[Federal Register Volume 63, Number 101 (Wednesday, May 27, 1998)]
[Notices]
[Pages 29025-29033]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 98-13965]


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DEPARTMENT OF JUSTICE

Office of Justice Programs


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

[OJP(BJS)-1175]
RIN 1121-ZA95
AGENCY: Office of Justice Programs, Bureau of Justice Statistics (BJS), 
Justice.

ACTION: Notice of program plan.

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SUMMARY: The Bureau of Justice Statistics (BJS) is publishing this 
notice to announce the continuation of the National Criminal History 
Improvement Program (NCHIP) in Fiscal Year 1998. Copies of this 
announcement can also be found on the Internet at http://
www.ojp.usdoj.gov/bjs/.

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

SUPPLEMENTARY INFORMATION:
    The program implements the grant provisions of--
    * the Brady Handgun Violence Prevention Act (Brady Act), Pub. L. 
No. 103159, 107 Stat. 1536 (1993), codified as amended at 18 U.S.C. 
Sections 921 et seq.;
    * the National Child Protection Act of 1993 (NCPA), Pub. L. No. 
103209, 107 Stat. 2490 (1993), codified as amended at 42 U.S.C. 
Sections 3759, 5101 note, 5119, 5119a, 5119b, 5119c;
    * those provisions of the Omnibus Crime Control and Safe Streets 
Act of 1968 (Omnibus Act), Pub. L. No. 90-351, 82 Stat. 197 (1968), 
codified as amended at 42 U.S.C. Sections 3711 et seq., as amended; and 
the Violent Crime Control and Law Enforcement Act of 1994 (Violent 
Crime Control Act), Pub. L. No. 103-322, 108 Stat. 1796 (1994), 
codified as amended at 42 U.S.C. Sections 13701 et seq., which pertain 
to the establishment, maintenance, analysis, or use of criminal history 
records and criminal record systems; and,
    * related laws pertaining to the identification, collection, 
analysis and interstate exchange of records relating to domestic 
violence and stalking (including protection orders) and to the 
establishment of sexual offender registries and exchange of data 
between them.
    The NCHIP Program to date. The NCHIP program was initiated in 1995, 
under the administration of the Bureau of Justice Statistics. During 
Fiscal Years 1995, 1996, and 1997, from the total appropriation of 
$178.25 million, direct awards were made to all States and eligible 
territories in an amount totaling over $160 million. Six million 
dollars was also transferred to the FBI for implementation of the 
National Instant Criminal Background Check System (NICS), which will 
provide instant interstate access to records prohibiting the sale of a 
firearm. About $5 million was awarded to provide direct technical 
assistance to States, to evaluate the program, and to collect 
statistics and research data on presale firearm programs.
    To date, under the NCHIP program, all States have received funds to 
upgrade criminal record systems (including establishing and upgrading 
Automated Fingerprint Identification Systems (AFIS)) and to support 
efforts to participate in the FBI's Interstate Identification Index 
(III), which permits instant exchange of criminal records among the 
States. Eighteen States also received additional funding under the 
Advanced State Award Program to initiate efforts to identify persons 
other than felons who are prohibited from purchasing firearms.
    Beginning in FY 1996, NCHIP program funds have also been available 
to States to upgrade record systems to identify and flag persons 
convicted of abusing children, the elderly, and the disabled, or to 
defray costs of providing rapid and reliable background checks on 
individuals who wish to work with these sensitive populations.
    Also since 1996, NCHIP program funds have been available to develop 
and implement procedures for classifying and entering data regarding 
stalking and domestic violence (including protection orders) into 
local, State, and national crime information databases consistent with 
the provisions of the Violence Against Women Act (VAWA).
    To date, approximately $10 million has been awarded to States for 
purposes relating to offenses against children, the elderly and the 
disabled, and for collection of data on stalking and domestic abuse, 
including protection orders and violations thereof.
    The FY 1998 program. Consistent with the FY 1998 appropriation, 
funds awarded under the 1998 NCHIP program may be used to improve 
criminal record systems, to support interstate exchange of records 
through the FBI, to implement procedures designed to permit 
participation in the NICS, and for authorized purposes consistent with 
the NCPA and the identified sections of the VAWA, as described above, 
and, more fully, in later sections of this announcement.
    The FY 1998 NCHIP program also includes the National Sex Offender

[[Page 29026]]

Registry Assistance Program (NSOR-AP) under which $25 million was 
appropriated for grants to assist States in upgrading sex offender 
registries and providing data to the FBI Sex Offender Registry. The 
NSOR-AP program is a component of NCHIP but is funded separately 
pursuant to a separate application.
    Commitment to full implementation of the National Instant Criminal 
Background Check System (NICS). The Brady Act in Section 103(b) 
requires the establishment of a national system to provide instant 
background checks to determine if a potential firearm purchaser is a 
felon or otherwise prohibited from purchase of a firearm under Federal 
or State statute. Consistent with the statutory requirement, the 
National Instant Criminal Background Check System (NICS), which will be 
operated by the FBI, will become operational in November 1998, and 
Federal waiting period requirements will no longer be applicable.
    The effectiveness of NICS will depend on the extent to which the 
most accurate and complete records of Federal and State criminal 
offenses and records in other prohibiting categories are instantly 
available in response to inquiries from firearms dealers.
    Under the NICS configuration, States are encouraged to serve as a 
``Point of Contact'' (POC) interfacing between firearm dealers and the 
FBI's national record system. Where the State is a POC, firearm dealers 
will receive instant access to (1) the most complete and up-to-date 
State criminal records, (2) State-held records of noncriminal factors 
that prohibit firearm purchase, and (3) State personnel who can best 
interpret records and their modifications. BJS supports States that 
will be facilitating background checks in this way by allowing NCHIP 
funds to be used to cover costs associated with the purchase of 
equipment, development of software, training, and other listed costs 
associated with the NICS (for details, see ``Allowable Costs,'' below). 
Considering that the NICS is to become operational in November 1998, 
requests for funds in this category will receive priority 
consideration.
    In States not opting to serve as a POC, inquiries will be made 
directly from the firearm dealers to the FBI.
    The Brady Act also allows States to meet their presale firearm 
check requirements through an ATF-approved permit system. To assist 
States following this procedure, NCHIP funds may be used to cover costs 
associated with development and implementation of procedures that will 
meet ATF requirements for a permit system to be approved as an 
alternative to instant checks at the time of sale.
    Commitment to participation in the Interstate Identification Index 
(III). Participation by all States in the Interstate Identification 
Index (III) is critical to ensuring that the most accurate and complete 
criminal records are available instantly not only for NICS presale 
firearm checks, but also for background check inquiries regarding 
persons seeking positions involving national security; persons with 
responsibility for children, the elderly or the disabled, and other 
authorized purposes. Instant interstate availability of complete 
records is also vital to supporting effective law enforcement 
strategies involving pretrial release, determinate sentencing, and 
correctional assignment. At present, 36 States participate in III.
    The NCHIP FY 1997 program announcement emphasized the BJS 
commitment to full State participation in the FBI's Interstate 
Identification Index (III). In light of the importance of III 
participation, BJS has again identified III participation as a priority 
goal of the NCHIP program and requires States that are not currently 
III members to specify whether funding already committed is adequate to 
assure III participation and, if not, to focus 1998 NCHIP funds on 
activities that further this goal.
    Commitment to support court efforts relating to development of 
record systems. Recent laws establishing requirements for background 
checks for firearms sales and in connection with positions of 
responsibility with children, the elderly and the disabled have 
emphasized the importance of records being complete with dispositions. 
Moreover, other statutes have highlighted the importance of immediate 
statewide and interstate access to protection orders related to 
domestic violence. These requirements can only be met if information 
initially developed by the courts is available on a complete and 
immediate basis. BJS is committed to recognizing the importance of the 
courts in all of these efforts, and applicants should ensure that in 
developing NCHIP operational and funding plans, adequate attention is 
directed at the role and needs of the courts.
    Program Goals. The goal of the NCHIP grant program is to improve 
the Nation's public safety by--
    * Facilitating the accurate and timely identification of persons 
who are ineligible to purchase a firearm;
    * Ensuring that persons with responsibility for child care, elder 
care, or care of the disabled do not have disqualifying criminal 
records;
    * Improving access to protection orders and records of people 
wanted for stalking and domestic violence; and
    * Enhancing the quality, completeness and accessibility of the 
Nation's criminal history record systems and the extent to which such 
records can be used and analyzed for criminal justice related purposes.
    More specifically, NCHIP is designed to assist States--
    * To expand and enhance participation in the FBI's Interstate 
Identification Index (III) and the National Instant Criminal Background 
Check System (NICS);
    *To meet timetables for criminal history record completeness and 
participation in the III, as established for each State by the Attorney 
General;
    *To improve the level of criminal history record automation, 
accuracy, completeness, and flagging;
    *To develop and implement procedures for accessing records of 
persons other than felons who are ineligible to purchase firearms;
    *To identify (through interface with the National Incident-Based 
Reporting System [NIBRS] where necessary) records of crimes involving 
use of a handgun and/or abuse of children, the elderly, or disabled 
persons;
    * To identify, classify, collect, and maintain (through interface 
with the National Crime Information Center [NCIC] and the III where 
necessary) protection orders, warrants, arrests, and convictions of 
persons violating protection orders intended to protect victims of 
stalking and domestic violence and to support the development of State 
sex offender registries and the interface with a national sex offender 
registry; and,
    * To ensure that States develop the capability to monitor and 
assess State progress in meeting legislative and programmatic goals.
    To ensure that all NCHIP-funded efforts support the development of 
the national criminal record system, the program is closely coordinated 
with the FBI, the Bureau of Justice Assistance, and the Bureau of 
Alcohol, Tobacco and Firearms (ATF).
    Legislative Background. Section 106 (b) of the Brady Act provides 
that--

    The Attorney General, through the Bureau of Justice Statistics, 
shall, subject to appropriations and with preference to States that 
as of the date of enactment of this Act have the lowest percent 
currency of case dispositions in computerized criminal history 
files, make a grant to each State to be used (A) for the creation of 
a computerized criminal history record system or

[[Page 29027]]

improvement of an existing system; (B) to improve accessibility to 
the national instant criminal background system; and (C) upon 
establishment of the national system, to assist the State in the 
transmittal of criminal records to the national system.

    The provisions of 18 U.S.C. Sections 922 (g) and (n), as amended by 
the Violent Crime Control Act and the ``Lautenberg amendment,'' 
prohibit the sale of firearms to an individual who--
    (1) Is under indictment for, or has been convicted in any court, of 
a crime punishable by imprisonment for a term exceeding 1 year;
    (2) Is a fugitive from justice;
    (3) Is an unlawful user of, or addicted to, any controlled 
substance;
    (4) Has been adjudicated as a mental defective or been committed to 
a mental institution;
    (5) Is an alien who is illegally or unlawfully in the United 
States;
    (6) Was discharged from the Armed Forces under dishonorable 
conditions;
    (7) Has renounced United States citizenship;
    (8) Is subject to a court order restraining them from harassing, 
stalking, or threatening an intimate partner or child; or
    (9) Has been convicted in any court of a misdemeanor crime of 
domestic violence.
    Category 9, included as the ``Lautenberg amendment'' in the Omnibus 
Consolidated Appropriations Act of 1997, P.L. 104-208, 110 Stat 3009, 
became effective on October 1, 1996. See Appendix A of this 
announcement for text of the amendment, which includes applicable 
definitions.
    The Brady Act, enacted in November 1993 and effective in February 
1994, established interim provisions that are applicable until the NICS 
is operational. Under the interim provisions, licensed firearm dealers 
request a presale check on all potential handgun purchasers by the 
chief law enforcement officer in the purchaser's residence community to 
determine, based on available records, if the individual is legally 
prohibited from purchase of the firearm under the provisions of the Gun 
Control Act (18 U.S.C. Section 922) or State law. The sale may not be 
completed for 5 days unless the dealer receives an approval before that 
time. The interim provisions, including the Federal imposition of a 5-
day waiting period, terminate when the NICS becomes operational. 
Section 103 of the Brady Act provides that NICS will supply information 
on ``whether receipt of a firearm * * * would violate (18 U.S.C. 
Section 922) or State law.'' As noted above, Section 106(b) of the 
Brady Act establishes a grant program that not only assists States in 
upgrading criminal record systems, but also assists States in improving 
access to and interface with the NICS.
    In addition, Section 106(a) of the Brady Act amended Section 509(d) 
of the Omnibus Crime Control and Safe Streets Act to specifically 
provide that funds from the 5% set-aside under the Byrne Formula grant 
program may be spent for ``the improvement of State record systems and 
the sharing * * * of records * * * for the purposes of implementing * * 
* (the Brady Act).''
    The Child Protection Act, as amended by the Violent Crime Control 
Act, requires that records of abuse against children be transmitted to 
the FBI's national record system. The Child Protection Act also 
encourages States to adopt laws requiring background checks on 
individuals prior to assuming responsibility for care of children, the 
elderly, or the disabled.
    Section 4 of the Act establishes a grant program to assist States 
in upgrading records to meet the requirements of the Act. Under the 
definition set forth in Section 5(3) of the Act, ``child abuse crimes'' 
include crimes under any law of the State and are not limited to 
felonies.
    Both the Brady and Child Protection Acts required the Attorney 
General to survey the status of State criminal history records and 
develop timetables for States to achieve complete and automated 
records. The survey was conducted during March 1994, and State 
governors were advised of timetables by the Attorney General in letters 
of May and June 1994. The letters indicated that compliance with 
timetable goals and the ability to join III by November 1998 was to be 
contingent upon availability of grant funds under each Act.
    The National Stalker and Domestic Violence Reduction program 
(Stalker Reduction), (Section 40602 of the Violence Against Women Act 
(VAWA), Pub. L. No. 103-322) authorized a program to assist States in 
entering data on stalking and domestic violence into local, State, and 
national databases. The Act emphasizes the importance of ensuring that 
data on convictions for these crimes are included in databases being 
developed with Federal funds. Section 40606 of VAWA authorized 
technical assistance and training in furtherance of the purposes of the 
Stalker Reduction program. This section also allows for the evaluation 
of programs that receive funds under this provision.
    Section 40602(b) of the Violent Crime Control Act further provides 
that in order to be eligible to receive funds for Domestic Violence/
Stalker Reduction program activities, a State shall certify that it has 
or intends to establish a program that enters into the National Crime 
Information Center the following records:
    * Warrants for the arrest of persons violating protection orders 
intended to protect victims from stalking or domestic violence;
    * Arrests or convictions of persons violating protection or 
domestic violence orders; and
    * Protection orders for the protection of persons from stalking or 
domestic violence.
    The NCHIP program implements the requirements of the programs 
established in the Brady Act, Child Protection Act, and the Domestic 
Violence/Stalker Reduction provisions of VAWA.
    Appropriation. Section 106 (b) of the Brady Act authorized $200 
million for the grant program; the Child Protection Act authorized $20 
million; Section 40603 of the Violent Crime Control Act authorized a 
total of $6 million over 3 years for the Domestic Violence/Stalker 
Reduction program included in VAWA. Pursuant to these authorizations, 
the Brady, Child Protection, and Domestic Violence/Stalker Reduction 
Acts are combined under the NCHIP program.
    FY 1995: An appropriation of $100 million was made to implement 
Section 106 (b) of the Brady Act for FY 1995, to be available until 
expended. No appropriation was made for activities authorized under the 
Child Protection Act or the Domestic Violence/Stalker Reduction 
provisions of VAWA in FY 1995.
    FY 1996: An appropriation of $25 million was made in FY 1996 to 
continue implementation of Section 106 (b) of the Brady Act and to 
implement Section 4 (b) of the Child Protection Act. In addition an 
appropriation of $1.5 million was made in FY 1996 for the Domestic 
Violence/Stalker Reduction component of the program.
    FY 1997: In FY 1997, an appropriation of $50 million was made to 
further the implementation of Section 106 (b) of the Brady Act and 
Section 4 (b) of the Child Protection Act. $1.75 million was 
appropriated for Domestic Violence/Stalker Reduction activities.
    FY 1998: The FY 1998 appropriation for criminal record improvement 
was $45 million. For purposes relating to Domestic Violence/Stalker 
Reduction, an appropriation of $2.75 million was also made in FY 1998.
    To date, approximately $10 million has been awarded for purposes 
authorized under the NCPA and the Domestic Violence/Stalker Reduction

[[Page 29028]]

provisions of the VAWA. In recognition of the importance of these 
issues, up to $16 million of the 1998 appropriation will be available 
to be awarded for these purposes. Of this amount, the full $2.75 
million appropriated to BJS for Domestic Violence/Stalker Reduction 
activities under VAWA in 1998 will be allocated for purposes associated 
with development/enhancement of protection order files, including 
interface with the FBI's national protection order file.
    The FY 1998 NCHIP program also includes the National Sex Offender 
Registry Assistance Program (NSOR-AP) under which $25 million was 
appropriated for grants to assist States in upgrading sex offender 
registries and providing data to the FBI Sex Offender Registry. The 
NSOR-AP program is a component of NCHIP but is funded separately 
pursuant to a separate application.
    Application and Award Process. Eligibility requirements. Only one 
application will be accepted from each State. The application must be 
submitted by the agency designated by the State Governor. A State may, 
however, choose to submit its application as part of a multistate 
consortium or other entity. In such case, the application should 
include a statement of commitment from each State and be signed by an 
individual designated by the Governor of each participating State. The 
application should also indicate specific responsibilities and include 
a separate budget for each State.
    A grant will be made to each eligible applicant State with funds 
from the 1998 appropriation. All States, including States previously 
designated as ``priority States,'' are eligible to receive funds for 
activities relating to criminal records improvement and NICS 
participation, as well as the additional purposes authorized under the 
Child Protection Act and the Domestic Violence/Stalker Reduction 
legislation, as described in this announcement.
    States may submit an application even though funds remain 
unexpended under the previous NCHIP awards. In such a case, the 
application should describe the efforts undertaken to date, the 
specific reasons that funds remain unexpended, and the anticipated time 
when funds will be expended.
    FY 1998 projects may overlap with FY 1997 projects or the projects 
may run consecutively.
    Program narrative. In addition to the requirements set forth in 
Appendix A, the NCHIP application should include the following four 
parts. States may, at their option, satisfy requirements noted below by 
referencing or summarizing previous applications. Additionally, States 
in which the applicant agency is the same under the BJS NCHIP and 
Bureau of Justice Assistance (BJA) State Identification Systems (SIS) 
program may also choose to submit duplicate material to BJS and BJA 
under Part I (Background) and Part II (Identification of Needs), below.

Part I. Background

    This section should include a short update of current efforts 
relating to criminal history record improvement funded under the BJS 
NCHIP, Advanced State Award Program (ASAP), Criminal History Record 
Improvements (CHRI) programs, and the BJA Byrne 5% set-aside, or with 
State funds during the past year. Where applicable, the section should 
also include a reference to projects that are, or may be, funded under 
the State Identification Systems (SIS) Formula Grant program 
administered by BJA. The discussion should also specify total funds 
awarded to the State under NCHIP, Byrne, and SIS programs (if SIS 
funding is used for criminal history record improvements) and the funds 
in each category remaining at the time of application.

Part II. Identification of Needs

    This part should discuss any evaluative efforts undertaken to 
identify the key areas of weakness in the State's criminal record 
system since submission of the last NCHIP application. The application 
should also indicate those areas that must be addressed in order to 
enable the State to identify ineligible firearm purchasers, persons 
ineligible to hold positions involving children, the elderly, or the 
disabled, and people wanted, arrested, or convicted of stalking and/or 
domestic violence offenses, including violations of protection orders.
    States that are not members of III at the time of application must 
include a section identifying the tasks remaining to permit III 
participation. This section must specifically state whether funding 
already available is adequate for the State to participate in III and 
the planned month and year of participation in III. If funding already 
available is not adequate, the State is expected to apply for NCHIP 
funding that will permit the State to participate in III.

Part III. NCHIP Effort

    This section should describe the activities to be undertaken with 
NCHIP funds over the 12-month period. Specifically, each application 
should indicate the activities proposed, how these activities relate to 
efforts funded under the previous NCHIP awards, and the results that 
will be achieved from FY 1998 funding. In order to permit assessment of 
State progress in meeting grant goals, this section should also set 
forth measurable benchmarks or goals for each proposed activity.
    States that are not members of III must include a description and 
timetable for activities that are specifically designed to permit such 
participation.
    Part III of the application should also describe any efforts to be 
supported to monitor State compliance with legislative or programmatic 
goals through ongoing audits or other means such as statistical 
analysis or comparison between Computerized Criminal History (CCH) 
records and National Incident-Based Reporting System (NIBRS) or Uniform 
Crime Reporting (UCR) data. Studies relating to handgun use or sales 
approval, if proposed, should be described in this section.
    In addition, to ensure program continuity and emphasize the 
importance of judicial efforts in meeting newly established record 
requirements, the application should indicate the level of funds that 
will be made directly available to the courts, where the courts are the 
appropriate source for data on dispositions or other record data.
    The Bureau of Justice Statistics will coordinate the Domestic 
Violence/Stalker Reduction portion of NCHIP with the Violence Against 
Women Office (VAWA) at the Department of Justice.

Part IV. Coordination

    Byrne Formula Funds: Funds under the Byrne Formula 5% set-aside 
program are available to support the improvement of record systems and 
to meet the goals of the Brady and Child Protection Acts.
    The Bureau of Justice Statistics and the Bureau of Justice 
Assistance have jointly agreed that close and continuing coordination 
between the NCHIP and Byrne 5% set-aside program is critical to meeting 
the goals of the Brady Act and the National Child Protection Act. Such 
coordinated efforts are also necessary to ensure the development of an 
effective interstate criminal history record system to meet the needs 
of law enforcement, the criminal justice community, and the increasing 
number of noncriminal justice users of criminal history record 
information. To achieve this goal, BJS and BJA prepared guidelines 
governing use of the Byrne 5% set-aside funds. The guidelines were 
issued February 23, 1995 to State administrative agencies that receive 
and distribute Byrne formula grant funds.

[[Page 29029]]

    To avoid overlap and maximize funding effectiveness, BJS expects 
that program plans for projects to be funded under NCHIP and the Byrne 
5% set-aside will be coordinated by the State agencies responsible for 
these programs. Where costs of a proposed activity exceed NCHIP 
available funds or are unallowable under NCHIP, the State might, for 
example, use Byrne funds to fill remaining needs. This joint effort 
will maximize the effectiveness of these programs.
    State Identification Systems (SIS) Program: In May 1997, BJA 
announced the State Identification Systems (SIS) Formula Grant Program, 
under which States are eligible to apply for funds to ``establish, 
develop, update or upgrade--
    (A) computerized identification systems that are compatible and 
integrated with the databases of the National Crime Information Center 
(NCIC) of the FBI;
    (B) the capability to analyze DNA in a forensic laboratory in ways 
that are compatible and integrated with the combined DNA Identification 
System (CODIS) of the FBI; and
    (C) automated fingerprint identification systems that are 
compatible and integrated with the Integrated Automated Fingerprint 
Identification System (IAFIS) of the FBI.''
    NCHIP applications should insure that efforts under these programs 
will be coordinated. Information copies of the proposed activities to 
be funded under the SIS program will be provided to BJS for inclusion 
as part of the State's NCHIP file.
    Other Federal funding: To ensure coordination of Federal funding 
efforts, the application should include information on other current 
awards or pending applications for Federal funding to support 
activities for which funds are being requested in the current NCHIP 
application. Where relevant, such information should indicate the 
amount of the other award, the grantor agency, and the program purpose.
    Award Period and Budget. Awards may be for up to 12 months. Since 
the FY 1998 NCHIP program builds on the long-term NCHIP activity, 
States will have the flexibility to begin FY 1998 funded activities 
immediately upon award or as late as the summer of 1999. Activities 
must be completed by June 1, 2000. Applicants are also encouraged to 
incorporate or reference pages of previously submitted materials, when 
appropriate.
    The budget should provide details for expenses in required 
categories and by individual task (see Appendix A, Application 
content). The application should identify those agencies to receive 
direct funding and indicate the fiscal arrangements to accomplish fund 
transfer.
    Application Submission and Due Dates. Applications may be submitted 
at any time after publication of this announcement. Applications must 
be received by June 30, 1998, to be eligible for funding from the FY 
1998 appropriation.
    To minimize administrative burdens, States may resubmit parts of 
previous proposals that did not receive funds under previous NCHIP 
awards, accompanied by a current budget.
    Review Criteria. States should understand that full funding may not 
be possible for all proposed activities. Allocation of funds will be 
based on the amount requested and the following factors:
    (1) The extent to which funds will support participation in NICS, 
State efforts to become a III participant, and meet the timetables 
established for the State by the Attorney General;
    (2) The extent to which improvements in the State system, by virtue 
of record numbers, levels of technical development, or operating 
procedures, will have a major impact on availability of records 
throughout the national system;
    (3) The proposed use or enhancement of innovative procedures which 
may be of value to other jurisdictions;
    (4) The technical feasibility of the proposal and the extent to 
which the proposal appears reasonable in light of the State's current 
level of system development and statutory framework;
    (5) The total amount already awarded under previous NCHIP program 
announcements;
    (6) The extent to which the State has fulfilled goals of previous 
NCHIP grants, expended funds awarded in previous grants, and 
demonstrated a commitment to criminal history record improvement 
through activities under the NCHIP program;
    (7) State commitment to the national record system as evidenced by 
membership in III, participation in the FBI's National Fingerprint File 
(NFF) and Felon Identification in Firearms Sales (FIFS) programs, etc., 
and the current status of development of its CCH;
    (8) Reasonableness of the budget;
    (9) Evidence of State progress in meeting record improvement and 
background check goals as measured in terms of audits, and meeting data 
collection goals relating to presale firearm checks and background 
checks on persons seeking positions involving children, the aged and 
the disabled;
    (10) Appropriate focus on criminal history data improvement 
regarding protection orders and crimes against children, the elderly, 
and the disabled;
    (11) Nature of the proposed expenditures;
    (12) The extent to which the plan reflects constructive interface 
between relevant components of the State organization and/or multistate 
systems;
    (13) The reasonableness of the relationship between the proposed 
activities and the current status of the State system, in terms of 
technical development, legislation, current fiscal demands, and future 
operating costs.
    The program does not require either ``hard'' (cash) or ``soft'' 
(in-kind) match. Indications of State support, however, may be 
interpreted as expressions of commitment by the State to the program.
    All applicants must agree to participate in evaluations sponsored 
by the Federal Government. Applicants must also agree to provide data 
relating to Brady Act activity to the Firearm Inquiry Statistics 
Program (FIST) in the format designated by the FIST.
    Allowable Costs. Allowable expenses are detailed below. All 
expenses are allowable only to the extent that they directly relate to 
programs described in the application's program narrative.
    (1) Participation in III. This is a key goal. Covered costs 
include, but are not limited to, costs associated with automation of 
the database, synchronization of records between the State and the FBI, 
and development of necessary software and hardware enabling electronic 
access on an intrastate or interstate basis.
    (2) Database enhancement. Improving the quality, completeness, and 
accuracy of criminal history records is a key goal of the NCHIP effort. 
Allowable costs include the costs associated with implementing improved 
record capture procedures, establishing more effective accuracy 
controls, and ensuring that records of all criminal events that start 
with an arrest or indictment are included in the database.
    In addition to felony records, funds may be used to capture data on 
domestic violence misdemeanors and to ensure that data on persons 
convicted of abuse of children, the elderly, and the disabled and/or 
stalking and domestic violence offenses (including protection orders 
and violations thereof) are included in the database.
    States that currently participate in III may also use limited funds 
to identify and develop access to data on other categories of persons 
prohibited from

[[Page 29030]]

firearm purchase under recent amendments to the Gun Control Act (18 
U.S.C. Section 922), as incorporated in the Brady Act. States proposing 
use of funds for these purposes must demonstrate in the application 
that results of applicable pilot efforts supported under the NCHIP 
Advanced State Award Program (ASAP) have been considered and that 
necessary protections for individual privacy will be incorporated in 
the proposed procedures. Information about current NCHIP-supported 
efforts in these areas and relevant State contacts is available through 
the BJS Internet site.
    (3) Improved capture of case disposition. Automated interface 
between the criminal history repository and the courts, prosecutors, 
and/or corrections agencies is encouraged. Funds provided to courts or 
prosecutors for these purposes are allowable only to the extent that 
the function to be supported is related to the capture of disposition 
or other data relating to the offender record (for example, full costs 
associated with establishment of court Management Information Systems 
(MIS) are not allowable under the NCHIP program).
    (4) Flagging of records. Upgrading the accessibility of records 
through flagging for presale and preemployment checks is an important 
activity. Allowable costs include costs of flagging or algorithms used 
for flagging of felony records and records of persons with convictions 
for crimes involving children, the elderly, and/or the disabled, as 
well as records of persons convicted of crimes involving domestic 
violence and/or stalking. Costs may include the cost of technical 
record flagging and the costs associated with identification of records 
to be flagged (see [12] below regarding interface with NIBRS).
    (5) Participation in the NICS. NCHIP funds may be used to enable 
the State to participate in the NICS consistent with the provisions of 
18 U.S.C. Section 922 (t). Allowable expenditures include, but are not 
limited to costs necessary to enable the State to serve as a Point of 
Contact under the FBI's NICS system, and include costs of equipment, 
software, personnel training, and development and implementation of 
related operating and administrative procedures. Funds may not be used 
to conduct presale firearm background checks.
    (6) Firearm permits. NCHIP funds may be used to comply with Brady 
Act provisions pursuant to an ATF-approved firearm permit system and to 
develop and implement procedures to review the currency of firearm 
permits and/or to provide appropriate notification when permits are 
revoked.
    (7) Protection order file. Establishment of a protection order file 
to enhance the cross-jurisdictional enforcement of protective orders, 
and to support the FBI's National Protection Order File is an important 
goal of the NCHIP program. Costs (including equipment, software, 
training and procedural development) associated with development and 
enhancement of such files and with interface with the FBI's National 
Protection Order File are covered. Protection order files supported 
with NCHIP funds must be compatible with the FBI file, and the 
application must indicate that records are presently being submitted to 
the FBI or indicate the date upon which that submission will commence. 
Funds are only allowable to support development of local protection 
order files where data in such files is or will become directly 
accessible throughout the State and available to the FBI's national 
system.
    (8) Interface between criminal history records, sex offender 
registry, and civil protection order files. To ensure that, consistent 
with State law, a complete data review is possible in connection with 
background checks for child care or other authorized purposes, funds 
may be used to develop software to establish protocols to permit 
interface between the criminal history record system, the State sex 
offender registry, and related protection order files including files 
of civil protection orders.
    (9) Uniform RAP sheet format. The FBI has recently endorsed a 
format and standards for transmission of a uniform RAP sheet (text 
version of a person's criminal history record) among States. The format 
reflects efforts initiated under the BJS/SEARCH Task Force on Uniform 
RAP Sheet Standards. Funds are available to assist States in converting 
State criminal history records to the FBI standard interstate RAP sheet 
format or for developing electronic interchange capabilities related 
thereto.
    (10) Record automation. These are allowable costs only with respect 
to records where the subject has been arrested, indicted, convicted, or 
released from confinement within 5 years of the date of automation. As 
appropriate, allowable costs also include costs associated with system 
design in States with nonautomated systems or in States proposing to 
enhance system operation to include access to non-CCH databases.
    (11) AFIS/livescan. Automated Fingerprint Identification System 
(AFIS)/livescan equipment for local law enforcement agencies is 
allowable to improve the level of arrest and disposition reporting, but 
only where--
    (a) the State repository system is automated, is participating in, 
or is planning to participate in III, and has in place the technical 
capability to accept AFIS transmissions, and
    (b) sufficient traffic can be demonstrated to justify the cost, 
possibly through the use of regional systems.
    Funding of AFIS/livescan in squad cars is not allowable, since 
field inquiries are not a factor in checks under either the Brady Act 
or the Child Protection Act. Additionally, since data are not generally 
input to the system by the field unit, AFIS in the squad car would not 
support record improvement or completeness. AFIS/livescan for use in 
courts is allowable, to support record completeness. The same 
conditions regarding repository capability and levels of traffic are 
also applicable to costs in this category. Costs associated with AFIS/
livescan communication from the repository to the FBI national system 
(IAFIS) are allowable but only where the State can demonstrate adequate 
levels of record completeness (both arrest and disposition) and current 
membership in III.
    States should understand that Byrne 5% set-aside funds are 
available for AFIS/livescan, and that, accordingly, use of NCHIP funds 
for AFIS or livescan will only be allowable when justified as 
appropriate given the overall status of the State system, its 
participation in the national system and its planned use of Byrne 5% 
set-aside funds. This is particularly relevant with respect to State 
proposals to use NCHIP funds to cover costs of local livescan 
equipment.
    (12) Interface with NIBRS. Funds may be used to interface with any 
State data system that is compatible with NIBRS for purposes of 
identifying persons convicted of crimes against children, the elderly, 
or the disabled; crimes involving domestic violence and/or stalking; 
and/or identification of records involving firearm crimes for 
operational or research purposes. NCHIP funds are not available, 
however, to develop the NIBRS database.
    (13) Research, evaluation, monitoring, and audits. Costs associated 
with research or evaluation efforts are allowable to the extent that 
they are directly associated with a project approved in the 
application. Costs associated with monitoring State compliance with 
legislative or programmatic goals through ongoing or periodic audits or 
other procedures are allowable and encouraged. The purchase of 
equipment such as modems and the necessary communications and

[[Page 29031]]

data software for storing and transmitting evaluative data between 
States and to BJS or other designated Federal agencies is an allowable 
expense.
    (14) Conversion of juvenile records to the adult system. Federal 
regulations allow the FBI to accept juvenile records if submitted by 
the State or local arresting agency. Expenditures to interface juvenile 
and adult records are allowable if consistent with relevant State law 
and undertaken to further the goals of the NCHIP program.
    (15) Missing dispositions backlog reduction. These costs are 
allowable to improve the level of disposition reporting but only where 
limited to records with arrests within the past 5 years. States must 
also propose a strategy to prevent future backlogs from developing.
    (16) Equipment upgrades. Upgrade costs are allowable where related 
to improving availability of data and where appropriate given the level 
of data completeness, participation in III, etc. Replacement costs will 
be considered, but States are encouraged to contribute some portion of 
the total costs.
    (17) Training, participation in seminars and meetings. Limited 
funds may be used to cover costs of training and participation in 
State, regional, or national seminars or conferences (including travel, 
where necessary).
    (18) Reducing cost of background checks. States may use funds to 
develop and implement technologies that lower costs of conducting 
background checks. These funds may also be used to pay all or part of 
the State's cost of conducting background checks on persons who are 
employed by or volunteer with a public, not-for-profit, or other 
voluntary organization to reduce the amount of fees charged for such 
background checks, consistent with the provisions of 42 USC 5119(b).
    (19) Allowable activities relating to implementation of the Child 
Protection Act and the Domestic Violence and Stalker Reduction 
provisions of the VAWA. Allowable activities include--
    * capturing domestic violence and/or stalking protection orders;
    * flagging of records concerning child abuse, crimes against 
children, the elderly and the disabled; convictions for domestic 
violence and/or stalking; and domestic violence protection orders;
    * incorporating serious misdemeanor offenses against children, the 
elderly and the disabled into existing criminal history records;
    * offsetting the cost of certain background checks, including 
development and implementation of technological and procedural 
advances; and
    * improving processes for entering data regarding stalking and 
domestic violence into local, State, and national crime information 
databases.
    Text of ``Lautenberg Amendment.'' The ``Lautenberg Amendment'' 
amends the Federal Gun Control Act (18 U.S.C. Section 922) to prohibit 
the transfer of firearms to a person convicted of a ``misdemeanor crime 
of domestic violence.'' The text of the amendment is set forth below.

Sec. 668. GUN BAN FOR INDIVIDUALS CONVICTED OF A MISDEMEANOR CRIME OF 
DOMESTIC VIOLENCE

    (a) Definition--Section 921 (a) of title 18, United States Code, 
is amended by adding at the end of the following:
    ``(33)(A) Except as provided in subparagraph (C), the term 
`misdemeanor crime of domestic violence' means an offense that--
    ``(i) is a misdemeanor under Federal or State law; and
    ``(ii) has, as an element, the use or attempted use of physical 
force, or the threatened use of a deadly weapon, committed by a 
current or former spouse, parent, or guardian of the victim, by a 
person who is cohabiting with or has cohabited with the victim as a 
spouse, parent, or guardian, or by a person similarly situated to a 
spouse, parent, or guardian of the victim.
    ``(B)(i) A person shall not be considered to have been convicted 
of such an offense for purposes of this chapter, unless--
    ``(I) the person was represented by counsel in the case, or 
knowingly and intelligently waived the right to counsel in the case; 
and
    (II) in the case of a prosecution for an offense described in 
this paragraph for which a person was entitled to a jury trial in 
the jurisdiction in which the case was tried, either
    (aa) the case was tried by a jury, or
    (bb) the person knowingly and intelligently waived the right to 
have the case tried by a jury, by guilty plea or otherwise.
    ``(ii) A person shall not be considered to have been convicted 
of such an offense for purposes of this chapter if the conviction 
has been expunged or set aside, or is an offense for which the 
person has been pardoned or has had civil rights restored (if the 
law of the applicable jurisdiction provides for the loss of civil 
rights under such an offense) unless the pardon, expungement, or 
restoration of civil rights expressly provides that the person may 
not ship, transport, possess, or receive firearms.''
    (b) PROHIBITIONS--
    (1) Section 922(d) of such title is amended
    (A) by striking ``or'' at the end of paragraph (7);
    (B) by striking the period at the end of paragraph (8) and 
inserting ``; or''; and
    (C) by inserting after paragraph (8) the following:
    (9) has been convicted in any court of a misdemeanor crime of 
domestic violence''.
    (2) Section 922(g) of such title is amended--
    (A) by striking ``or'' at the end of paragraph (7);
    (B) by striking the period at the end of paragraph (8) and 
inserting ``; or''; and
    (C) by inserting after paragraph (8) the following:
    ``(9) has been convicted in any court of a misdemeanor crime of 
domestic violence.''
    (3) Section 922(s)(3)(B)(I) of such title is amended by 
inserting, ``and has not been convicted in any court of a 
misdemeanor crime of domestic violence'' before this semicolon.
    (c) GOVERNMENT ENTITIES NOT EXCEPTED--Section 925(a)(1) of such 
title is amended by inserting ``sections 922(d)(9) and 922(g)(9) 
and'' after ``except for''.

    Application and administrative requirements. Application content. 
All applicants must submit:
    * Standard Form 424, Application for Federal Assistance.
    * Budget Detail Worksheet (replaced the SF 424A, Budget 
Information).
    * OJP Form 4000/3 (Rev. 1-93), Program Narrative and Assurances.
    * OJP Form 4061/6 Certification Regarding Lobbying, Debarment, 
Suspension, and Other Responsibility Matters; Drug-Free Workplace 
Requirements.
    Applicants are requested to submit an original and two copies of 
the application and certifications to the following address: 
Application Coordinator, Bureau of Justice Statistics, 810 Seventh 
Street, NW, Washington DC 20531, Telephone: (202) 616-3500.
    Standard Form 424 (SF-424). The SF-424, a one-page sheet with 18 
items, serves as a cover sheet for the entire application. This form is 
required for every application for Federal assistance. NO APPLICATION 
CAN BE ACCEPTED WITHOUT A COMPLETED, SIGNED ORIGINAL SF-424. Directions 
to complete each item are included on the back of the form.
    Budget Detail Worksheet. Applications must provide a detailed 
justification for all costs, including the basis for computation of 
these costs. For example, the detailed budget would include the 
salaries of staff involved in the project and the portion of those 
salaries to be paid from the award; fringe benefits paid to each staff 
person; travel costs related to the project; equipment to be purchased 
with the award funds; and supplies required to complete the project.
    Budget narrative. The budget narrative should detail costs included 
in each budget category for the Federal and the non-Federal (in-kind 
and cash) share. The purpose of the budget narrative is to relate items 
budgeted to project activities and to provide justification and 
explanation for budget items, including criteria and data used to 
arrive at the estimates for each budget category. The budget narrative 
should also indicate amounts to be made available to subrecipient 
agencies (under Contractual/Contracts category) other than the direct 
grant recipient. The following information is provided

[[Page 29032]]

to assist the applicant in developing the budget narrative:
    a. Personnel category. List each position by title (and name of 
employee if available), show annual salary rate and percentage of time 
to be devoted to the project by the employee. Compensation paid for 
employees engaged in federally assisted activities must be consistent 
with that paid for similar work in other activities of the applicant.
    b. Fringe benefits category. Indicate each type of benefit included 
and explain how the total cost allowable for employees assigned to the 
project is computed.
    c. Travel category. Itemize travel expenses of project personnel by 
purpose (e.g., faculty to training site, field interviews, advisory 
group meetings, etc.) and show basis or computation (e.g., ``Five trips 
for x purpose at $80 average cost--$50 transportation and two days per 
diem at $15'' or ``Six people to 3-day meeting at $70 transportation 
and $45 subsistence.'') In training projects where travel and 
subsistence for trainees is included, this should be separately listed 
indicating the number of trainees and the unit costs involved.
    (1) Identify the tentative location of all training sessions, 
meetings, and other travel.
    (2) Travel costs are allowable as expenses by employees who are in 
travel status on official business. These costs must be in accordance 
with the Federal or an organizationally-approved travel policy.
    (3) Recipients may follow their own established travel rates. If a 
recipient does not have an established travel policy, the recipient 
must abide by the Federal travel policy. Subrecipients of States must 
follow their State's established travel policy. If a State does not 
have an established travel policy, the subrecipient must abide by the 
Federal travel rates.
    d. Equipment. List each type of equipment to be purchased or rented 
with unit or monthly costs.
    e. Supplies. List items within this category by major type (office 
supplies, training materials, research forms, postage) and show basis 
for computation. Provide unit or monthly estimates.
    f. Contractual category. State the selection basis for any 
contract, subcontract, prospective contract or prospective subcontract 
(including construction services and equipment). Please note, 
applications that include noncompetitive contracts for the provision of 
specific services must contain a sole source justification for any 
procurement in excess of $100,000.
    For individuals to be reimbursed for personal services on a fee 
basis, list by name or type of consultant or service, the proposed fee 
(by day, week, or hour) and the amounts of time to be devoted to such 
services. For construction contracts and organization (including 
professional associations and education institutions performing 
professional services), indicate the type of service to be performed 
and the estimated contract cost data.
    g. Construction category. Describe construction or renovation which 
will be accomplished using grant funds and the method used to calculate 
cost.
    h. Other category. Include under ``other'' such items as rent, 
reproduction, telephone, and janitorial or security services. List 
items by major type with basis of computation shown. (Provide square 
footage and cost per square foot for rent. Provide local and long 
distance telephone charges separately.)
    i. Indirect charges category. The Agency may accept an indirect 
cost rate previously approved for an applicant by a Federal agency. 
Applicants must enclose a copy of the approved rate agreement with the 
grant application.
    j. Program income. If applicable, provide a detailed estimate of 
the amount of program income to be generated during the grant period 
and its proposed application (to reduce the cost of the project or to 
increase the scope of the project). Also, describe the source of 
program income, listing the rental rates to be obtained, sale prices of 
publications supported by grant funds, and registration fees charged 
for particular sessions. If scholarships (covering, for example, 
registration fees) are awarded by the organization to certain 
conference attendees, the application should identify the percentage of 
all attendees that are projected as ``scholarship'' cases and the 
precise criteria for their selection.
    Program narrative. All applications must include a program 
narrative that fully describes the expected design and implementation 
of the proposed program. OJP Form 4000/3 (Rev. 1-93) provides 
additional detailed instructions for preparing the program narrative.
    The narrative should include a time line of activities indicating, 
for each proposed activity, the projected duration of the activity, 
expected completion date, and any products expected. The application 
should include a description of the roles and responsibilities of key 
organizational and/or functional components involved in project 
activities; and a list of key personnel responsible for managing and 
implementing the major elements of the program.
    Assurances. OJP Form 4000/3 (Rev. 1-93) must be included in the 
application submission. If submitting this form separately from the SF-
424, the applicant must sign and date the form to certify compliance 
with the Federal statutes, regulations, and requirements as cited.
    Certification Regarding Lobbying; Debarment, Suspension, and Other 
Responsibility Matters; and Drug-Free Workplace. Applicants should 
refer to the regulations cited in OJP Form, 4061/6 to determine the 
certification to which they are required to attest. A copy of OJP Form 
4061/6 can be obtained from the BJS Application Coordinator. Applicants 
should also review the instructions for certification included in the 
regulations before completing this form. Signature of this form 
provides for compliance with certification requirements under 28 C.F.R. 
Part 69, ``New Restrictions on Lobbying,'' and 28 C.F.R. Part 67, 
``Government-wide Debarment and Suspension (Nonprocurement) and 
Government-wide Requirements for Drug-Free Workplace (Grants).'' The 
certifications shall be treated as a material representation of fact 
upon which reliance will be placed when the U.S. Department of Justice 
determines to award the covered transaction, grant, or cooperative 
agreement.
    Financial and administrative requirements. Discretionary grants are 
governed by the provisions of OMB Circulars applicable to financial 
assistance. The circulars, in addition to the OJP Financial Guide, are 
available from the Office of Justice Programs. This guideline manual is 
intended to assist grantees in the administration of funds and includes 
information on allowable costs, methods of payment, Federal rights of 
access to records, audit requirements, accounting systems, and 
financial records.
    Complete and accurate information is required relative to the 
application, expenditure of funds, and program performance. The 
consequences of failure to comply with program guidelines and 
requirements will be determined at the discretion of the Department.
    Civil rights obligations. All applicants for Federal financial 
assistance must sign Certified Assurances that they are in compliance 
with the Federal laws and regulations which prohibit discrimination in 
any program or activity that receives such Federal funds. Section 
809(c), Omnibus Crime

[[Page 29033]]

Control & Safe Streets Act of 1968, provides that:
    No person in any State shall on the ground of race, color, 
religion, national origin, or sex be excluded from participation in, be 
denied the benefits of, or be subjected to discrimination under, or 
denied employment in connection with any program or activity funded in 
whole or in part with funds made available under this title.
    Section 504 of the Rehabilitation Act of 1973, and Title II of the 
Americans With Disabilities Act prohibit discrimination on the basis of 
disability.
    The applicant agency must discuss how it will ensure 
nondiscriminatory practices as they relate to:
    (1) Delivery of services or benefits--to ensure that individuals 
will not be denied access to services or benefits under the program or 
activity on the basis of race, color, religion, national origin, 
gender, age, or disability;
    (2) Employment practices--to ensure that its personnel in the 
program or activity are selected for employment without regard to race, 
color, religion, national origin, gender, age, or disability; and
    (3) Program participation--to ensure members of any planning, 
steering or advisory board, which is an integral part of the program or 
activity, are not excluded from participation on the basis of race, 
color, religion, national origin, gender, age or disability; and to 
encourage the selection of such members who are reflective of the 
diversity in the community to be served.
    Audit requirement. On June 30, 1997, the Office of Management and 
Budget issued Circular A-133, ``Audits of States, Local Governments, 
and Non-Profit Organizations,'' which establishes regulations to 
implement the Single Audit Act of 1996. This Circular A-133 outlines 
the requirements for organizational audits which apply to BJS grantees.
    Intergovernmental review of Federal programs. Federal Executive 
Order 12372, ``Intergovernmental Review of Federal Programs,'' allows 
States to establish a process for reviewing Federal programs in the 
State, to choose which programs they wish to review, to conduct such 
reviews, and to make their views known to the funding Federal agency 
through a State ``single point of contact.''
    If the State has established a ``single point of contact,'' and if 
the State has selected this program to be included in its review 
process, the applicant must send a copy of its letter or application to 
the State ``single point of contact'' at the same time that it is 
submitted to BJS. The letter or application submitted to BJS must 
indicate that this has been done. The State must complete its review 
within 60 days. The review period will begin on the date that the 
letter or application is officially received by BJS. If BJS does not 
receive comments from the State's ``single point of contact'' by the 
end of the review period, this will be interpreted as a ``no comment'' 
response.
    If the State has not established a ``single point of contact,'' or 
if it has not selected the BJS statistics development or criminal 
history improvement programs in its review process, this must be stated 
in the letter or application.
Jan M. Chaiken,
Director, Bureau of Justice Statistics.
[FR Doc. 98-13965 Filed 5-26-98; 8:45 am]
BILLING CODE 4410-18-P