Bureau of Justice Statistics; National Criminal History Improvement Program (NCHIP)

DEPARTMENT OF JUSTICE

Office of Justice Programs

Bureau of Justice Statistics; National Criminal History

Improvement Program (NCHIP)

[OJP(BJS)-1175]

RIN 1121-ZA95

AGENCY: Office of Justice Programs, Bureau of Justice Statistics (BJS),

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 1998. Copies of this

announcement can also be found on the Internet 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), Pub. L.

No. 103159, 107 Stat. 1536 (1993), codified as amended at 18 U.S.C.

Sections 921 et seq.;

* the National Child Protection Act of 1993 (NCPA), Pub. L. No.

103209, 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), Pub. L. No. 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), Pub. L. No. 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 laws pertaining to the identification, collection,

analysis and interstate exchange of records relating to domestic

violence and stalking (including protection orders) and to the

establishment of sexual offender registries and exchange of data

between them.

The NCHIP Program to date. The NCHIP program was initiated in 1995,

under the administration of the Bureau of Justice Statistics. During

Fiscal Years 1995, 1996, and 1997, from the total appropriation of

$178.25 million, direct awards were made to all States and eligible

territories in an amount totaling over $160 million. Six million

dollars was also transferred to the FBI for implementation 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.

Beginning in FY 1996, NCHIP program funds have also been available

to States to upgrade record systems to identify and flag persons

convicted of abusing children, the elderly, and the disabled, or to

defray costs of providing rapid and reliable background checks on

individuals who wish to work with these sensitive populations.

Also since 1996, NCHIP program funds have been available to develop

and implement procedures for classifying and entering data regarding

stalking and domestic violence (including protection orders) into

local, State, and national crime information databases consistent with

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

To date, approximately $10 million has been awarded to States for

purposes relating to offenses against children, the elderly and the

disabled, and for collection of data on stalking and domestic abuse,

including protection orders and violations thereof.

The FY 1998 program. Consistent with the FY 1998 appropriation,

funds awarded under the 1998 NCHIP program may be used to improve

criminal record systems, to support interstate exchange of records

through the FBI, to implement procedures designed to permit

participation in the NICS, 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.

The FY 1998 NCHIP program also includes the National Sex Offender

[[Page 29026]]

Registry Assistance Program (NSOR-AP) under which $25 million was

appropriated for grants to assist States in upgrading sex offender

registries and providing data to the FBI Sex Offender Registry. The

NSOR-AP program is a component of NCHIP but is funded separately

pursuant to a separate application.

Commitment to full implementation of the National Instant Criminal

Background Check System (NICS). The Brady Act in Section 103(b)

requires the establishment of a national system to provide instant

background checks to determine if a potential firearm purchaser is a

felon or otherwise prohibited from purchase of a firearm under Federal

or State statute. Consistent with the statutory requirement, the

National Instant Criminal Background Check System (NICS), which will be

operated by the FBI, will become operational in November 1998, and

Federal waiting period requirements will no longer be applicable.

The effectiveness of NICS will depend on the extent to which the

most accurate and complete records of Federal and State criminal

offenses and records in other prohibiting categories are instantly

available in response to inquiries from firearms dealers.

Under the NICS configuration, States are encouraged to serve as a

``Point of Contact'' (POC) interfacing between firearm dealers and the

FBI's national record system. Where the State is a POC, firearm dealers

will receive instant access to (1) the most complete and up-to-date

State criminal records, (2) State-held records of noncriminal factors

that prohibit firearm purchase, and (3) State personnel who can best

interpret records and their modifications. BJS supports States that

will be facilitating background checks in this way by allowing NCHIP

funds to be used to cover costs associated with the purchase of

equipment, development of software, training, and other listed costs

associated with the NICS (for details, see ``Allowable Costs,'' below).

Considering that the NICS is to become operational in November 1998,

requests for funds in this category will receive priority

consideration.

In States not opting to serve as a POC, inquiries will be made

directly from the firearm dealers to the FBI.

The Brady Act also allows States to meet their presale firearm

check requirements through an ATF-approved permit system. To assist

States following this procedure, NCHIP funds may be used to cover costs

associated with development and implementation of procedures that will

meet ATF requirements for a permit system to be approved as an

alternative to instant checks at the time of sale.

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 not only for NICS presale

firearm checks, but also for background check inquiries regarding

persons seeking positions involving national security; persons with

responsibility for children, the elderly or the disabled, and other

authorized purposes. Instant interstate availability of complete

records is also vital to supporting effective law enforcement

strategies involving pretrial release, determinate sentencing, and

correctional assignment. At present, 36 States participate in III.

The NCHIP FY 1997 program announcement emphasized the BJS

commitment to full State participation in the FBI's Interstate

Identification Index (III). In light of the importance of III

participation, BJS has again identified III participation as a priority

goal of the NCHIP program and requires States that are not currently

III members to specify whether funding already committed is adequate to

assure III participation and, if not, to focus 1998 NCHIP funds on

activities that further this goal.

Commitment to support court efforts relating to development of

record systems. Recent laws establishing requirements for background

checks for firearms sales and in connection with positions of

responsibility with children, the elderly and the disabled have

emphasized the importance of records being complete with dispositions.

Moreover, other statutes have highlighted the importance of immediate

statewide and interstate access to protection orders related to

domestic violence. These requirements can only be met if information

initially developed by the courts is available on a complete and

immediate basis. BJS is committed to recognizing the importance of the

courts in all of these efforts, and applicants should ensure that in

developing NCHIP operational and funding plans, adequate attention is

directed at the role and needs of the courts.

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, the 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 is closely coordinated

with the FBI, the Bureau of Justice Assistance, and the Bureau of

Alcohol, Tobacco and Firearms (ATF).

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

[[Page 29027]]

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. Sections 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 1 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 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,

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, established interim provisions that are applicable until the NICS

is operational. Under the interim provisions, 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 the Gun

Control Act (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 interim provisions, including the Federal imposition of a 5-

day waiting period, terminate when the NICS becomes operational.

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 that not only assists States in

upgrading criminal record systems, but also assists States in improving

access to and interface with the NICS.

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

of the Omnibus Crime Control and Safe Streets Act to specifically

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

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

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

* (the Brady Act).''

The 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 laws 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 State

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 was to be

contingent upon 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) authorized a program to assist States in

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

national databases. 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.

Section 40602(b) of the Violent Crime Control Act further provides

that in order to be eligible to receive funds for Domestic Violence/

Stalker Reduction program activities, 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 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 authorized a

total of $6 million over 3 years for the Domestic Violence/Stalker

Reduction program included in VAWA. Pursuant to these authorizations,

the Brady, Child Protection, and Domestic Violence/Stalker Reduction

Acts are combined under the NCHIP program.

FY 1995: 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 in FY 1995.

FY 1996: 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 component of the program.

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

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

Section 4 (b) of the Child Protection Act. $1.75 million was

appropriated for Domestic Violence/Stalker Reduction activities.

FY 1998: The FY 1998 appropriation for criminal record improvement

was $45 million. For purposes relating to Domestic Violence/Stalker

Reduction, an appropriation of $2.75 million was also made in FY 1998.

To date, approximately $10 million has been awarded for purposes

authorized under the NCPA and the Domestic Violence/Stalker Reduction

[[Page 29028]]

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

issues, up to $16 million of the 1998 appropriation will be available

to be awarded for these purposes. Of this amount, the full $2.75

million appropriated to BJS for Domestic Violence/Stalker Reduction

activities under VAWA in 1998 will be allocated for purposes associated

with development/enhancement of protection order files, including

interface with the FBI's national protection order file.

The FY 1998 NCHIP program also includes the National Sex Offender

Registry Assistance Program (NSOR-AP) under which $25 million was

appropriated for grants to assist States in upgrading sex offender

registries and providing data to the FBI Sex Offender Registry. The

NSOR-AP program is a component of NCHIP but is funded separately

pursuant to a separate application.

Application and Award Process. Eligibility requirements. Only one

application will be accepted from each State. The application must be

submitted by the agency designated by the State Governor. A State may,

however, choose to submit its application as part of a multistate

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.

A grant will be made to each eligible applicant State with funds

from the 1998 appropriation. All States, including States previously

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

activities relating to criminal records improvement and NICS

participation, 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 a 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.

FY 1998 projects may overlap with FY 1997 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. States may, at their option, satisfy requirements noted below by

referencing or summarizing previous applications. Additionally, States

in which the applicant agency is the same under the BJS NCHIP and

Bureau of Justice Assistance (BJA) State Identification Systems (SIS)

program may also choose to submit duplicate material to BJS and BJA

under Part I (Background) and Part II (Identification of Needs), below.

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

State funds during the past year. Where applicable, the section should

also include a reference to projects that are, or may be, funded under

the State Identification Systems (SIS) Formula Grant program

administered by BJA. The discussion should also specify total funds

awarded to the State under NCHIP, Byrne, and SIS programs (if SIS

funding is used for criminal history record improvements) and the funds

in each category 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 that 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 violations of protection orders.

States that are not members of III at the time of application must

include a section identifying the tasks remaining to permit III

participation. This section must specifically state whether funding

already available is adequate for the State to participate in III and

the planned month and year of participation in III. If funding already

available is not adequate, the State is expected to apply for NCHIP

funding that will permit the State to participate in III.

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 previous NCHIP awards, and the results that

will be achieved from FY 1998 funding. In order to permit assessment of

State progress in meeting grant goals, this section should also set

forth measurable benchmarks or goals for each proposed activity.

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

timetable for activities that 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 or comparison between Computerized Criminal History (CCH)

records and National Incident-Based Reporting System (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 that

will be made directly available to the courts, where the courts are the

appropriate source for data on dispositions or other record data.

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

Byrne Formula Funds: 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 noncriminal 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.

[[Page 29029]]

To avoid overlap and maximize funding effectiveness, BJS expects

that program plans for projects to be funded under NCHIP and the Byrne

5% set-aside will be coordinated by the State agencies responsible for

these programs. Where costs of a proposed activity exceed NCHIP

available funds or are unallowable under NCHIP, the State might, for

example, use Byrne funds to fill remaining needs. This joint effort

will maximize the effectiveness of these programs.

State Identification Systems (SIS) Program: In May 1997, BJA

announced the State Identification Systems (SIS) Formula Grant Program,

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.''

NCHIP applications should insure that efforts under these programs

will be coordinated. 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.

Other Federal funding: To ensure coordination of Federal funding

efforts, the application should include information on other current

awards or pending applications for Federal funding to support

activities for which funds are being requested in the current NCHIP

application. Where relevant, such information should indicate the

amount of the other award, the grantor agency, and the program purpose.

Award Period and Budget. Awards may be for up to 12 months. Since

the FY 1998 NCHIP program builds on the long-term NCHIP activity,

States will have the flexibility to begin FY 1998 funded activities

immediately upon award or as late as the summer of 1999. Activities

must be completed by June 1, 2000. Applicants are also encouraged to

incorporate or reference pages of previously submitted materials, when

appropriate.

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 received by June 30, 1998, to be eligible for funding from the FY

1998 appropriation.

To minimize administrative burdens, States may resubmit parts of

previous proposals that 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 funds will support participation in NICS,

State efforts to become a III participant, and 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) The total amount already awarded under previous NCHIP program

announcements;

(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 criminal history record improvement

through activities under the NCHIP program;

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

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

(NFF) and 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 meeting data

collection goals 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 multistate

systems;

(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.

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

Program (FIST) in the format designated by the FIST.

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. Covered costs

include, but are not limited to, costs associated with automation of

the database, synchronization of records between the State and the 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 abuse of children, the elderly, and the disabled and/or

stalking and domestic violence offenses (including protection orders

and violations thereof) are included in the database.

States that currently participate in III may also use limited funds

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

prohibited from

[[Page 29030]]

firearm purchase under recent amendments to the Gun Control Act (18

U.S.C. Section 922), 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 capture of case disposition. 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 Management Information Systems

(MIS) are not allowable under the NCHIP program).

(4) 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 of felony records and records of persons with convictions

for crimes involving children, the elderly, and/or the disabled, as

well as records of persons convicted of crimes involving domestic

violence and/or stalking. Costs may include the cost of technical

record flagging and the costs associated with identification of records

to be flagged (see [12] below regarding interface with NIBRS).

(5) Participation in the NICS. NCHIP funds may be used to enable

the State to participate in the NICS consistent with the provisions of

18 U.S.C. Section 922 (t). Allowable expenditures include, but are not

limited to costs necessary to enable the State to serve as a Point of

Contact under the FBI's NICS system, and include costs of equipment,

software, personnel training, and development and implementation of

related operating and administrative procedures. Funds may not be used

to conduct presale firearm background checks.

(6) Firearm permits. NCHIP funds may be used to comply with Brady

Act provisions pursuant to an ATF-approved firearm permit system and to

develop and implement procedures to review the currency of firearm

permits and/or to provide appropriate notification when permits are

revoked.

(7) Protection order file. Establishment of a protection order file

to enhance the cross-jurisdictional enforcement of protective orders,

and to support the FBI's National Protection Order File is an important

goal of the NCHIP program. Costs (including equipment, software,

training and procedural development) associated with development and

enhancement of such files and with interface with the FBI's National

Protection Order File are covered. Protection order files supported

with NCHIP funds must be compatible with the FBI file, and the

application must indicate that records are presently being submitted to

the FBI or indicate the date upon which that submission will commence.

Funds are only allowable to support development of local protection

order files where data in such files is or will become directly

accessible throughout the State and available to the FBI's national

system.

(8) Interface between criminal history records, sex offender

registry, and civil protection order files. To ensure that, consistent

with State law, a complete data review is possible in connection with

background checks for child care or other authorized purposes, funds

may be used to develop software to establish protocols to permit

interface between the criminal history record system, the State sex

offender registry, and related protection order files including files

of civil protection orders.

(9) Uniform RAP sheet format. The FBI has recently endorsed a

format and standards for transmission of a uniform RAP sheet (text

version of a person's criminal history record) among States. The format

reflects efforts initiated under the BJS/SEARCH Task Force on Uniform

RAP Sheet Standards. Funds are available to assist States in converting

State criminal history records to the FBI standard interstate RAP sheet

format or for developing electronic interchange capabilities related

thereto.

(10) 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 nonautomated systems or in States proposing to

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

(11) 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--

(a) the State repository system is automated, is participating in,

or is planning to participate in III, and has in place the technical

capability to accept AFIS transmissions, and

(b) sufficient traffic can be demonstrated to justify the cost,

possibly through the use of regional systems.

Funding of 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.

(12) Interface with NIBRS. Funds may be used to interface with any

State data system that is compatible with NIBRS for purposes of

identifying persons convicted of crimes against children, the elderly,

or the disabled; crimes 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.

(13) 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

[[Page 29031]]

data software for storing and transmitting evaluative data between

States and to BJS or other designated Federal agencies is an allowable

expense.

(14) Conversion of juvenile records to the adult system. Federal

regulations 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.

(15) 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.

(16) 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.

(17) 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).

(18) 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 State's cost 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, consistent with the provisions of 42 USC 5119(b).

(19) Allowable activities relating to implementation of the Child

Protection Act and the Domestic Violence and Stalker Reduction

provisions of the VAWA. Allowable activities include--

* capturing domestic violence and/or stalking protection orders;

* flagging of records concerning child abuse, 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; and

* improving processes for entering data regarding stalking and

domestic violence into local, State, and national crime information

databases.

Text of ``Lautenberg Amendment.'' The ``Lautenberg Amendment''

amends the Federal Gun Control Act (18 U.S.C. Section 922) 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.

Sec. 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 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.

* Budget Detail Worksheet (replaced the SF 424A, Budget

Information).

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

* OJP Form 4061/6 Certification Regarding Lobbying, Debarment,

Suspension, and Other Responsibility Matters; Drug-Free Workplace

Requirements.

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, 810 Seventh

Street, NW, Washington DC 20531, Telephone: (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.

Budget Detail Worksheet. Applications 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 should detail costs included

in each budget category for the Federal and the 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 budget narrative

should also indicate amounts to be made available to subrecipient

agencies (under Contractual/Contracts category) other than the direct

grant recipient. The following information is provided

[[Page 29032]]

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 3-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) Travel costs are allowable as expenses by employees who are in

travel status on official business. These costs must be in accordance

with the Federal or an organizationally-approved travel policy.

(3) Recipients may follow their own established travel rates. If a

recipient does not have an established travel policy, the recipient

must abide by the Federal travel policy. Subrecipients of States must

follow their State's established travel policy. If a State does not

have an established travel policy, the subrecipient must abide by the

Federal travel 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, subcontract, prospective contract or prospective subcontract

(including construction services and equipment). 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.

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 that 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 separately 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 C.F.R. 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, in addition to the OJP Financial Guide, are

available from the Office of Justice Programs. This guideline manual 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

[[Page 29033]]

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. On June 30, 1997, the Office of Management and

Budget issued Circular A-133, ``Audits of States, Local Governments,

and Non-Profit Organizations,'' which establishes regulations to

implement the Single Audit Act of 1996. This Circular A-133 outlines

the requirements for organizational audits which apply to BJS grantees.

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. 98-13965 Filed 5-26-98; 8:45 am]

BILLING CODE 4410-18-P