Bureau of Justice Statistics Funding to States to Improve	 
Criminal Records (08-JUL-08, GAO-08-898R).			 
                                                                 
Public safety concerns require that criminal history records and 
the systems that maintain them be accurate, complete, and	 
accessible. Such records and systems enable local, state, and	 
federal authorities, among other things, to identify individuals 
prohibited from purchasing firearms or ineligible to hold	 
positions of responsibility involving children, the elderly, or  
disabled; enable criminal justice agencies to make decisions	 
prosecuting and sentencing offenders; assist in completing	 
background checks; and assist law enforcement officials in	 
criminal investigations. The Department of Justice's (DOJ) Bureau
of Justice Statistics (BJS) administers the National Criminal	 
History Improvement Program (NCHIP). The goal of the NCHIP grant 
program is to improve the nation's safety and security by	 
enhancing the quality, completeness, and accessibility of	 
criminal history record information and by ensuring the 	 
nationwide implementation of criminal justice and noncriminal	 
justice background check systems. This report responds to a	 
provision in the NICS Improvement Amendments Act of 2007, which  
requires us to review certain grant funding related to criminal  
history records. Specifically, this report provides information  
on grant funds awarded by BJS, updates certain information from  
our 2004 report on progress made in improving national criminal  
history records, and how DOJ monitors states' use of those funds.
-------------------------Indexing Terms------------------------- 
REPORTNUM:   GAO-08-898R					        
    ACCNO:   A82749						        
  TITLE:     Bureau of Justice Statistics Funding to States to Improve
Criminal Records						 
     DATE:   07/08/2008 
  SUBJECT:   Appropriated funds 				 
	     Crimes						 
	     Criminals						 
	     Data integrity					 
	     Databases						 
	     Federal aid for criminal justice			 
	     Federal procurement				 
	     Federal/state relations				 
	     Funds management					 
	     Grant monitoring					 
	     Grants to states					 
	     Information infrastructure 			 
	     Information management				 
	     Information systems				 
	     Program evaluation 				 
	     Records						 
	     Records disposition				 
	     Records management 				 
	     Registries 					 
	     Statistical data					 
	     Technology 					 
	     Program implementation				 
	     DOJ National Criminal History			 
	     Improvement Program				 
                                                                 
	     DOJ National Sex Offender Registry 		 
	     FBI Integrated Automated Fingerprint		 
	     Identification System				 
                                                                 

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GAO-08-898R

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GAO-08-898R: 

United States Government Accountability Office: 
Washington, DC 20548: 

July 8, 2008: 

The Honorable Patrick J. Leahy:
Chairman:
The Honorable Arlen Specter:
Ranking Member:
Committee on the Judiciary:
United States Senate: 

The Honorable John Conyers, Jr.
Chairman:
The Honorable Lamar S. Smith:
Ranking Member:
Committee on the Judiciary:
House of Representatives: 

Subject: Bureau of Justice Statistics Funding to States to Improve 
Criminal Records: 

Public safety concerns require that criminal history records and the 
systems that maintain them be accurate, complete, and accessible. Such 
records and systems enable local, state, and federal authorities, among 
other things, to identify individuals prohibited from purchasing 
firearms or ineligible to hold positions of responsibility involving 
children, the elderly, or disabled; enable criminal justice agencies to 
make decisions prosecuting and sentencing offenders; assist in 
completing background checks; and assist law enforcement officials in 
criminal investigations. The Department of Justice's (DOJ) Bureau of 
Justice Statistics (BJS) administers the National Criminal History 
Improvement Program (NCHIP). The goal of the NCHIP grant program is to 
improve the nation's safety and security by enhancing the quality, 
completeness, and accessibility of criminal history record information 
and by ensuring the nationwide implementation of criminal justice and 
noncriminal justice background check systems. This report responds to a 
provision in the NICS Improvement Amendments Act of 2007, which 
requires us to review certain grant funding related to criminal history 
records[Footnote 1]. Specifically, this report provides information on 
grant funds awarded by BJS, updates certain information from our 2004 
report on progress made in improving national criminal history records, 
and how DOJ monitors states' use of those funds.[Footnote 2] 

To obtain information on grant funds awarded to states by BJS for 
criminal records improvement, we analyzed funding data provided by BJS 
to determine the amount of funding awarded to the states for these 
efforts. BJS provided us with funding data organized both by spending 
category,[Footnote 3] from fiscal years 2000 through 2007, and by NCHIP 
funds awarded to states, from fiscal years 1995 through 2007. A list of 
NCHIP awards is provided in Enclosure I. To determine activities for 
which BJS awarded grant funding, we also reviewed BJS summaries of 
states' grant activities for fiscal year 2007. In addition, we analyzed 
BJS program documentation that describes allowable NCHIP spending 
activities. We also analyzed relevant documentation, such as BJS 
program reports, a 2003 Office of Management and Budget assessment of 
NCHIP, and a June 2006 Attorney General report on criminal history 
background checks. To obtain information on how DOJ monitors states' 
use of NCHIP grant funding, we reviewed documentation provided by BJS 
on fiscal years 2007 and 2008 ongoing and planned site visits to grant 
participants. We reviewed memoranda summaries of monitoring visits to 
states by BJS officials and also DOJ's Office of Justice Programs' 
Office of the Chief Financial Officer. We did not assess the quality of 
these monitoring visits for the purposes of this report. We also 
interviewed BJS officials in Washington, D.C., to discuss how BJS 
awards NCHIP grant funding and to obtain information on states' 
progress in improving criminal records. To update portions of our 2004 
report on progress made in improving criminal history records, we 
analyzed data provided by BJS on records automation and the 
accessibility of records nationally and interviewed BJS officials. 
[Footnote 4] To assess the reliability of NCHIP funding data and record 
automation data provided by BJS, we reviewed existing information on 
the data from our 2004 report and questioned knowledgeable agency 
officials about their procedures for collecting and maintaining the 
data. BJS stated that the NCHIP grant funding data provided represent 
original award amounts. However, BJS noted that grant awards may be 
subsequently adjusted or deobligated if funded activities are not 
initiated or completed. We determined that the data were sufficiently 
reliable for the purposes of this report. 

We conducted this performance audit from April 2008 through July 2008 
in accordance with generally accepted government auditing standards. 
Those standards require that we plan and perform the audit to obtain 
sufficient, appropriate evidence to provide a reasonable basis for our 
findings and conclusions based on our audit objectives. We believe that 
the evidence obtained provides a reasonable basis for our findings and 
conclusions based on our audit objectives. 

Results in Brief: 

BJS awarded states $241 million in NCHIP grant funding from fiscal 
years 2000 through 2007 under the NCHIP program, monitored the states' 
use of these funds through site visits, and have identified case 
disposition reporting by the courts and updating older technology data 
systems as continuing priorities. With the assistance of these grants, 
states continue to make progress in automating criminal history records 
and making them accessible nationally. For example, the most recent BJS 
data show that the percentage of criminal history records that are 
automated has increased from 79 percent in 1993 to 94 percent in 2003. 
[Footnote 5] BJS monitors the use of these funds by conducting 
approximately twelve site visits per year to monitor states' use of 
grant funds. BJS officials stated these sites are selected based on 
criteria, such as the amount of funding awarded and program 
performance. According to BJS, its staff visited 14 states and the 
District of Columbia in fiscal year 2007 to monitor states' progress 
and use of grant funds. Additionally, the Office of Justice Programs' 
Office of the Chief Financial Officer conducts financial monitoring 
visits to determine that grant funding is being used as intended. BJS 
officials told us that disposition reporting by the courts and updating 
older technology systems will be particularly important for states to 
continue making progress in automating criminal history records. 

Background: 

In the 1990s, efforts to improve the accuracy, completeness, and 
accessibility of criminal history records received an impetus with 
passage of various federal statutes, particularly: 

* the 1993 Brady Handgun Violence Prevention Act (Brady Act),[Footnote 
6] which, among other things, authorized grants for the improvement of 
state criminal history records; specifically, section 106(b) directs 
the Attorney General, through BJS, to award grants to states for the 
creation of a computerized criminal history record system or 
improvement of an existing system, improving the accessibility to the 
national instant criminal background system, and, upon establishment of 
the national system, assisting the states in the transmittal of 
criminal records to the national system; 

* the National Child Protection Act of 1993,[Footnote 7] which was 
enacted to establish procedures for national criminal history 
background checks for child care providers; 

* the Violent Crime Control and Law Enforcement Act of 1994,[Footnote 
8] which, among other things, strove to improve access to court 
protection orders and records of individuals wanted for stalking and 
domestic violence; and: 

* the Crime Identification Technology Act of 1998, which established a 
program under which grants would be made to states to, among other 
things, (1) upgrade criminal history and criminal justice record 
systems, including systems operated by law enforcement agencies and 
courts, and (2) promote compatibility and integration of national, 
state, and local systems for criminal justice purposes, firearms 
eligibility determinations, identification of sexual offenders, 
identification of domestic violence offenders, and background checks 
for other authorized purposes unrelated to criminal justice.[Footnote 
9] 

To help fund the improvement of criminal history records, Congress 
appropriated up to $100 million for fiscal year 1995 for grants, 
contracts, cooperative agreements, and other assistance to help improve 
states criminal history records, of which up to $6 million could be 
used to implement NICS. Initiated in 1995 by BJS, NCHIP represents a 
partnership among federal, state, and local agencies to build a 
national criminal records infrastructure that is intended to improve 
public safety by enhancing the nation's criminal history records 
systems. In 1998, NCHIP's scope was expanded in response to federal 
directives to develop or improve sex offender registries and to 
contribute data to a national sex offender registry. 

Also, in 1998, the "permanent" provisions of the Brady Act went into 
effect with the implementation of NICS--the computerized system 
designed to instantly conduct presale background checks of purchasers 
of any firearm (both handguns and long guns). In contrast, the 
"interim" provisions of the Brady Act (effective from 1994 to 1998) 
applied to handgun purchases only, and law enforcement officers were 
allowed a maximum of 5 business days to conduct presale background 
checks for evidence of felony convictions or disqualifying information. 
The effectiveness of NICS depends largely on the availability and 
completeness of automated records--including the final dispositions of 
arrests, such as whether the criminal charges resulted in convictions 
or acquittals. In this regard, many criminal justice agencies, from 
police departments to the courts, are generators of records relevant to 
NICS. 

To ensure national compatibility and accessibility of records, states' 
uses of NCHIP funds must conform with the Federal Bureau of 
Investigation's (FBI) standards for national data systems--including, 
as applicable, the following: 

* NICS--established by the FBI to provide instant background checks of 
individuals applying to purchase firearms from federally licensed 
dealers; NICS has electronic links to component databases described 
below, including the National Crime Information Center (NCIC),[Footnote 
10] Interstate Identification Index (III), and NICS Index--a database 
created solely for presale background checks of firearms purchasers. 

* NCIC--an automated, nationally accessible database of criminal 
justice and justice-related records on wanted and missing persons, as 
well as identifiable stolen property, such as vehicles and firearms. 

* III--an interstate, federal-state computer network maintained by the 
FBI, which provides the means of conducting national criminal history 
records searches. 

* Integrated Automated Fingerprint Identification System (IAFIS)--a 
computerized system for storing, comparing, and exchanging digitized 
fingerprint data. 

Congress appropriated approximately $27 million for fiscal year 1996 
and $52 million for fiscal year 1997 jointly for grants to states to 
upgrade criminal records pursuant to the Brady Act and grants to states 
to improve child abuse crime information pursuant to the National Child 
Protection Act of 1993. Another $210 million, according to BJS, was 
appropriated for these purposes from fiscal years 1998 through 2001. 
[Footnote 11] Beginning in fiscal year 2002, BJS continued to 
administer grants to states to upgrade criminal records. However, the 
appropriations for fiscal year 2002, and annually since then, no longer 
contain a specific line item for the Brady criminal records improvement 
grants and instead provide grant funding to upgrade criminal records 
within the context of the Crime Identification Technology Act of 1998. 
As a result, for example, the BJS program announcement for fiscal year 
2008 states that the objectives of the NCHIP program are: 

* to provide direct financial and technical assistance to states to 
improve their criminal records systems and other related systems to 
support background checks, 

* to ensure that the infrastructure is developed to connect state 
records systems across states and with FBI records systems, 

* to provide training and technical assistance to help ensure 
conformity to FBI standards, and: 

* to assess progress made by states in improving criminal history 
records systems. 

BJS Awards States NCHIP Grants, Monitors Their Use for Criminal Records 
Improvement, and Identifies Priorities for Future Emphasis: 

BJS data show that states are awarded NCHIP grants to improve criminal 
history records to support NICS in conducting background checks of 
firearms' purchasers, as well as related records improvement efforts 
that support the national records infrastructure. According to BJS 
data, a total of $241 million in NCHIP grants was awarded from fiscal 
years 2000 through 2007. All 50 states, the District of Columbia, and 
the U.S. territories have been recipients of these grant awards. The 
amount of funding awarded for NCHIP grants has generally declined each 
year since 2000, with the exception of 2003 when the amount of funding 
awarded peaked at $47.4 million. Congressional appropriations for NCHIP 
have generally been less than the amounts requested in the President's 
budget since 2003. Figure 1 shows the total amounts of annual grant 
funding for fiscal years 2000 through 2007. 

Figure 1: NCHIP Grant Funding Awarded to States and Territories from 
Fiscal Year 2000 through Fiscal Year 2007: 

[See PDF for image] 

This figure is a vertical bar graph depicting the following data: 

Fiscal year: 2000; 
NCHIP Grant Funding: $41,482,328. 

Fiscal year: 2001; 
NCHIP Grant Funding: $38,905,171. 

Fiscal year: 2002; 
NCHIP Grant Funding: $36,842,228. 

Fiscal year: 2003; 
NCHIP Grant Funding: $47,473,392. 

Fiscal year: 2004; 
NCHIP Grant Funding: $31,188,766. 

Fiscal year: 2005; 
NCHIP Grant Funding: $25,881,053. 

Fiscal year: 2006; 
NCHIP Grant Funding: $10,924,230. 

Fiscal year: 2007; 
NCHIP Grant Funding: $8,598,703. 

Source: Department of Justice, Bureau of Justice Statistics. 

[End of figure] 

As annual grant funding has generally declined, fewer states are 
receiving grants and are receiving lesser amounts than in the past. 
Specifically, in fiscal year 2004, BJS awarded grants to 48 states and 
5 territories, while only 27 states and 2 territories received awards 
in fiscal year 2007. 

As shown in table 1, the NICS/III/criminal records improvement and the 
court disposition[Footnote 12] reporting improvements categories 
accounted for about 75 percent of NCHIP awards during 2000 through 
2007--spending categories directly related to NICS. Table 1 lists 
examples of how grant funds were used by spending category. By using 
grant funds to develop databases, update and automate records systems, 
and convert and automate manual records, funds spent in these 
categories should improve criminal history records consistent with the 
purposes of NCHIP. As an example, BJS awarded funds in 2007 to Kansas 
to integrate local agency systems with the state's system, and to 
connect the state's system to several national records systems. In 
another example, BJS awarded California grant funds in 2007 to automate 
disposition records from the courts. 

Table 1: NCHIP Funds Awarded by Spending Category, Fiscal Years 2000 
through 2007: 

NCHIP spending category: NICS/III/criminal records improvements; 
Examples of grant fund uses by spending category: 
* Purchase equipment for major automated criminal records systems or 
overall upgrades; 
* Convert and automate manual records, develop policies, and fund other 
activities required to bring states into compliance with the FBI's 
standards for national data systems; 
* Develop nonfelony databases for domestic violence related to 
misdemeanor records; 
Total grant awards, 2000-2007: $97,678,643; 
Spending category as a percentage of total: 40.5%. 

NCHIP spending category: Disposition reporting improvements; 
Examples of grant fund uses by spending category: 
* Upgrade and automate records management systems to capture data on 
dispositions from courts, district attorney offices, and probation and 
parole systems; 
* Develop protocols and standards for transferring disposition data to 
the state central repository, linking disposition data to arrest 
records; 
* Install electronic fingerprinting equipment in courts to identify 
defendants and facilitate record linkage; 
* Research missing dispositions in response to NICS inquiries; 
* Update "arrest only" records to include case disposition information; 
Total grant awards, 2000-2007: $83,782,622; 
Spending category as a percentage of total: 34.7%. 

NCHIP spending category: Automated fingerprint identification 
system/Livescan activities[A]; 
Examples of grant fund uses by spending category: 
* Purchase and install electronic fingerprinting equipment that 
conforms to FBI technical standards; 
* Implement technology to support the automated transfer of fingerprint 
data to IAFIS; 
Total grant awards, 2000-2007: $32,770,537; 
Spending category as a percentage of total: 13.6%. 

NCHIP spending category: Protection Order activities; 
Examples of grant fund uses by spending category: 
* Establish state-level protection order systems; 
* Establish protocols and record linkages to the NCIC Protection Order 
File; 
Total grant awards, 2000-2007: $13,764,207; 
Spending category as a percentage of total: 5.7%. 

NCHIP spending category: Sex offender registry enhancements; 
Examples of grant fund uses by spending category: 
* Establish a state sex offender registry system that complies with FBI 
standards and supports an interface with the FBI's National Sex 
Offender Registry; 
* Classify state legislation relevant to sex offender registration; 
* Continually review registrants' addresses and status; 
Total grant awards, 2000-2007: $8,765,575; 
Spending category as a percentage of total: 3.6%. 

NCHIP spending category: National security/anti-terrorism activities; 
Examples of grant fund uses by spending category: 
* Develop linkages to the state repository used for background checks 
on persons employed in sensitive positions; 
* Purchase electronic fingerprinting equipment; 
* Develop policies governing the use of equipment to ensure privacy and 
compliance with applicable regulations regarding noncriminal justice 
background checks; 
Total grant awards, 2000-2007: $3,597,141; 
Spending category as a percentage of total: 1.5%. 

NCHIP spending category: Mental Health Records; 
Examples of grant fund uses by spending category: 
* Develop nonfelony databases for mental health records; 
* Implement interfaces between mental health record systems and 
criminal repositories; 
* Transmit qualifying records to the NICS Index; 
Total grant awards, 2000-2007: $937,146; 
Spending category as a percentage of total: 0.4%. 

NCHIP spending category: Total: 
Total grant awards, 2000-2007: $241,295,871; 
Spending category as a percentage of total: 100%. 

Source: Department of Justice, Bureau of Justice Statistics. 

[A] Livescan equipment can record and transmit fingerprints in a 
digital format. The equipment is used to capture fingerprint images 
directly from an individual's fingers, which are placed onto glass 
scanning plates. 

[End of table] 

The remaining approximately 25 percent of the NCHIP grant funds have 
been awarded for related records improvement activities, including 
automated fingerprint identification system/Livescan activities, sex 
offender registry enhancements, protection order activities, national 
security/antiterrorism activities, and mental health records, as shown 
in table 1.[Footnote 13] For example, BJS awarded funding in 2007 to 
Wisconsin to purchase electronic fingerprint equipment to be used by 
several law enforcement agencies across the state. 

With the assistance of NCHIP grants, states continue to make progress 
in automating criminal history records and making them accessible 
nationally. According to the most recent BJS data, the percentage of 
the nation's criminal history records that are automated increased from 
79 percent in 1993 to 89 percent at the end of 2001 to 94 percent at 
the end of 2003.[Footnote 14] 

Figure 2: Percentage of Criminal History Records Automated (as of 
Calendar Year-end): 

[See PDF for image] 

This figure is a line graph depicting the following data: 

Fiscal year: 1993; 
Percentage of Automated Criminal History Records: 79%. 

Fiscal year: 1995; 
Percentage of Automated Criminal History Records: 86%. 

Fiscal year: 1997; 
Percentage of Automated Criminal History Records: 87%. 

Fiscal year: 1999; 
Percentage of Automated Criminal History Records: 89%. 

Fiscal year: 2001; 
Percentage of Automated Criminal History Records: 89%. 

Fiscal year: 2003; 
Percentage of Automated Criminal History Records: 94%. 

Source: Department of Justice, Bureau of Justice Statistics. 

[End of figure] 

BJS survey data show that record automation has outpaced overall growth 
in the number of state-held criminal history records. Specifically, 
while the number of total records increased 49 percent from 1993 
through 2003, the number of automated records increased 78 percent-- 
which indicates progress in automating older criminal history records. 
In addition, the number of III-indexed criminal records grew by 210 
percent from 1993 through 2003. As a result, approximately 71 percent 
of criminal history records are III accessible as of 2003. According to 
FBI data provided by BJS, over 63 million criminal history records were 
indexed in the III as of May 2008 as compared to 1993 when over 16 
million records were indexed in the III. Figure 3 shows the trend in 
automation and increase in III records. 

Figure 3: Trend in Automation and III Accessibility of Criminal History 
Records: 

[See PDF for image] 

This figure is a multiple line graph depicting the following data 
(number of records in millions: 

Fiscal year: 1993; 
Total 49 percent (percentage change from 1993 through 2003): 47.8; 
Automated 78 percent (percentage change from 1993 through 2003): 37.7; 
III-Accessible 210 percent (percentage change from 1993 through 2003): 
16.3. 

Fiscal year: 1995; 
Total 49 percent (percentage change from 1993 through 2003): 49.9; 
Automated 78 percent (percentage change from 1993 through 2003): 42.7; 
III-Accessible 210 percent (percentage change from 1993 through 2003): 
27.6. 

Fiscal year: 1997; 
Total 49 percent (percentage change from 1993 through 2003): 54.1; 
Automated 78 percent (percentage change from 1993 through 2003): 46.8; 
III-Accessible 210 percent (percentage change from 1993 through 2003): 
34.1. 

Fiscal year: 1999; 
Total 49 percent (percentage change from 1993 through 2003): 59.2; 
Automated 78 percent (percentage change from 1993 through 2003): 52.8; 
III-Accessible 210 percent (percentage change from 1993 through 2003): 
37.0. 

Fiscal year: 2001; 
Total 49 percent (percentage change from 1993 through 2003): 64.3; 
Automated 78 percent (percentage change from 1993 through 2003): 57.4; 
III-Accessible 210 percent (percentage change from 1993 through 2003): 
40.9. 

Fiscal year: 2003; 
Total 49 percent (percentage change from 1993 through 2003): 71.0; 
Automated 78 percent (percentage change from 1993 through 2003): 67.0; 
III-Accessible 210 percent (percentage change from 1993 through 2003): 
50.5. 

Source: Department of Justice, Bureau of Justice Statistics. 

[End of figure] 

Additional indicators[Footnote 15] provided by BJS also demonstrate 
progress: 

* In 1997, the FBI established the NCIC Protection Order File to 
provide a national repository for protection order records. As of April 
2008, information has been provided by 47 states, the District of 
Columbia, and the U.S. Virgin Islands, and the file contained more than 
1,000,000 records. 

* In 1999, in response to mandates in the amendments[Footnote 16] to 
the Jacob Wetterling Crimes Against Children and Sexually Violent 
Offender Registration Act,[Footnote 17] the FBI established a national 
sex offender database for states to register and verify addresses of 
sex offenders. As of April 2008, the National Sex Offender Registry 
contained over 525,000 records with records from 50 states, the 
District of Columbia, and 3 territories. 

* In 1999, the FBI implemented IAFIS. As of May 2008, 47 states and 
territories had the capability to submit all of their criminal, civil, 
and latent fingerprints to IAFIS electronically. 

* From March 2004 through March 2008, the number of state submissions 
to the NICS Index increased by 168 percent from about 415,000 to over 
1.1 million.[Footnote 18] 

DOJ Monitors States' Use of Grant Funds: 

To monitor the states' use of NCHIP funds, the BJS Criminal Justice 
Data Improvement Program Chief told us that BJS officials conduct 
periodic site visits to states to meet the requirement to assess at 
least 10 percent of grant funds awarded for the purpose of monitoring 
the use of these funds.[Footnote 19] According to BJS, the objectives 
of monitoring NCHIP grants, among other things, are to ensure that 
programs initiated by states are carried out in a manner consistent 
with the grantee's stated implementation plan. The Program Chief also 
stated that BJS staff conduct approximately 3 site visits per quarter, 
or approximately 12 per year. BJS program managers have discretion in 
determining which sites to visit. However, BJS generally prioritizes 
its site visits based on a process that utilizes 15 different criteria 
to choose which sites will be assessed, such as amount of funding 
awarded, programs awarded grants for the first time, states 
experiencing difficulties, and model state programs that demonstrate 
best practices. BJS staff visited 14 states and the District of 
Columbia in fiscal year 2007 to monitor states' use of grant funds. For 
example, a BJS staff member met with officials from the Arkansas Crime 
Information Center in December 2006 to discuss plans to expend NCHIP 
funds for activities related to criminal history records improvement, 
such as transmitting mental health data to the NICS Index and entering 
a backlog of court dispositions into Arkansas's computerized criminal 
history record system. 

In addition to BJS site visits, DOJ's Office of Justice Programs' 
Office of the Chief Financial Officer conducts financial monitoring 
visits to examine policies and procedures in place regarding the use of 
NCHIP grant awards. According to DOJ, the Office of the Chief Financial 
Officer has conducted nine such visits related to NCHIP grant funds 
from November 2005 through November 2007. Further, the Office of 
Justice Programs requires award recipients to submit quarterly 
financial reports. Also, progress reports are generally required 
semiannually for discretionary awards and annually for block/formula 
awards. These reports are to describe the status of the funds, the 
status of the project, and comparison of actual accomplishments to the 
program objectives. According to BJS program officials, BJS staff 
review these reports and consider the results of these reviews when 
selecting programs for site visits. 

BJS Officials Have Identified Case Disposition Reporting by the Courts 
and Updating Older Technology Data Systems As Continuing Priorities: 

BJS officials told us that moving forward, addressing two issues-- 
disposition reporting by the courts and updating older technology data 
systems--will be particularly important for states to continue making 
progress in automating criminal history records. In 2004, we reported 
that while states had made progress in automating disposition 
information, achieving universal automation of disposition information 
remained a challenge.[Footnote 20] BJS listed case disposition 
reporting as an area in criminal history records improvement that needs 
additional attention in fiscal year 2008. Our 2004 report also 
highlighted that technology is not static and can change rapidly, which 
necessitates periodic upgrades or replacements of automated systems. 
[Footnote 21] According to BJS, states and territories acquired 
technologies intended to improve the accessibility of criminal records 
information, such as record management systems, prior to 2003 when 
NCHIP funding was at a higher level. The BJS Criminal Justice Data 
Improvement Program Chief told us that the technology that supports 
NICS, including the computer systems used to report NICS records, are 
reaching the end of their life cycle and will need to be replaced. 
According to BJS, new technologies are now available that can improve 
the availability and accessibility of criminal record information 
including updated digital fingerprinting technologies that could 
dramatically speed up the registration process. This technology may 
also allow more court disposition records to be linked to existing 
criminal records and improve the completeness and automation of the 
records. 

Agency Comments: 

We provided a draft of this report to the Attorney General for review 
and comment. DOJ advised us that it had no formal agency comments. DOJ 
provided technical comments, which have been incorporated into the 
report as appropriate. 

We are sending copies of this report to selected congressional 
committees, the Attorney General, and any other interested parties. We 
will also make copies available to others on request. Contact points 
for our Office of Congressional Relations and Public Affairs may be 
found on the last page of this report. In addition, the report will be 
available at no charge on GAO's Web site at [hyperlink, 
http://www.gao.gov]. 

If your offices or staff members have any questions concerning this 
report, please contact me at (202) 512-8777 or at [email protected]. 
William W. Crocker III, Assistant Director; Amy Brown; Ryan Consaul; 
Michele Fejfar; Geoffrey Hamilton; and Lara Kaskie made key 
contributions to this report. 

Signed by: 

Eileen Regen Larence:
Director, Homeland Security and Justice Issues: 

[End of correspondence] 

Enclosure I: NCHIP Awards: 1995-2007: 

Jurisdiction: Alabama; 
1995-99: $3,127,103; 
2000: $879,447; 
2001: $521,574; 
2002: $499,880; 
2003: $894,998; 
2004: $573,000; 
2005: $626,100; 
2006: $400,000; 
2007: $309,761; 
Total 1995-2007: $7,831,863. 

Jurisdiction: Alaska; 
1995-99: $3,456,318; 
2000: $760,000; 
2001: $585,000; 
2002: $475,000; 
2003: $600,000; 
2004: $384,000; 
2005: $268,980; 
2006: $259,944; 
2007: $260,000; 
Total 1995-2007: $7,049,242. 

Jurisdiction: American Samoa; 
1995-99: $800,000; 
2000: $300,000; 
2001: $300,000; 
2002: $285,000; 
2003: $300,000; 
2004: $250,000; 
2005: $175,000; 
2006: [Empty]; 
2007: [Empty]; 
Total 1995-2007: $2,410,000. 

Jurisdiction: Arizona; 
1995-99: $3,888,988; 
2000: $980,000; 
2001: $1,000,000; 
2002: $750,000; 
2003: $1,028,573; 
2004: $493,000; 
2005: $345,000; 
2006: $237,085; 
2007: $430,000; 
Total 1995-2007: $9,152,646. 

Jurisdiction: Arkansas; 
1995-99: $2,976,857; 
2000: $694,330; 
2001: $630,000; 
2002: $475,000; 
2003: $699,960; 
2004: $383,998; 
2005: $269,000; 
2006: $117,000; 
2007: $146,940; 
Total 1995-2007: $6,393,085. 

Jurisdiction: California; 
1995-99: $23,095,680; 
2000: $2,350,000; 
2001: $2,238,414; 
2002: $2,200,000; 
2003: $3,000,000; 
2004: $1,922,000; 
2005: $1,425,000; 
2006: $900,000; 
2007: $550,000; 
Total 1995-2007: $37,681,094. 

Jurisdiction: Colorado; 
1995-99: $3,528,113; 
2000: $960,000; 
2001: $507,000; 
2002: $485,000; 
2003: $735,000; 
2004: $664,240; 
2005: $500,906; 
2006: $356,598; 
2007: $381,962; 
Total 1995-2007: $8,118,819. 

Jurisdiction: Connecticut; 
1995-99: $4,117,968; 
2000: $700,000; 
2001: $545,000; 
2002: $518,000; 
2003: $657,000; 
2004: $421,000; 
2005: $465,400; 
2006: $147,760; 
2007: [Empty]; 
Total 1995-2007: $7,572,128. 

Jurisdiction: Delaware; 
1995-99: $3,130,837; 
2000: $491,470; 
2001: $500,000; 
2002: $475,000; 
2003: $600,000; 
2004: [Empty]; 
2005: $250,000; 
2006: $95,237; 
2007: $130,000; 
Total 1995-2007: $5,672,544. 

Jurisdiction: District of Columbia; 
1995-99: $1,804,095; 
2000: [Empty]; 
2001: $350,000; 
2002: $329,916; 
2003: [Empty]; 
2004: [Empty]; 
2005: [Empty]; 
2006: $265,000; 
2007: [Empty]; 
Total 1995-2007: $2,749,011. 

Jurisdiction: Florida; 
1995-99: $9,373,486; 
2000: $1,980,000; 
2001: $1,650,787; 
2002: $1,369,000; 
2003: $1,800,000; 
2004: $1,453,000; 
2005: $973,000; 
2006: $395,574; 
2007: $260,000; 
Total 1995-2007: $19,254,847. 

Jurisdiction: Georgia; 
1995-99: $6,143,349; 
2000: $803,768; 
2001: $498,979; 
2002: $691,628; 
2003: $1,045,000; 
2004: $669,000; 
2005: $375,600; 
2006: $355,750; 
2007: $117,000; 
Total 1995-2007: $10,700,074. 

Jurisdiction: Guam; 
1995-99: $799,796; 
2000: $300,000; 
2001: $300,000; 
2002: $285,000; 
2003: $400,000; 
2004: $250,000; 
2005: $175,000; 
2006: $20,334; 
2007: $20,334; 
Total 1995-2007: $2,550,464. 

Jurisdiction: Hawaii; 
1995-99: $2,967,125; 
2000: $600,000; 
2001: $500,000; 
2002: $500,000; 
2003: $600,000; 
2004: $384,000; 
2005: $468,000; 
2006: $315,656; 
2007: $303,000; 
Total 1995-2007: $6,637,781. 

Jurisdiction: Idaho; 
1995-99: $1,554,561; 
2000: [Empty]; 
2001: $342,873; 
2002: $170,000; 
2003: $163,200; 
2004: $142,250; 
2005: $150,000; 
2006: [Empty]; 
2007: [Empty]; 
Total 1995-2007: $2,522,884. 

Jurisdiction: Illinois; 
1995-99: $10,372,000; 
2000: $1,590,000; 
2001: $1,352,000; 
2002: $1,284,000; 
2003: $1,669,000; 
2004: $1,069,000; 
2005: [Empty]; 
2006: $408,182; 
2007: [Empty]; 
Total 1995-2007: $17,744,182. 

Jurisdiction: Indiana; 
1995-99: $5,022,273; 
2000: $900,000; 
2001: $964,500; 
2002: $736,000; 
2003: $975,000; 
2004: $612,000; 
2005: $428,000; 
2006: $259,877; 
2007: [Empty]; 
Total 1995-2007: $9,897,650. 

Jurisdiction: Iowa; 
1995-99: $2,783,525; 
2000: $238,537; 
2001: $208,915; 
2002: $420,620; 
2003: $561,437; 
2004: $377,093; 
2005: $348,090; 
2006: [Empty]; 
2007: [Empty]; 
Total 1995-2007: $4,938,217. 

Jurisdiction: Kansas; 
1995-99: $2,932,319; 
2000: $520,000; 
2001: $540,359; 
2002: $475,000; 
2003: $669,000; 
2004: $429,000; 
2005: $300,000; 
2006: $407,220; 
2007: $560,000; 
Total 1995-2007: $6,832,898. 

Jurisdiction: Kentucky; 
1995-99: $3,984,961; 
2000: $499,536; 
2001: $507,000; 
2002: $482,000; 
2003: $584,000; 
2004: $384,000; 
2005: $269,000; 
2006: [Empty]; 
2007: [Empty]; 
Total 1995-2007: $6,710,497. 

Jurisdiction: Louisiana; 
1995-99: $3,903,751; 
2000: $739,436; 
2001: $578,698; 
2002: $499,000; 
2003: $650,000; 
2004: $416,000; 
2005: $394,000; 
2006: $368,005; 
2007: $392,591; 
Total 1995-2007: $7,941,481. 

Jurisdiction: Maine; 
1995-99: $4,131,166; 
2000: $90,000; 
2001: [Empty]; 
2002: $453,000; 
2003: $525,000; 
2004: [Empty]; 
2005: $384,000; 
2006: [Empty]; 
2007: [Empty]; 
Total 1995-2007: $5,583,166. 

Jurisdiction: Maryland; 
1995-99: $4,630,000; 
2000: $922,500; 
2001: $630,462; 
2002: $595,117; 
2003: $627,995; 
2004: $402,000; 
2005: $275,472; 
2006: [Empty]; 
2007: $338,408; 
Total 1995-2007: $8,421,954. 

Jurisdiction: Massachusetts; 
1995-99: $8,275,250; 
2000: $819,762; 
2001: $1,028,000; 
2002: $976,000; 
2003: $1,268,000; 
2004: $812,313; 
2005: $544,000; 
2006: $550,000; 
2007: [Empty]; 
Total 1995-2007: $14,273,325. 

Jurisdiction: Michigan; 
1995-99: $7,151,290; 
2000: $1,153,032; 
2001: $1,200,199; 
2002: $881,382; 
2003: $1,038,452; 
2004: $742,000; 
2005: $520,549; 
2006: $475,590; 
2007: $495,165; 
Total 1995-2007: $13,657,659. 

Jurisdiction: Minnesota; 
1995-99: $4,256,989; 
2000: $413,454; 
2001: $984,320; 
2002: $502,000; 
2003: $600,000; 
2004: $384,000; 
2005: $496,500; 
2006: [Empty]; 
2007: [Empty]; 
Total 1995-2007: $7,637,263. 

Jurisdiction: Mississippi; 
1995-99: $3,748,079; 
2000: $560,000; 
2001: $534,717; 
2002: $500,000; 
2003: $600,000; 
2004: $384,000; 
2005: $269,000; 
2006: [Empty]; 
2007: [Empty]; 
Total 1995-2007: $6,595,796. 

Jurisdiction: Missouri; 
1995-99: $5,172,515; 
2000: $899,133; 
2001: $904,000; 
2002: $652,000; 
2003: $757,627; 
2004: $484,000; 
2005: $338,970; 
2006: $338,694; 
2007: $371,565; 
Total 1995-2007: $9,918,504. 

Jurisdiction: Montana; 
1995-99: $2,574,486; 
2000: $512,389; 
2001: $546,842; 
2002: $475,341; 
2003: $599,771; 
2004: $384,000; 
2005: $269,000; 
2006: $130,000; 
2007: $359,865; 
Total 1995-2007: $5,851,694. 

Jurisdiction: Nebraska; 
1995-99: $3,037,053; 
2000: $560,200; 
2001: $553,237; 
2002: $616,825; 
2003: $600,000; 
2004: $384,000; 
2005: $269,000; 
2006: $204,085; 
2007: $307,200; 
Total 1995-2007: $6,531,600. 

Jurisdiction: Nevada; 
1995-99: $2,500,000; 
2000: $610,000; 
2001: $810,000; 
2002: $513,000; 
2003: $696,000; 
2004: $384,000; 
2005: $269,000; 
2006: $93,391; 
2007: [Empty]; 
Total 1995-2007: $5,875,391. 

Jurisdiction: New Hampshire; 
1995-99: $3,566,713; 
2000: $381,073; 
2001: $407,462; 
2002: $476,996; 
2003: $600,000; 
2004: $384,000; 
2005: $353,691; 
2006: $84,691; 
2007: [Empty]; 
Total 1995-2007: $6,254,626. 

Jurisdiction: New Jersey; 
1995-99: $6,700,533; 
2000: $1,200,000; 
2001: $892,980; 
2002: $848,000; 
2003: $1,195,000; 
2004: $766,000; 
2005: $1,748,800; 
2006: [Empty]; 
2007: [Empty]; 
Total 1995-2007: $13,351,313. 

Jurisdiction: New Mexico; 
1995-99: $4,596,416; 
2000: $579,942; 
2001: $686,860; 
2002: $555,998; 
2003: $563,622; 
2004: $384,000; 
2005: $339,000; 
2006: [Empty]; 
2007: [Empty]; 
Total 1995-2007: $7,705,838. 

Jurisdiction: New York; 
1995-99: $17,472,269; 
2000: $2,210,000; 
2001: $2,225,000; 
2002: $2,112,000; 
2003: $2,745,000; 
2004: $1,759,000; 
2005: $1,437,300; 
2006: $800,000; 
2007: $600,000; 
Total 1995-2007: $31,360,569. 

Jurisdiction: North Carolina; 
1995-99: $4,807,653; 
2000: $809,498; 
2001: $635,000; 
2002: $603,000; 
2003: $663,000; 
2004: $424,996; 
2005: $297,000; 
2006: $200,000; 
2007: [Empty]; 
Total 1995-2007: $8,440,147. 

Jurisdiction: North Dakota; 
1995-99: $2,931,218; 
2000: $562,710; 
2001: $544,470; 
2002: $475,824; 
2003: $600,000; 
2004: $384,000; 
2005: $269,000; 
2006: [Empty]; 
2007: [Empty]; 
Total 1995-2007: $5,767,222. 

Jurisdiction: Northern Mariana Islands; 
1995-99: [Empty]; 
2000: $300,000; 
2001: [Empty]; 
2002: $285,000; 
2003: $400,000; 
2004: $250,000; 
2005: [Empty]; 
2006: [Empty]; 
2007: [Empty]; 
Total 1995-2007: $1,235,000. 

Jurisdiction: Ohio; 
1995-99: $9,456,526; 
2000: $1,368,256; 
2001: $1,320,627; 
2002: $1,389,214; 
2003: $1,510,000; 
2004: $967,000; 
2005: $648,000; 
2006: $271,343; 
2007: $350,000; 
Total 1995-2007: $17,280,966. 

Jurisdiction: Oklahoma; 
1995-99: $2,628,198; 
2000: $702,681; 
2001: $549,999; 
2002: $475,000; 
2003: $600,000; 
2004: $384,000; 
2005: $269,000; 
2006: $153,600; 
2007: $120,000; 
Total 1995-2007: $5,882,478. 

Jurisdiction: Oregon; 
1995-99: $3,678,348; 
2000: $1,000,000; 
2001: $807,300; 
2002: $122,861; 
2003: [Empty]; 
2004: $496,000; 
2005: $347,000; 
2006: [Empty]; 
2007: [Empty]; 
Total 1995-2007: $6,451,509. 

Jurisdiction: Pennsylvania; 
1995-99: $11,395,537; 
2000: $916,600; 
2001: $1,392,000; 
2002: $1,322,000; 
2003: $1,499,195; 
2004: $961,000; 
2005: $1,654,273; 
2006: $534,880; 
2007: $351,763; 
Total 1995-2007: $20,027,248. 

Jurisdiction: Puerto Rico; 
1995-99: $812,436; 
2000: [Empty]; 
2001: [Empty]; 
2002: [Empty]; 
2003: [Empty]; 
2004: $350,000; 
2005: [Empty]; 
2006: $300,000; 
2007: [Empty]; 
Total 1995-2007: $1,462,436. 

Jurisdiction: Rhode Island; 
1995-99: $2,365,294; 
2000: $520,000; 
2001: $500,000; 
2002: $475,000; 
2003: $600,000; 
2004: $384,000; 
2005: $294,000; 
2006: $130,000; 
2007: $168,500; 
Total 1995-2007: $5,436,794. 

Jurisdiction: South Carolina; 
1995-99: $5,266,593; 
2000: $990,000; 
2001: $1,195,406; 
2002: $822,000; 
2003: $1,000,000; 
2004: $641,000; 
2005: $449,000; 
2006: $65,262; 
2007: $351,913; 
Total 1995-2007: $10,781,174. 

Jurisdiction: South Dakota; 
1995-99: $2,012,211; 
2000: $672,693; 
2001: $452,172; 
2002: $488,156; 
2003: $606,895; 
2004: $385,150; 
2005: $270,000; 
2006: $137,066; 
2007: $106,500; 
Total 1995-2007: $5,130,843. 

Jurisdiction: Tennessee; 
1995-99: $4,166,817; 
2000: $780,161; 
2001: $550,000;
2002: $531,000; 
2003: $766,000; 
2004: $491,000; 
2005: $384,000; 
2006: $252,778; 
2007: $254,954; 
Total 1995-2007: $8,176,710. 

Jurisdiction: Texas; 
1995-99: $17,246,275; 
2000: $795,000; 
2001: [Empty]; 
2002: $2,000,000; 
2003: $2,900,000; 
2004: $1,903,000; 
2005: $1,085,000; 
2006: [Empty]; 
2007: [Empty]; 
Total 1995-2007: $25,929,275. 

Jurisdiction: Utah; 
1995-99: $3,073,085; 
2000: $540,256; 
2001: $530,000; 
2002: $475,600; 
2003: $600,010; 
2004: $384,000; 
2005: $324,000; 
2006: $207,610; 
2007: [Empty]; 
Total 1995-2007: $6,134,561. 

Jurisdiction: Vermont; 
1995-99: $4,514,810; 
2000: $729,157; 
2001: $683,459; 
2002: $609,688; 
2003: $602,959; 
2004: $384,150; 
2005: $298,218; 
2006: [Empty]; 
2007: [Empty]; 
Total 1995-2007: $7,822,441. 

Jurisdiction: Virgin Islands; 
1995-99: $203,157; 
2000: [Empty]; 
2001: $300,000; 
2002: [Empty]; 
2003: $400,000; 
2004: $250,000; 
2005: $175,000; 
2006: [Empty]; 
2007: $150,000; 
Total 1995-2007: $1,478,157. 

Jurisdiction: Virginia; 
1995-99: $6,507,577; 
2000: $1,082,781; 
2001: $1,035,143; 
2002: $1,203,182; 
2003: $1,804,670; 
2004: $1,299,000; 
2005: $1,404,263; 
2006: $365,496; 
2007: $127,489; 
Total 1995-2007: $14,829,601. 

Jurisdiction: Washington; 
1995-99: $5,111,682; 
2000: $846,000; 
2001: $674,000; 
2003: $800,000; 
2002: $1,194,000; 
2004: $1,040,000; 
2005: $697,000; 
2006: [Empty]; 
2007: [Empty]; 
Total 1995-2007: $10,362,682. 

Jurisdiction: West Virginia; 
1995-99: $3,384,564; 
2000: $668,422;
2001: $500,000; 
2002: $270,000; 
2003: $600,000; 
2004: $189,577; 
2005: $554,208; 
2006: [Empty]; 
2007: [Empty]; 
Total 1995-2007: $6,166,771. 

Jurisdiction: Wisconsin; 
1995-99: $5,267,700;
2000: $760,000; 
2001: $681,000; 
2002: $647,000; 
2003: $679,000; 
2004: $435,000; 
2005: $562,733; 
2006: $243,621; 
2007: $283,793; 
Total 1995-2007: $9,559,847. 

Jurisdiction: Wyoming; 
1995-99: $1,052,389; 
2000: $240,104; 
2001: $529,417; 
2002: $285,000; 
2003: $399,028; 
2004: $255,999; 
2005: $179,000; 
2006: $76,901; 
2007: [Empty]; 
Total 1995-2007: $3,017,838. 

Jurisdiction: Total; 
1995-99: $273,457,934; 
2000: $41,482,328; 
2001: $38,905,171; 
2002: $36,842,228; 
2003: $47,473,392; 
2004: $31,188,766; 
2005: $25,881,053; 
2006: $10,924,230; 
2007: $8,598,703; 
Total 1995-2007: $514,753,805. 

[End of table] 

Source: Department of Justice, Bureau of Justice Statistics. 

Note: The 1998 awards include National Sex Offender Registry awards. 

[End of enclosure] 

Footnotes: 

[1] Pub. L. No. 110-180, 121 Stat. 2559 (2008). NICS is the National 
Instant Criminal Background Check System. 

[2] GAO, National Criminal History Improvement Program: Federal Grants 
Have Contributed to Progress, GAO-04-364 (Washington, D.C.: Feb. 27, 
2004). 

[3] BJS provided us NCHIP funding data from fiscal year 2000 through 
2007 organized by seven spending categories. These categories represent 
how states may use grant funds, such as activities to capture data on 
case dispositions from courts. See table 1 of this report for more 
information. 

[4] GAO-04-364. 

[5] According to BJS, the 2003 information represents the latest data 
available from BJS surveys. BJS recently completed initial data 
collection for a new version of this survey to reflect the status of 
systems as of December 31, 2006. BJS expects to publish these initial 
data tables by September 2008. 

[6] Pub. L. No. 103-159, 107 Stat. 1536 (1993). 

[7] Pub. L. No. 103-209, 107 Stat. 2490 (1993). Amendments in 1994 
further expanded the scope of such criminal history background check 
procedures to include those caring for the elderly and individuals with 
disabilities. 

[8] Pub. L. No. 103-322, 108 Stat. 1796 (1994). 

[9] Pub. L. No. 105-251, 112 Stat. 1871 (1998). 

[10] NCIC includes the Protection Order File to permit interstate 
enforcement of protection orders and the denial of firearms transfers 
to individuals who are the subject of court protection orders, as well 
as a file of active felony or misdemeanor warrants. 

[11] These appropriations include funds for a stalking and domestic 
violence component of NCHIP. 

[12] The term "court disposition", as used here, refers to information 
regarding whether the criminal charges against the arrested individual 
were dropped or proceeded to be prosecuted and resulted in a conviction 
or acquittal. 

[13] In our 2004 report, BJS included mental health record activities 
under the NICS/III/criminal records improvements category. However, BJS 
provided us information on mental health records as a separate spending 
category for the purposes of this report. 

[14] According to BJS, the 2003 information represents the latest data 
available from BJS surveys. BJS recently completed initial data 
collection for a new version of this survey to reflect the status of 
systems as of December 31, 2006. BJS expects to publish initial data 
tables by September 2008. 

[15] For data in the NCIC Protection Order File, National Sex Offender 
Registry, and NICS Index, BJS relies on monthly data reported by the 
FBI's Criminal Justice Information Services Division, which are based 
on actual record counts in various FBI files and databases. However, 
these data are not independently verified by BJS. 

[16] Pam Lychner Sexual Offender Tracking and Identification Act of 
1996, Pub. L. No. 104-236, 110 Stat. 3093, (1996). 

[17] Pub. L. No. 103-322, 108 Stat. 1796, 2038 (1994). 

[18] However, Massachusetts and California accounted for almost 80 
percent of the total increase in states submissions. Additionally, 
while the number of states participating in the NICS Index increased 
from 20 to 44 during this period, 22 states still have fewer than 100 
records each in the NICS Index. BJS officials told us that 
participation in the NICS Index is currently voluntary. 

[19] Section 1158 of the Violence Against Women and Department of 
Justice Reauthorization Act of 2005, Pub. L. No. 109-162, 119 Stat. 
2960, 3114-15 (2006). 

[20] GAO-04-364. 

[21] GAO-04-364. 

[End of section] 

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