort and States

were asked to submit three-year plans as part of the FY 1995

application. Since FY 1997 NCHIP funds will support continuing

implementation of these multi-year programs as well as new or ongoing

efforts relating to domestic violence, stalking and child/elderly/

disabled abuse, applicants are encouraged to incorporate or reference

pages of previously submitted materials, when appropriate.

For designated State agencies to be eligible for 1997 NCHIP funds,

an

[[Page 40110]]

application must be submitted to the Bureau of Justice Statistics by

August 1, 1997.

Coordination With the BJA Byrne Program

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.

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 and the extent to which

such records can be used and analyzed for criminal justice related

purposes.

More specifically, NCHIP is designed to assist States--

To expand and enhance participation in the FBI's

Interstate Identification Index (III) and the National Instant Criminal

Background Check System (NICS);

To meet timetables for criminal history record

completeness and participation in the III, as established for each

State by the Attorney General;

To improve the level of criminal history record

automation, accuracy, completeness, and flagging;

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 support the development of state

sex offender registries and the interface with a national sex offender

registry; 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, 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 and the ``Lautenberg amendment'', 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;

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

stalking, or threatening an intimate partner or child; or

(9) Has been convicted in any court of a misdemeanor crime of

domestic violence.

Category (9), included as the ``Lautenberg amendment'' in the

Omnibus Consolidated Appropriations Act of 1997, P.L. 104-208, 110 Stat

3009 and became effective on October 1, 1996. See Appendix A of this

Announcement for text of the amendment which includes applicable

definitions.

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. Section 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 November 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. Section 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

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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 and the ability

to join III by November 1998, 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), Public Law 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 Domestic

Violence/Stalker Reduction provisions 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 author-authorized a total of $6

million over three years for the Domestic Violence/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 activities authorized under the Child

Protection Act or the Domestic Violence/Stalker Reduction provisions of

VAWA 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 the Domestic Violence/Stalker

Reduction program.

In FY 1997, an appropriation of $50 million was made to further

continue the implementation of Section 106(b) of the Brady Act and

Section 4(b) of the Child Protection Act. For purposes relating to

Domestic Violence/Stalker Reduction, an appropriation of $1.75 million

was also made in FY 1997. In light of the overlap between Brady, Child

Protection, and Domestic Violence/Stalker Reduction, these

appropriations are combined under NCHIP.

To date, approximately $5 million has been awarded for purposes

authorized under the NCPA and the Domestic Violence/Stalker Reduction

provisions of the VAWA. In recognition of the importance of these

issues, up to $14 million of the 1997 appropriation will be awarded for

these purposes.

Program Strategy

The 1995 NCHIP program covered criminal history records

improvements.

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

States in identifying people who commit felony and serious misdemeanor

offenses against children, the elderly, and/or the disabled, improving

the process for classifying and entering data regarding stalking and

domestic violence (including protective orders) into local, State, and

national crime information databases, and covering costs associated

with conducting background checks on individuals who wish to work with

sensitive populations.

In 1997, the program will continue efforts to enhance State

computerized criminal history records in support of the Interstate

Identification Index and the NICS, to develop and implement methods to

collect and flag records of persons convicted of offenses against

children, the elderly, or the disabled and persons subject to a

domestic violence protective order, and, to upgrade the process of

entering into local, State, and national crime databases, data relating

to stalking and domestic violence.

In light of the importance to all states of efforts relating to

domestic violence, all states will receive an equal amount ($30K) from

the 1997 appropriation under the VAWA ($1.75 Million). States were

advised that an early award could be made for this amount and all seven

states that opted to apply early received an award of $30 thousand. The

remaining applicant states will each receive up to $30 K for these

purposes as part of their 1997 NCHIP award. Subject to overall funding

limits, states may, however, allocate a greater portion of their NCHIP

award for such purposes.

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 eligible applicant State with funds

from the 1997 appropriation. All states, including states previously

designated as ``priority States'', are eligible to receive funds for

activities relating to criminal records improvement, as well as the

additional purposes authorized under the Child Protection Act and the

Domestic Violence/Stalker Reduction legislation, as described in this

Announcement.

States may submit an application even though funds remain

unexpended under the previous NCHIP awards. In such case, the

application should describe the efforts undertaken to date, the

specific reasons that funds remain unexpended, and the anticipated time

when funds will be expended.

Applications must contain a start date and end date which fall

between October 1, 1997 and June 1, 1999. FY 1997 projects may overlap

with FY 1996 projects or the projects may run consecutively.

Program Narrative

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

application should include the following four parts. Since, however,

this is the third year of funding under the NCHIP program, States may,

at their option, satisfy requirements noted below by referencing or

summarizing previous applications.

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), Criminal History Record

Improvements (CHRI)

[[Page 40112]]

programs, and the BJA Byrne 5% set-aside or with State funds over the

past year. Where applicable, the section should also include a

reference to projects which will, or may be, funded under the State

Identification Systems Formula Grant program (SIS) administered by the

BJA. The discussion should also specify total funds received under the

BJS and Byrne programs and the funds remaining at the time of

application.

Part II. Identification of Needs

This part should discuss any evaluative efforts undertaken to

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

system since submission of the last NCHIP application. The application

should also indicate those areas which must be addressed in order to

enable the state to identify ineligible firearm purchasers, persons

ineligible to hold positions involving children, the elderly, or the

disabled, and people wanted, arrested, or convicted of stalking and/or

domestic violence offenses including protective orders.

States which are currently not members of III must include a

section identifying the tasks remaining to permit III participation as

soon as possible.

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 proposed, how these activities relate to

efforts funded under the 1995 and 1996 award, and the results that will

be achieved from 1997 funding. In order to permit assessment of State

progress in meeting grant goals, Part III should also set forth

measurable benchmarks or goals for each proposed activity.

States which are not members of III must include a description and

time table for activities which are specifically designed to permit

such participation.

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 addition, to ensure program continuity and emphasize the

importance of judicial efforts in meeting newly established record

requirements, the application should 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.

Domestic Violence/Stalking: All states except those which have

already received an ``early'' award, are eligible to receive $30 K for

purposes authorized under the domestic violence/stalker reduction

program, as described in this Announcement. Section 3 of the

application should describe the activities to be undertaken with these

funds. As noted above, BJS will allocate up to a total of $14 million

in FY 1997 funds for activities eligible for funding under either the

Domestic Violence/Stalking provisions or the NCPA. Because funds are

limited, all requests for funds in this area may not be funded to the

full extent.

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

order to be eligible to receive a funds for Domestic Violence/Stalker

Reduction program actvities, 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 Domestic

Violence/Stalker Reduction portion of NCHIP with the Violence Against

Women Office (VAWA) at the Department of Justice.

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

State Identification Systems (SIS) Formula Grant 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.

In May 1997, BJA announced the State Identification Systems Formula

Grant Program (SIS) under which states are eligible to apply for funds

to ``establish, develop, update or upgrade--(A) computerized

identification systems that are compatible and integrated with the

databases of the National Crime Information Center (NCIC) of the FBI;

(B) the capability to analyze * * * DNA * * * in a forensic laboratory

in ways that are compatible and integrated with the combined DNA

Identification System (CODIS) of the FBI; and, (c) automated

fingerprint identification systems that are compatible and integrated

with the Integrated Automated Fingerprint Identification System (IAFIS)

of the FBI''. To ensure coordination between these programs,

information copies of the proposed activities to be funded under the

SIS program will be provided to BJS for inclusion as part of the

state's NCHIP file.

Award Period and Budget

The application may be for up to 12 months. States will have the

flexibility to begin activities under the award as early as October 1,

1997 and as late as the summer of 1998. Activities must be completed by

June 1, 1999.

The budget should provide details for expenses in required

categories and by individual task (see Appendix A, Application

content). The application 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

[[Page 40113]]

received by August 1, 1997, to be eligible for funding from the FY 1997

appropriation.

To minimize administrative burdens, States may re-submit parts of

previous proposals which did not receive funds under previous NCHIP

awards accompanied by a current budget.

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 plan supports State efforts to become a

III participant and 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 and 1996 NCHIP programs;

(6) The extent to which the state has fulfilled goals of previous

NCHIP grants, expended funds awarded in previous grants, and

demonstrated a commitment to record improvement through activities

under the FY 1995 and 1996 NCHIP program;

(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) Nature of the proposed expenditures;

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

between relevant components of the State organization and/or multi

state systems; and

(13) 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; and

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, funds may be used to capture data on

domestic violence misdemeanors, and to ensure that data on persons

convicted of child, elderly, and disabled abuse and/ or stalking and

domestic violence offenses (including protective orders and violations

thereof) are included in the database.

States which are currently participants in III may also use limited

funds to identify and develop access to data on other categories of

persons prohibited from firearm purchase under recent amendments to the

Gun Control Act, as incorporated in the Brady Act. States proposing use

of funds for these purposes must demonstrate in the application that

results of applicable pilot efforts supported under the NCHIP Advanced

State Award Program (ASAP) have been considered and that necessary

protections for individual privacy will be incorporated in the proposed

procedures. Information about current NCHIP supported efforts in these

areas, and relevant state contacts, is available through the BJS

Internet site.

(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 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.

[[Page 40114]]

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.

(15) Allowable activities relating to implementation of the Child

Protection Act and the Domestic Violence and Stalker Reduction

provisions of the VAWA:

Capturing domestic violence and/or stalking protection orders;

Flagging of child abuse records, 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 of certain 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.

The Bureau of Justice Statistics will shortly initiate 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.

Text of ``Lautenberg Amendment''

The ``Lautenberg Amendment'' amends the Federal Gun Control Act to

prohibit the transfer of firearms to a person convicted of a

``misdemeanor crime of domestic violence.'' The text of the amendment

is set forth below.

Section 668. Gun Ban for Individuals Convicted of a Misdemeanor Crime

of Domestic Violence

(a) Definition.--Section 921(a) of title 18, United States Code,

is amended by adding at the end of the following:

``(33)(A) Except as provided in subparagraph (c), the term

`misdemeanor crime of domestic violence' means an offense that--

``(i) is a misdemeanor under Federal or State law; and

``(ii) has, as an element, the use or attempted use of physical

force, or the threatened use of a deadly weapon, committed by a

current or former spouse, parent, or guardian of the victim, by a

person who is cohabiting with or has cohabited with the victim as a

spouse, parent, or guardian, or by a person similarly situated to a

spouse, parent, or guardian of the victim.

``(B)(i) A person shall not be considered to have been convicted

of such an offense for purposes of this chapter, unless--

``(I) the person was represented by counsel in the case, or

knowingly and intelligently waived the right to counsel in the case;

and

``(II) in the case of a prosecution for an offense described in

this paragraph for which a person was entitled to a jury trial in

the

[[Page 40115]]

jurisdiction in which the case was tried, either--

``(aa) the case was tried by a jury, or

``(bb) the person knowingly and intelligently waived the right

to have the case tried by a jury, by guilty plea or otherwise.

``(ii) A person shall not be considered to have been convicted

of such an offense for purposes of this chapter if the conviction

has been expunged or set aside, or is an offense for which the

person has been pardoned or has had civil rights restored (if the

law of the applicable jurisdiction provides for the loss of civil

rights under such an offense) unless the pardon, expungement, or

restoration of civil rights expressly provides that the person may

not ship, transport, possess, or receive firearms.''

(b) Prohibitions.--

(1) Section 922(d) of such title is amended--

(A) by striking ``or'' at the end of paragraph (7);

(B) by striking the period at the end of paragraph (8) and

inserting ``;or''; and

(C) by inserting after paragraph (8) the following:

``(9) has been convicted in any court of a misdemeanor crime of

domestic violence''.

(2) Section 922(g) of such title is amended--

(A) by striking ``or'' at the end of paragraph (7);

(B) by striking the period at the end of paragraph (8) and

inserting ``; or''; and

(C) by inserting after paragraph (8) the following:

``(9) has been convicted in any court of a misdemeanor crime of

domestic violence''.

(3) Section 922(s)(3)(B)(I) of such title is amended by

inserting ``, and has not been convicted in any court of a

misdemeanor crime of domestic violence'' before this semicolon.

(c) Government Entities Not Excepted.--Section 925(a)(1) of such

title is amended by inserting ``sections 922(d)(9) and 922(g)(9)

and'' after ``except for''.

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 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

[[Page 40116]]

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 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, 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.''

[[Page 40117]]

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.

Dated: July 22, 1997.

Jan M. Chaiken,

Director, Bureau of Justice Statistics.

[FR Doc. 97-19676 Filed 7-24-97; 8:45 am]

BILLING CODE 4410-18-P