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

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## Record

- **Collection:** Federal Register
- **Document type:** Notice
- **Published:** May 27, 1998
- **Citation:** 63 FR 29025

## Text

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.

-----------------------------------------------------------------------

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

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Source: Frix Law Library, https://www.frixlaw.com/law-library/documents/fr%3A98-13965. Public record. Not legal advice.