[Federal Register Volume 62, Number 143 (Friday, July 25, 1997)]
[Notices]
[Pages 40109-40117]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 97-19676]


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DEPARTMENT OF JUSTICE

Office of Justice Programs
[OJP(BJS)-1139]
RIN 1121-ZA85


National Criminal History Improvement Program (NCHIP)

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

ACTION: Notice of Program Plan.

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SUMMARY: The Bureau of Justice Statistics (BJS) is publishing this 
notice to announce the continuation of the National Criminal History 
Improvement Program (NCHIP) in Fiscal Year 1997. Copies of this 
Announcement can also be found at http://www.ojp.usdoj.gov/bjs/.

FOR FURTHER INFORMATION CONTACT: Carol G. Kaplan at (202) 307-0759 
(this is not a toll-free number).

SUPPLEMENTARY INFORMATION:

The Program Implements the Grant Provisions of

     The Brady Handgun Violence Prevention Act (Brady Act), 
Public Law 103-159, 107 Stat. 1536 (1993), codified as amended at 18 
U.S.C. Sections 921 et seq.;
     The National Child Protection Act of 1993 (Child 
Protection Act), Public Law 103-209, 107 Stat. 2490 (1993), codified as 
amended at 42 U.S.C. Sections 3759, 5101 note, 5119, 5119a, 5119b, 
5119c;
     Those provisions of the Omnibus Crime Control and Safe 
Streets Act of 1968 (Omnibus Act), Public Law 90-351, 82 Stat. 197 
(1968), codified as amended at 42 U.S.C. Sections 3711 et seq., as 
amended; and the Violent Crime Control and Law Enforcement Act of 1994 
(Violent Crime Control Act), Public Law 103-322, 108 Stat. 1796 (1994), 
codified as amended at 42 U.S.C. Sections 13701 et seq.,which pertain 
to the establishment, maintenance, analysis, or use of criminal history 
records and criminal record systems; and,
     Related legislation pertaining to the identification, 
collection, analysis and interstate exchange of records relating to 
domestic violence and stalking (including protective orders) and to the 
establishment of, and exchange of data between, sexual offender 
registries.

The NCHIP Program to Date

    The NCHIP program, administered by the Bureau of Justice 
Statistics, was initiated in 1995. During FY 1995 and 1996, from the 
total appropriation of $126.5 Million, direct awards were made to all 
states and eligible territories in an amount totaling over $112 
Million. Six million dollars was also transferred to the FBI for 
implementation of the Federal segment of the National Instant Criminal 
Background Check System (NICS) which will provide instant interstate 
access to records prohibiting the sale of a firearm. About $5 Million 
was awarded to provide direct technical assistance to states, to 
evaluate the program, and to collect statistics and research data on 
presale firearm programs.
    To date, under the NCHIP program, all States have received funds to 
upgrade criminal record systems (including establishing and upgrading 
Automated Fingerprint Identification Systems (AFIS)) and to support 
efforts to participate in the FBI's Interstate Identification Index 
(III) which permits instant exchange of criminal records among the 
States. Eighteen States also received additional funding under the 
Advanced State Award Program to initiate efforts to identify persons 
other than felons who are prohibited from purchasing firearms.
    Consistent with the 1996 appropriation language, beginning in 1996, 
NCHIP program funds could also be used by States to upgrade record 
systems to identify and flag persons convicted of child, elderly and 
disabled abuse offenses. Funds could also be used to offset some of the 
costs of providing rapid and reliable background checks on individuals 
who wish to work with these sensitive populations.
    Additionally, starting in 1996, NCHIP program funds could be used 
to develop and implement procedures for classifying and entering data 
regarding stalking and domestic violence (including protective orders) 
into local, State, and national crime information databases consistent 
with the provisions of the Violence Against Women Act (VAWA).

The 1997 Program

    Consistent with the 1997 appropriation, funds awarded under the 
1997 NCHIP program may be used to improve criminal record systems, to 
support interstate exchange of records through the FBI, and for 
authorized purposes consistent with the NCPA and the identified 
sections of the VAWA, as described above, and, more fully, in later 
sections of this Announcement.
    Commitment to Participation in the Interstate Identification Index 
(III)
    Participation by all States in the Interstate Identification Index 
(III) is critical to ensuring that the most accurate and complete 
criminal records are available instantly in response to background 
check inquiries regarding persons seeking positions involving national 
security, persons with responsibility for children, the elderly or the 
disabled, and persons attempting to purchase firearms. Instant 
interstate availability of complete records is also vital to supporting 
effective law enforcement strategies involving pretrial release, 
determinate sentencing, and correctional assignment.
    Section 103(b) of the Brady Act requires that the National Instant 
Criminal Background Check System (NICS) become operational in November 
1998. At that time, Federal ``waiting period'' requirements will no 
longer be applicable and presale firearm inquiries will be based on an 
inquiry to the NICS. Effective operation of the NICS requires that 
complete State criminal records be instantly available to the NICS 
system through the III.
    At present, 32 states are participants in III. In response to a 
survey conducted by the Attorney General pursuant to the Brady Act, the 
majority of the remaining states indicated that they would become III 
participants before the November 1998 date for NICS implementation. In 
light of the importance of III participation, BJS has identified III 
participation as a priority goal of the 1997 program and anticipates 
that States which are not currently III members will focus 1997 NCHIP 
funds on activities which further this goal.

The 1997 Awards

    Awards may be for up to 12 months. States will have the flexibility 
to begin activities under the award as early as October 1, 1997 and as 
late as the summer of 1998. Activities must be completed by June 1, 
1999.
    The NCHIP program was designed as a multi-year effort and States 
were asked to submit three-year plans as part of the FY 1995 
application. Since FY 1997 NCHIP funds will support continuing 
implementation of these multi-year programs as well as new or ongoing 
efforts relating to domestic violence, stalking and child/elderly/
disabled abuse, applicants are encouraged to incorporate or reference 
pages of previously submitted materials, when appropriate.
    For designated State agencies to be eligible for 1997 NCHIP funds, 
an

[[Page 40110]]

application must be submitted to the Bureau of Justice Statistics by 
August 1, 1997.

Coordination With the BJA Byrne Program

    Guidelines governing use of Byrne Formula funds pursuant to the 5% 
set-aside established under Section 509 of the Omnibus Crime Control 
and Safe Streets Act of 1968, as amended, were issued on February 23, 
1995, by the Bureau of Justice Assistance (BJA), in consultation with 
BJS. The Byrne Guidelines should be considered together with this 
program announcement in developing a State's program to meet the goals 
of the Brady Act and the Child Protection Act.

Program Goals

    The goal of the NCHIP grant program is to improve the nation's 
public safety by--
     Facilitating the accurate and timely identification of 
persons who are ineligible to purchase a firearm;
     Ensuring that persons with responsibility for child care, 
elder care, or care of the disabled do not have disqualifying criminal 
records;
     Improving access to protection orders and records of 
people wanted for stalking and domestic violence; and
     Enhancing the quality, completeness and accessibility of 
the nation's criminal history record systems and the extent to which 
such records can be used and analyzed for criminal justice related 
purposes.
    More specifically, NCHIP is designed to assist States--
     To expand and enhance participation in the FBI's 
Interstate Identification Index (III) and the National Instant Criminal 
Background Check System (NICS);
     To meet timetables for criminal history record 
completeness and participation in the III, as established for each 
State by the Attorney General;
     To improve the level of criminal history record 
automation, accuracy, completeness, and flagging;
     To develop and implement procedures for accessing records 
of persons other than felons who are ineligible to purchase firearms;
     To identify (through interface with the National Incident-
Based Reporting System [NIBRS] where necessary) records of crimes 
involving use of a handgun and/or abuse of children, elderly, or 
disabled persons;
     To identify, classify, collect, and maintain (through 
interface with the National Crime Information Center [NCIC] and the III 
where necessary) protection orders, warrants, arrests, and convictions 
of persons violating protection orders intended to protect victims of 
stalking and domestic violence and to support the development of state 
sex offender registries and the interface with a national sex offender 
registry; and,
     To ensure that States develop the capability to monitor 
and assess State progress in meeting legislative and programmatic 
goals.
    To ensure that all NCHIP-funded efforts support the development of 
the national criminal record system, the program will be closely 
coordinated with the FBI, the Bureau of Justice Assistance, and the 
Bureau of Alcohol, Tobacco and Firearms (BATF).
    Funding under the NCHIP program is available to both those States 
which are subject to the 5-day waiting period (Brady States) and those 
States which are operating under an alternative system pursuant to 
approval of BATF (Brady Alternative States).

Legislative Background

    Section 106 (b) of the Brady Act, provides that--

    The Attorney General, through the Bureau of Justice Statistics, 
shall, subject to appropriations and with preference to States that 
as of the date of enactment of this Act have the lowest percent 
currency of case dispositions in computerized criminal history 
files, make a grant to each State to be used (A) for the creation of 
a computerized criminal history record system or improvement of an 
existing system; (B) to improve accessibility to the national 
instant criminal background system; and (C) upon establishment of 
the national system, to assist the State in the transmittal of 
criminal records to the national system.

    The provisions of 18 U.S.C. 922 (g) and (n), as amended by the 
Violent Crime Control Act and the ``Lautenberg amendment'', prohibit 
the sale of firearms to an individual who--
    (1) Is under indictment for, or has been convicted in any court, of 
a crime punishable by imprisonment for a term exceeding one year;
    (2) Is a fugitive from justice;
    (3) Is an unlawful user of, or addicted to, any controlled 
substance;
    (4) Has been adjudicated as a mental defective or been committed to 
a mental institution;
    (5) Is an alien who is illegally or unlawfully in the United 
States;
    (6) Was discharged from the Armed Forces under dishonorable 
conditions;
    (7) Has renounced his United States citizenship;
    (8) Is subject to a court order restraining them from harassing, 
stalking, or threatening an intimate partner or child; or
    (9) Has been convicted in any court of a misdemeanor crime of 
domestic violence.
    Category (9), included as the ``Lautenberg amendment'' in the 
Omnibus Consolidated Appropriations Act of 1997, P.L. 104-208, 110 Stat 
3009 and became effective on October 1, 1996. See Appendix A of this 
Announcement for text of the amendment which includes applicable 
definitions.
    The Brady Act, enacted in November 1993 and effective in February 
1994, requires that licensed firearm dealers request a presale check on 
all potential handgun purchasers by the chief law enforcement officer 
in the purchaser's residence community to determine, based on available 
records, if the individual is legally prohibited from purchase of the 
firearm under the provisions of 18 U.S.C. Section 922 or State law. The 
sale may not be completed for 5 days unless the dealer receives an 
approval before that time. The 5 day waiting period requirement 
terminates by November 1998, at which time presale inquiries for all 
firearms will be made only to the National Instant Criminal Background 
Check System (NICS). Section 103 of the Brady Act provides that NICS 
will supply information on ``whether receipt of a firearm * * * would 
violate (18 U.S.C. Section 922) or State law.'' As noted above, Section 
106(b) of the Brady Act establishes a grant program to assist States in 
upgrading criminal record systems and in improving access to, and, 
interface with, the NICS system.
    In addition, Section 106(a) of the Brady Act amended Section 509(d) 
of the Omnibus Act to specifically provide that funds from the 5% set-
aside under the Byrne Formula grant program may be spent for ``the 
improvement of State record systems and the sharing * * * of records * 
* * for the purposes of implementing * * * (the Brady Act).''
    The Child Protection Act, as amended by the Violent Crime Control 
Act, requires that records of abuse against children be transmitted to 
the FBI's national record system. The Child Protection Act also 
encourages States to adopt legislation requiring background checks on 
individuals prior to assuming responsibility for care of children, the 
elderly, or the disabled. Section 4 of the Act establishes a grant 
program to assist States in upgrading records to meet the requirements 
of the Act. Under the definition set forth in Section 5(3) of the Act, 
``child abuse crimes'' include crimes under any law of the State and 
are not limited to felonies.
    Both the Brady and Child Protection Acts required the Attorney 
General to

[[Page 40111]]

survey the status of State criminal history records and develop 
timetables for States to achieve complete and automated records. The 
survey was conducted during March 1994, and Governors were advised of 
timetables by the Attorney General in letters of May and June 1994. The 
letters indicated that compliance with timetable goals and the ability 
to join III by November 1998, assumed availability of grant funds under 
each Act.
    The National Stalker and Domestic Violence Reduction program 
(Stalker Reduction), Section 40602 of the Violence Against Women Act 
(VAWA), Public Law 103-322, 108 Stat. 1902-1955 (1994), codified as 
amended at 42 U.S.C. 14031, which was included in the Violent Crime 
Control Act, authorized a program to assist States in entering data on 
stalking and domestic violence into local, State, and national data-
bases. The Act emphasizes the importance of ensuring that data on 
convictions for these crimes are included in databases being developed 
with Federal funds.
    Section 40606 of VAWA authorized technical assistance and training 
in furtherance of the purposes of the Stalker Reduction program. This 
section also allows for the evaluation of programs that receive funds 
under this provision.
    The NCHIP program implements the requirements of the programs 
established in the Brady Act, Child Protection Act, and the Domestic 
Violence/Stalker Reduction provisions of VAWA.

Appropriation

    Section 106(b) of the Brady Act authorized $200 million for the 
grant program; the Child Protection Act authorized $20 million; Section 
40603 of the Violent Crime Control Act author-authorized a total of $6 
million over three years for the Domestic Violence/Stalker Reduction 
program included in VAWA.
    An appropriation of $100 million was made to implement Section 
106(b) of the Brady Act for FY 1995, to be available until expended. No 
appropriation was made for activities authorized under the Child 
Protection Act or the Domestic Violence/Stalker Reduction provisions of 
VAWA FY 1995.
    An appropriation of $25 million was made in FY 1996 to continue 
implementation of Section 106(b) of the Brady Act and to implement 
Section 4(b) of the Child Protection Act. In addition, an appropriation 
of $1.5 million was made in FY 1996 for the Domestic Violence/Stalker 
Reduction program.
    In FY 1997, an appropriation of $50 million was made to further 
continue the implementation of Section 106(b) of the Brady Act and 
Section 4(b) of the Child Protection Act. For purposes relating to 
Domestic Violence/Stalker Reduction, an appropriation of $1.75 million 
was also made in FY 1997. In light of the overlap between Brady, Child 
Protection, and Domestic Violence/Stalker Reduction, these 
appropriations are combined under NCHIP.
    To date, approximately $5 million has been awarded for purposes 
authorized under the NCPA and the Domestic Violence/Stalker Reduction 
provisions of the VAWA. In recognition of the importance of these 
issues, up to $14 million of the 1997 appropriation will be awarded for 
these purposes.

Program Strategy

    The 1995 NCHIP program covered criminal history records 
improvements.
    The 1996 NCHIP program also permitted funds to be used to assist 
States in identifying people who commit felony and serious misdemeanor 
offenses against children, the elderly, and/or the disabled, improving 
the process for classifying and entering data regarding stalking and 
domestic violence (including protective orders) into local, State, and 
national crime information databases, and covering costs associated 
with conducting background checks on individuals who wish to work with 
sensitive populations.
    In 1997, the program will continue efforts to enhance State 
computerized criminal history records in support of the Interstate 
Identification Index and the NICS, to develop and implement methods to 
collect and flag records of persons convicted of offenses against 
children, the elderly, or the disabled and persons subject to a 
domestic violence protective order, and, to upgrade the process of 
entering into local, State, and national crime databases, data relating 
to stalking and domestic violence.
    In light of the importance to all states of efforts relating to 
domestic violence, all states will receive an equal amount ($30K) from 
the 1997 appropriation under the VAWA ($1.75 Million). States were 
advised that an early award could be made for this amount and all seven 
states that opted to apply early received an award of $30 thousand. The 
remaining applicant states will each receive up to $30 K for these 
purposes as part of their 1997 NCHIP award. Subject to overall funding 
limits, states may, however, allocate a greater portion of their NCHIP 
award for such purposes.

Application and Award Process

Eligibility Requirements

    Only one application will be accepted from each State. The 
application must be submitted by the agency previously designated by 
the Governor or by a successor agency designated by the Governor in 
writing to BJS. A State may, however, choose to submit its application 
as part of a multi-state consortium or other entity. In such case, the 
application should include a statement of commitment from each State 
and be signed by an individual designated by the Governor of each 
participating State. The application should also indicate specific 
responsibilities, and include a separate budget, for each State. States 
may receive successive awards over time, assuming availability of 
funds.
    A grant will be made to each eligible applicant State with funds 
from the 1997 appropriation. All states, including states previously 
designated as ``priority States'', are eligible to receive funds for 
activities relating to criminal records improvement, as well as the 
additional purposes authorized under the Child Protection Act and the 
Domestic Violence/Stalker Reduction legislation, as described in this 
Announcement.
    States may submit an application even though funds remain 
unexpended under the previous NCHIP awards. In such case, the 
application should describe the efforts undertaken to date, the 
specific reasons that funds remain unexpended, and the anticipated time 
when funds will be expended.
    Applications must contain a start date and end date which fall 
between October 1, 1997 and June 1, 1999. FY 1997 projects may overlap 
with FY 1996 projects or the projects may run consecutively.

Program Narrative

    In addition to the requirements set forth in Appendix A, the NCHIP 
application should include the following four parts. Since, however, 
this is the third year of funding under the NCHIP program, States may, 
at their option, satisfy requirements noted below by referencing or 
summarizing previous applications.
Part I. Background
    This section should include a short update of current efforts 
relating to criminal history record improvement funded under the BJS 
NCHIP, Advanced State Award Program (ASAP), Criminal History Record 
Improvements (CHRI)

[[Page 40112]]

programs, and the BJA Byrne 5% set-aside or with State funds over the 
past year. Where applicable, the section should also include a 
reference to projects which will, or may be, funded under the State 
Identification Systems Formula Grant program (SIS) administered by the 
BJA. The discussion should also specify total funds received under the 
BJS and Byrne programs and the funds remaining at the time of 
application.
Part II. Identification of Needs
    This part should discuss any evaluative efforts undertaken to 
identify the key areas of weakness in the State's criminal record 
system since submission of the last NCHIP application. The application 
should also indicate those areas which must be addressed in order to 
enable the state to identify ineligible firearm purchasers, persons 
ineligible to hold positions involving children, the elderly, or the 
disabled, and people wanted, arrested, or convicted of stalking and/or 
domestic violence offenses including protective orders.
    States which are currently not members of III must include a 
section identifying the tasks remaining to permit III participation as 
soon as possible.
Part III. NCHIP Effort
    This section should describe the activities to be undertaken with 
NCHIP funds over the 12-month period. Specifically, each application 
should indicate the activities proposed, how these activities relate to 
efforts funded under the 1995 and 1996 award, and the results that will 
be achieved from 1997 funding. In order to permit assessment of State 
progress in meeting grant goals, Part III should also set forth 
measurable benchmarks or goals for each proposed activity.
    States which are not members of III must include a description and 
time table for activities which are specifically designed to permit 
such participation.
    Part III of the application should also describe any efforts to be 
supported to monitor State compliance with legislative or programmatic 
goals through ongoing audits or other means such as statistical 
analysis, comparison between Computerized Criminal History (CCH) 
records and NIBRS or Uniform Crime Reporting (UCR) data. Studies 
relating to handgun use or sales approval, if proposed, should be 
described in this section.
    In addition, to ensure program continuity and emphasize the 
importance of judicial efforts in meeting newly established record 
requirements, the application should indicate the level of funds which 
will be made directly available to the courts where the courts are the 
appropriate source for data on dispositions or other record data.
    Domestic Violence/Stalking: All states except those which have 
already received an ``early'' award, are eligible to receive $30 K for 
purposes authorized under the domestic violence/stalker reduction 
program, as described in this Announcement. Section 3 of the 
application should describe the activities to be undertaken with these 
funds. As noted above, BJS will allocate up to a total of $14 million 
in FY 1997 funds for activities eligible for funding under either the 
Domestic Violence/Stalking provisions or the NCPA. Because funds are 
limited, all requests for funds in this area may not be funded to the 
full extent.
    Section 40602(b) of the Violent Crime Control Act states that in 
order to be eligible to receive a funds for Domestic Violence/Stalker 
Reduction program actvities, a State shall certify that it has, or 
intends to establish, a program that enters into the National Crime 
Information Center the following records:
     Warrants for the arrest of persons violating protection 
orders intended to protect victims from stalking or domestic violence;
     Arrests or convictions of persons violating protection or 
domestic violence orders; and
     Protection orders for the protection of persons from 
stalking or domestic violence.
    The Bureau of Justice Statistics will coordinate the Domestic 
Violence/Stalker Reduction portion of NCHIP with the Violence Against 
Women Office (VAWA) at the Department of Justice.
Part IV. Coordination Between NCHIP and the Byrne 5% Set-Aside and 
State Identification Systems (SIS) Formula Grant Program
    Funds under the Byrne Formula 5% set-aside program are available to 
support the improvement of record systems and to meet the goals of the 
Brady and Child Protection Acts.
    The Bureau of Justice Statistics and the Bureau of Justice 
Assistance have jointly agreed that close and continuing coordination 
between the NCHIP and Byrne 5% set-aside program is critical to meeting 
the goals of the Brady Act, and the National Child Protection Act. Such 
coordinated efforts are also necessary to ensure the development of an 
effective interstate criminal history record system to meet the needs 
of law enforcement, the criminal justice community and the increasing 
number of non-criminal justice users of criminal history record 
information. To achieve this goal, BJS and BJA prepared Guidelines 
governing use of the Byrne 5% set-aside funds. The Guidelines were 
issued February 23, 1995, to State Administrative Agencies that receive 
and distribute Byrne formula grant funds.
    BJS expects that program plans for projects to be funded under 
NCHIP and the Byrne 5% set-aside will be coordinated by the State 
agencies responsible for these programs in order to avoid overlap and 
maximize funding effectiveness. Where costs of a proposed activity 
exceed NCHIP available funds or are unallowable under NCHIP, the State 
might, for example, use Byrne funds to fill remaining needs. This joint 
effort, we believe, will maximize the effectiveness of both of these 
programs.
    In May 1997, BJA announced the State Identification Systems Formula 
Grant Program (SIS) under which states are eligible to apply for funds 
to ``establish, develop, update or upgrade--(A) computerized 
identification systems that are compatible and integrated with the 
databases of the National Crime Information Center (NCIC) of the FBI; 
(B) the capability to analyze * * * DNA * * * in a forensic laboratory 
in ways that are compatible and integrated with the combined DNA 
Identification System (CODIS) of the FBI; and, (c) automated 
fingerprint identification systems that are compatible and integrated 
with the Integrated Automated Fingerprint Identification System (IAFIS) 
of the FBI''. To ensure coordination between these programs, 
information copies of the proposed activities to be funded under the 
SIS program will be provided to BJS for inclusion as part of the 
state's NCHIP file.

Award Period and Budget

    The application may be for up to 12 months. States will have the 
flexibility to begin activities under the award as early as October 1, 
1997 and as late as the summer of 1998. Activities must be completed by 
June 1, 1999.
    The budget should provide details for expenses in required 
categories and by individual task (see Appendix A, Application 
content). The application should identify those agencies to receive 
direct funding and indicate the fiscal arrangements to accomplish fund 
transfer.

Application Submission and Due Dates

    Applications may be submitted at any time after publication of this 
announcement. Applications must be

[[Page 40113]]

received by August 1, 1997, to be eligible for funding from the FY 1997 
appropriation.
    To minimize administrative burdens, States may re-submit parts of 
previous proposals which did not receive funds under previous NCHIP 
awards accompanied by a current budget.

Review Criteria

    States should understand that full funding may not be possible for 
all proposed activities. Allocation of funds will be based on the 
amount requested and the following factors:
    (1) The extent to which the plan supports State efforts to become a 
III participant and to meet the timetables established for the State by 
the Attorney General,
    (2) The extent to which improvements in the State system, by virtue 
of record numbers, levels of technical development, or operating 
procedures, will have a major impact on availability of records 
throughout the national system;
    (3) The proposed use or enhancement of innovative procedures which 
may be of value to other jurisdictions;
    (4) The technical feasibility of the proposal and the extent to 
which the proposal appears reasonable in light of the State's current 
level of system development and statutory framework;
    (5) Amount awarded under FY 1995 and 1996 NCHIP programs;
    (6) The extent to which the state has fulfilled goals of previous 
NCHIP grants, expended funds awarded in previous grants, and 
demonstrated a commitment to record improvement through activities 
under the FY 1995 and 1996 NCHIP program;
    (7) State commitment to the national record system as evidenced by 
membership in III, and participation in the FBI's National Fingerprint 
File (NFF), Felon Identification in Firearms Sales (FIFS) programs, 
etc., and the current status of development of its CCH;
    (8) Reasonableness of the budget;
    (9) Evidence of State progress in meeting record improvement and 
background check goals as measured in terms of audits, and data 
collection relating to presale firearm checks and background checks on 
persons seeking positions involving children, the aged and the 
disabled;
    (10) Appropriate focus on criminal history data improvement 
regarding protection orders and crimes against children, the elderly, 
and the disabled;
    (11) Nature of the proposed expenditures;
    (12) The extent to which the plan reflects constructive interface 
between relevant components of the State organization and/or multi 
state systems; and
    (13) The reasonableness of the relationship between the proposed 
activities and the current status of the State system, in terms of 
technical development, legislation, current fiscal demands, and future 
operating costs; and
    The program does not require either ``hard'' (cash) or ``soft'' 
(in-kind) match. Indications of State support, however, may be 
interpreted as expressions of commitment by the State to the program.
    All applicants must agree to participate in evaluations sponsored 
by the federal government. Applicants must also agree to provide data 
relating to Brady Act activity to the Firearm Inquiry STatistics (FIST) 
program in the format designated by the FIST program.

Allowable Costs

    Allowable expenses are detailed below. All expenses are allowable 
only to the extent that they directly relate to programs described in 
the application's program narrative.
    (1) Participation in III: This is a key goal, and costs should be 
related to achieving full participation. Covered costs include, but are 
not limited to, costs associated with automation of the database (see 
limitations in [4] below), synchronization of records between State and 
FBI, and development of necessary software and hardware enabling 
electronic access on an intrastate or interstate basis.
    (2) Database enhancement: Improving the quality, completeness and 
accuracy of criminal history records is a key goal of the NCHIP effort. 
Allowable costs include the costs associated with implementing improved 
record capture procedures, establishing more effective accuracy 
controls, and ensuring that records of all criminal events that start 
with an arrest or indictment are included in the database.
    In addition to felony records, funds may be used to capture data on 
domestic violence misdemeanors, and to ensure that data on persons 
convicted of child, elderly, and disabled abuse and/ or stalking and 
domestic violence offenses (including protective orders and violations 
thereof) are included in the database.
    States which are currently participants in III may also use limited 
funds to identify and develop access to data on other categories of 
persons prohibited from firearm purchase under recent amendments to the 
Gun Control Act, as incorporated in the Brady Act. States proposing use 
of funds for these purposes must demonstrate in the application that 
results of applicable pilot efforts supported under the NCHIP Advanced 
State Award Program (ASAP) have been considered and that necessary 
protections for individual privacy will be incorporated in the proposed 
procedures. Information about current NCHIP supported efforts in these 
areas, and relevant state contacts, is available through the BJS 
Internet site.
    (3) Improved disposition capture: Automated interface between the 
criminal history repository and the courts, prosecutors, and/or 
corrections agencies is encouraged. Funds provided to courts or 
prosecutors for these purposes are allowable only to the extent that 
the function to be supported is related to the capture of disposition 
or other data relating to the offender record (for example, full costs 
associated with establishment of court MIS systems are not allowable 
under the NCHIP program).
    (4) Record automation: These are allowable costs only with respect 
to records where the subject has been arrested, indicted, convicted, or 
released from confinement within 5 years of the date of automation. As 
appropriate, allowable costs also include costs associated with system 
design in States with non-automated systems or in States proposing to 
enhance system operation to include access to non-CCH databases.
    (5) Flagging of records: Upgrading the accessibility of records, 
through flagging, for presale and preemployment checks is an important 
activity. Allowable costs include costs of flagging, or algorithms used 
for flagging, felony records and records of persons with convictions 
for crimes involving children, the elderly, and/or the disabled, and 
persons convicted of crimes involving domestic violence and/or 
stalking. Costs may include the cost of technical record flagging as 
well as the costs associated with identification of records to be 
flagged (see [7] below regarding interface with NIBRS).
    (6) AFIS/livescan: Automated Fingerprint Identification System 
(AFIS)/livescan equipment for local law enforcement agencies is 
allowable to improve the level of arrest and disposition reporting, but 
only where--
    (1) The State repository system is automated, participating or 
looking toward participation in III, and has in place the technical 
capability to accept AFIS transmissions, and
    (2) Sufficient traffic can be demonstrated to justify the cost, 
possibly through the use of regional systems.

[[Page 40114]]

    AFIS/livescan in squad cars is not allowable since field inquiries 
are not a factor in checks under either the Brady Act or the Child 
Protection Act. Additionally, since data are not generally input to the 
system by the field unit, AFIS in the squad car would not support 
record improvement or completeness. AFIS/livescan for use in courts is 
allowable to support record completeness. The same conditions regarding 
repository capability and levels of traffic are also applicable to 
costs in this category.
    Costs associated with AFIS/livescan communication from the 
repository to the FBI national system (IAFIS) are allowable but only 
where the State can demonstrate adequate levels of record completeness 
(both arrest and disposition) and current membership in III.
    States should understand that Byrne 5% set-aside funds are 
available for AFIS/livescan, and that, accordingly, use of NCHIP funds 
for AFIS or livescan will only be allowable when justified as 
appropriate given the overall status of the State system, its 
participation in the national system and its planned use of Byrne 5% 
set-aside funds. This is particularly relevant with respect to State 
proposals to use NCHIP funds to cover costs of local livescan 
equipment.
    (7) Interface with NIBRS: Funds may be used to interface with any 
State data system which is compatible with NIBRS for purposes of 
identifying persons convicted of crimes against children, the elderly, 
or the disabled, involving domestic violence and/or stalking, and/or 
identification of records involving firearm crimes for operational or 
research purposes. NCHIP funds are not available, however, to develop 
the NIBRS database.
    (8) Research, evaluation, monitoring, and audits: Costs associated 
with research or evaluation efforts are allowable to the extent that 
they are directly associated with a project approved in the 
application. Costs associated with monitoring State compliance with 
legislative or programmatic goals, through ongoing or periodic audits 
or other procedures, are allowable and encouraged. The purchase of 
equipment such as modems and the necessary communications and data 
software for storing and transmitting evaluative data between States 
and to BJS or other designated federal agencies is an allowable 
expense.
    (9) Conversion of juvenile records to the adult system: The 
Attorney General has recently amended Federal Regulations to allow the 
FBI to accept juvenile records if submitted by the State or local 
arresting agency. Expenditures to interface juvenile and adult records 
are allowable if consistent with relevant State law and undertaken to 
further the goals of the NCHIP program.
    (10) Missing dispositions backlog reduction: These costs are 
allowable to improve the level of disposition reporting but only where 
limited to records with arrests within the past 5 years. States must 
also propose a strategy to prevent future backlogs from developing.
    (11) Equipment upgrades: Upgrade costs are allowable where related 
to improving availability of data and where appropriate given the level 
of data completeness, participation in III, etc. Replacement costs will 
be considered but States are encouraged to contribute some portion of 
the total costs.
    (12) Training, participation in seminars and meetings: Limited 
funds may be used to cover costs of training and participation in 
State, regional, or national seminars or conferences (including travel, 
where necessary).
    (13) Expenditures related to presale handgun background checks: 
Funds are allowable to cover costs incurred by a governmental agency 
for equipment or development of capability required to conduct presale 
background checks. This ``governmental agency'' limitation may be 
waived in a very limited number of cases where the State has 
implemented a functioning background check system and can demonstrate 
that the vast preponderance of inquiries are made by a limited number 
of dealers, that technical and procedural safeguards have been 
established to protect the privacy of potential purchasers, and that 
the equipment to be provided to dealers would be of use for operation 
under the permanent system. Waivers will only be considered in States 
which are participants in III and which have achieved high levels of 
automation and record completeness.
    NCHIP funds may not be used to cover costs of conducting presale 
background checks.
    (14) Reducing cost of background checks: States may use funds to 
develop and implement technologies that lower costs of conducting 
background checks. These funds may also be used to pay all or part of 
the cost to the State of conducting background checks on persons who 
are employed by or volunteer with a public, not-for-profit, or other 
voluntary organization to reduce the amount of fees charged for such 
background checks.
    (15) Allowable activities relating to implementation of the Child 
Protection Act and the Domestic Violence and Stalker Reduction 
provisions of the VAWA:
    Capturing domestic violence and/or stalking protection orders;
    Flagging of child abuse records, crimes against children, the 
elderly and the disabled, convictions for domestic violence and/or 
stalking, and domestic violence protection orders;
    Incorporating serious misdemeanor offenses against children, the 
elderly and the disabled into existing criminal history records;
    Offsetting the cost of certain background checks, including 
development and implementation of technological and procedural 
advances;
    Improving processes for entering data regarding stalking and 
domestic violence into local, State, and national crime information 
data bases.
    The Bureau of Justice Statistics will shortly initiate efforts to 
develop standard definitions of domestic violence and child abuse. 
States proposing to use funds for flagging or to interface with NIBRS 
to identify convictions for domestic violence and/or stalking, domestic 
violence protection orders, or crimes against children must coordinate 
their efforts with BJS.

Text of ``Lautenberg Amendment''

    The ``Lautenberg Amendment'' amends the Federal Gun Control Act to 
prohibit the transfer of firearms to a person convicted of a 
``misdemeanor crime of domestic violence.'' The text of the amendment 
is set forth below.

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

    (a) Definition.--Section 921(a) of title 18, United States Code, 
is amended by adding at the end of the following:
    ``(33)(A) Except as provided in subparagraph (c), the term 
`misdemeanor crime of domestic violence' means an offense that--
    ``(i) is a misdemeanor under Federal or State law; and
    ``(ii) has, as an element, the use or attempted use of physical 
force, or the threatened use of a deadly weapon, committed by a 
current or former spouse, parent, or guardian of the victim, by a 
person who is cohabiting with or has cohabited with the victim as a 
spouse, parent, or guardian, or by a person similarly situated to a 
spouse, parent, or guardian of the victim.
    ``(B)(i) A person shall not be considered to have been convicted 
of such an offense for purposes of this chapter, unless--
    ``(I) the person was represented by counsel in the case, or 
knowingly and intelligently waived the right to counsel in the case; 
and
    ``(II) in the case of a prosecution for an offense described in 
this paragraph for which a person was entitled to a jury trial in 
the

[[Page 40115]]

jurisdiction in which the case was tried, either--
    ``(aa) the case was tried by a jury, or
    ``(bb) the person knowingly and intelligently waived the right 
to have the case tried by a jury, by guilty plea or otherwise.
    ``(ii) A person shall not be considered to have been convicted 
of such an offense for purposes of this chapter if the conviction 
has been expunged or set aside, or is an offense for which the 
person has been pardoned or has had civil rights restored (if the 
law of the applicable jurisdiction provides for the loss of civil 
rights under such an offense) unless the pardon, expungement, or 
restoration of civil rights expressly provides that the person may 
not ship, transport, possess, or receive firearms.''
    (b) Prohibitions.--
    (1) Section 922(d) of such title is amended--
    (A) by striking ``or'' at the end of paragraph (7);
    (B) by striking the period at the end of paragraph (8) and 
inserting ``;or''; and
    (C) by inserting after paragraph (8) the following:
    ``(9) has been convicted in any court of a misdemeanor crime of 
domestic violence''.
    (2) Section 922(g) of such title is amended--
    (A) by striking ``or'' at the end of paragraph (7);
    (B) by striking the period at the end of paragraph (8) and 
inserting ``; or''; and
    (C) by inserting after paragraph (8) the following:
    ``(9) has been convicted in any court of a misdemeanor crime of 
domestic violence''.
    (3) Section 922(s)(3)(B)(I) of such title is amended by 
inserting ``, and has not been convicted in any court of a 
misdemeanor crime of domestic violence'' before this semicolon.
    (c) Government Entities Not Excepted.--Section 925(a)(1) of such 
title is amended by inserting ``sections 922(d)(9) and 922(g)(9) 
and'' after ``except for''.

Application and Administrative Requirements

Application Content

    All applicants must submit:
     Standard Form 424, Application for Federal Assistance.
     Standard Form 424A, Budget Information.
     OJP Form 4000/3 (Rev. 1-93), Program Narrative and 
Assurances.
     OJP Form 4061/6 Certifications.
     OJP Form 7120/1 (Rev. 1-93), Accounting System and 
Financial Capability Questionnaire (to be submitted by applicants who 
have not previously received Federal funds).
    Applicants are requested to submit an original and two copies of 
the application and certifications to the following address:

Application Coordinator

Bureau of Justice Statistics, 633 Indiana Avenue, NW., Washington, DC 
20531, Phone: (202) 616-3500

    Standard Form 424 (SF-424). The SF-424, a one page sheet with 18 
items, serves as a cover sheet for the entire application. This form is 
required for every application for Federal assistance. No Application 
can be Accepted Without a Completed, Signed Original SF-424. Directions 
to complete each item are included on the back of the form.
    Standard Form 424A (SF-424A). All applications must include SF-
424A, Budget Information for all years of project activity. Applicants 
should ensure that all appropriate columns and rows balance. Directions 
to complete this form are found on page 3 of SF-424A.
    Detailed budget. Applicants must provide a detailed justification 
for all costs including the basis for computation of these costs. For 
example, the detailed budget would include the salaries of staff 
involved in the project and the portion of those salaries to be paid 
from the award; fringe benefits paid to each staff person; travel costs 
related to the project; equipment to be purchased with the award funds; 
and supplies required to complete the project.
    Budget narrative. The budget narrative closely follows the content 
of the detailed budget. The narrative should relate the items budgeted 
to specific tasks and allowable cost categories and should provide a 
justification and explanation for the budgeted items including the 
criteria and data used to arrive at the estimates for each budget 
category. Please note applications that include noncompetitive 
contracts for the provision of specific services must contain a sole 
source justification for any procurement in excess of $100,000.
    The budget narrative should indicate amounts to be made available 
to agencies other than the grant recipient (for example, the agency 
with responsibility for CCH, the courts, local agencies.)
    Applicants for grants must submit a budget narrative on separate 
sheets. The budget narrative should detail by budget category for 
Federal and non-Federal (in-kind and cash) share. The purpose of the 
budget narrative is to relate items budgeted to project activities and 
to provide justification and explanation for budget items, including 
criteria and data used to arrive at the estimates for each budget 
category. The following information is provided to assist the applicant 
in developing the budget narrative.
    a. Personnel category. List each position by title (and name of 
employee if available), show annual salary rate and percentage of time 
to be devoted to the project by the employee. Compensation paid for 
employees engaged in federally assisted activities must be consistent 
with that paid for similar work in other activities of the applicant.
    b. Fringe benefits category. Indicate each type of benefit included 
and explain how the total cost allowable for employees assigned to the 
project is computed.
    c. Travel category. Itemize travel expenses of project personnel by 
purpose (e.g., faculty to training site, field interviews, advisory 
group meetings, etc.) And show basis or computation (e.g., ``Five trips 
for x purpose at $80 average cost--$50 transportation and two days per 
diem at $15'' or ``Six people to 30-day meeting at $70 transportation 
and $45 subsistence.'') In training projects where travel and 
subsistence for trainees is included, this should be separately listed 
indicating the number of trainees and the unit costs involved.
    (1) Identify the tentative location of all training sessions, 
meetings, and other travel.
    (2) Applicants should consult such references as the Official 
Airline Guide and the Hotel and Motel Redbook in projecting travel 
costs to obtain competitive rates.
    d. Equipment. List each type of equipment to be purchased or rented 
with unit or monthly costs.
    e. Supplies. List items within this category by major type (office 
supplies, training materials, research forms, postage) and show basis 
for computation. Provide unit or monthly estimates.
    f. Contractual category. State the selection basis for any contract 
or subcontract or prospective contract or subcontract (including 
construction services and equipment).
    For individuals to be reimbursed for personal services on a fee 
basis, list by name or type of consultant or service, the proposed fee 
(by day, week, or hour) and the amounts of time to be devoted to such 
services.
    For construction contracts and organization (including professional 
associations and education institutions performing professional 
services), indicate the type of service to be performed and the 
estimated contract cost data.
    g. Construction category. Describe construction or renovation which 
will be accomplished using grant funds and the method used to calculate 
cost.
    h. Other category. Include under ``other'' such items as rent, 
reproduction, telephone, and janitorial

[[Page 40116]]

or security services. List items by major type with basis of 
computation shown. (Provide square footage and cost per square foot for 
rent--provide local and long distance telephone charges separately.)
    i. Indirect charges category. The Agency may accept an indirect 
cost rate previously approved for an applicant by a Federal agency. 
Applicants must enclose a copy of the approved rate agreement with the 
grant application.
    j. Program income. If applicable, provide a detailed estimate of 
the amount of program income to be generated during the grant period 
and its proposed application (to reduce the cost of the project or to 
increase the scope of the project). Also, describe the source of 
program income, listing the rental rates to be obtained, sale prices of 
publications supported by grant funds, and registration fees charged 
for particular sessions. If scholarships (covering, for example, 
registration fees) are awarded by the organization to certain 
conference attendees, the application should identify the percentage of 
all attendees that are projected as ``scholarship'' cases and the 
precise criteria for their selection.
    Program narrative. All applications must include a program 
narrative which fully describes the expected design and implementation 
of the proposed program. OJP Form 4000/3 (Rev. 1-93) provides 
additional detailed instructions for preparing the program narrative.
    The narrative should include a time line of activities indicating, 
for each proposed activity, the projected duration of the activity, 
expected completion date, and any products expected.
    The application should include a description of the roles and 
responsibilities of key organizational and/or functional components 
involved in project activities; and a list of key personnel responsible 
for managing and implementing the major elements of the program.
    Assurances. OJP Form 4000/3 (Rev 1-93) must be included in the 
application submission. If submitting this form separate from the SF-
424, the applicant must sign and date the form to certify compliance 
with the Federal statutes, regulations, and requirements as cited.
    Certification Regarding Lobbying; Debarment, Suspension, and Other 
Responsibility Matters; and Drug-Free Workplace. Applicants should 
refer to the regulations cited in OJP Form, 4061/6 to determine the 
certification to which they are required to attest. A copy of OJP Form 
4061/6 can be obtained from the BJS Application Coordinator. Applicants 
should also review the instructions for certification included in the 
regulations before completing this form. Signature of this form 
provides for compliance with certification requirements under 28 CFR. 
Part 69, ``New Restrictions on Lobbying,'' and 28 CFR Part 67, 
``Government-wide Debarment and Suspension (Nonprocurement) and 
Government-wide Requirements for Drug-Free Workplace (Grants).'' The 
certifications shall be treated as a material representation of fact 
upon which reliance will be placed when the U.S. Department of Justice 
determines to award the covered transaction, grant, or cooperative 
agreement.

Financial and Administrative Requirements

    Discretionary grants are governed by the provisions of OMB 
Circulars applicable to financial assistance. The circulars, with 
additional information and guidance, are contained in the ``Financial 
and Administrative Guide for Grants,'' Office of Justice Programs, 
Guideline Manual, M7100, available from the Office of Justice Programs. 
This guideline manual, provided upon request, is intended to assist 
grantees in the administration of funds and includes information on 
allowable costs, methods of payment, Federal rights of access to 
records, audit requirements, accounting systems, and financial records.
    Complete and accurate information is required relative to the 
application, expenditure of funds, and program performance. The 
consequences of failure to comply with program guidelines and 
requirements will be determined at the discretion of the Department.

Civil Rights Obligations

    All applicants for Federal financial assistance must sign Certified 
Assurances that they are in compliance with the Federal laws and 
regulations which prohibit discrimination in any program or activity 
that receives such Federal funds. Section 809(c), Omnibus Crime Control 
& Safe Streets Act of 1968, provides that:
    No person in any State shall on the ground of race, color, 
religion, national origin, or sex be excluded from participation in, be 
denied the benefits of, or be subjected to discrimination under, or 
denied employment in connection with any program or activity funded in 
whole or in part with funds made available under this title.
    Section 504 of the Rehabilitation Act of 1973, and Title II of the 
Americans With Disabilities Act prohibit discrimination on the basis of 
disability.
    The applicant agency must discuss how it will ensure 
nondiscriminatory practices as they relate to:
    (1) Delivery of services or benefits--to ensure that individuals 
will not be denied access to services or benefits under the program or 
activity on the basis of race, color, religion, national origin, 
gender, age, or disability;
    (2) Employment practices--to ensure that its personnel in the 
program or activity are selected for employment without regard to race, 
color, religion, national origin, gender, age, or disability; and
    (3) Program participation--to ensure members of any planning, 
steering or advisory board, which is an integral part of the program or 
activity, are not excluded from participation on the basis of race, 
color, religion, national origin, gender, age or disability; and to 
encourage the selection of such members who are reflective of the 
diversity in the community to be served.

Audit Requirement

    In October 1984, Congress passed the Single Audit Act of 1984. On 
April 12, 1985, the Office of Management and Budget issued Circular A-
128, ``Audits of State and Local Governments'' which establishes 
regulations to implement the Act. OMB Circular A-128, ``Audits of State 
and Local Governments,'' outlines the requirements for organizational 
audits which apply to BJS grantees.

Disclosure of Federal Participation

    Section 8136 of the Department of Defense Appropriations Act 
(Stevens Amendment), enacted in October 1988, requires that, ``when 
issuing statements, press releases for proposals, bid solicitations, 
and other documents describing projects or programs funded in whole or 
in part with Federal money, all grantees receiving Federal funds, 
including but not limited to State and local governments, shall clearly 
state (1) the percentage of the total cost of the program or project 
which will be financed with Federal money, and (2) the dollar amount of 
Federal funds for the project or program.''

Intergovernmental Review of Federal Programs

    Federal Executive Order 12372, ``Intergovernmental Review of 
Federal Programs,'' allows States to establish a process for reviewing 
Federal programs in the State, to choose which programs they wish to 
review, to conduct such reviews, and to make their views known to the 
funding Federal agency through a State ``single point of contact.''

[[Page 40117]]

    If the State has established a ``single point of contact,'' and if 
the State has selected this program to be included in its review 
process, the applicant must send a copy of its letter or application to 
the State ``single point of contact'' at the same time that it is 
submitted to BJS. The letter or application submitted to BJS must 
indicate that this has been done. The State must complete its review 
within 60 days. The review period will begin on the date that the 
letter or application is officially received by BJS. If BJS does not 
receive comments from the State's ``single point of contact'' by the 
end of the review period, this will be interpreted as a ``no comment'' 
response.
    If the State has not established a ``single point of contact,'' or 
if it has not selected the BJS statistics development or criminal 
history improvement programs in its review process, this must be stated 
in the letter or application.

    Dated: July 22, 1997.
Jan M. Chaiken,
Director, Bureau of Justice Statistics.
[FR Doc. 97-19676 Filed 7-24-97; 8:45 am]
BILLING CODE 4410-18-P