[Federal Register Volume 61, Number 102 (Friday, May 24, 1996)]
[Notices]
[Pages 26211-26218]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 96-13091]
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[[Page 26212]]
DEPARTMENT OF JUSTICE
Bureau of Justice Statistics
[OJP No. 1080]
RIN 1121-ZA34
National Criminal History Improvement Program (``NCHIP'')
AGENCY: Department of Justice, Office of Justice Programs, Bureau of
Justice Statistics.
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 1996. The program implements
the grant provisions of the Brady Handgun Violence Prevention Act
(Brady Act), Pub. L. No. 103-159, 107 Stat. 1536 (1993), codified as
amended at 18 U.S.C. 921 et seq., the National Child Protection Act of
1993 (Child Protection Act), Pub. L. No. 103-209, 107 Stat. 2490
(1993), codified as amended at 42 U.S.C. 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. 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. 13701 et seq. which pertain to the
establishment, maintenance, or use of criminal history records and
criminal record systems.
Under NCHIP, States were asked to submit three year plans in FY
1995. Every State received an award in 1995. Most States received
partial funding last year. This program will provide additional funds
in FY 1996 to assist States in continuing implementation of their
multi-year programs and to address the Child Protection and National
Stalker and Domestic Violence Reduction initiatives authorized under
the new appropriation. Since the NCHIP program was designed as a multi-
year effort, 1996 applications will be less comprehensive than
applications in 1995. Applicants are encouraged to use portions of last
year's application when appropriate, or to reference the application by
topic and page number.
This program announcement describes procedures for awards which
will be made under the NCHIP program with FY 1996 funds. Awards may be
for up to 12 months. States will have the flexibility to begin
activities under the award as early as September 1, 1996 and as late as
the summer of 1997. Activities must be completed by June 1, 1998.
Updated guidelines governing use of Byrne Formula funds pursuant to
the 5% set-aside established under section 509 of the Omnibus Crime
Control and Safe Streets Act of 1968, as amended, were issued on
February 23, 1995 by the Bureau of Justice Assistance (BJA), in
consultation with BJS. The Byrne Guidelines should be considered
together with this program announcement in developing a State's program
to meet the goals of the Brady Act and the Child Protection Act.
DATES: Eligible states must submit applications on or before July 29,
1996.
ADDRESSES: Applications should be sent to Application Coordinator, the
Bureau of Justice Statistics, 633 Indiana Avenue, N.W., 11th Floor,
Washington, D.C. 20531.
FOR FURTHER INFORMATION CONTACT: Carol G. Kaplan, Chief, Criminal
History Improvement Programs, (202) 307-0759. The BJS fax number is
(202) 307-5846.
SUPPLEMENTARY INFORMATION:
The National Criminal History Improvement Program
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.
More specifically, NCHIP is designed to assist States:
To meet timetables for criminal history record
completeness and participation in the Federal Bureau of Investigations
(FBI) Interstate Identification Index (III) established for each State
by the Attorney General;
To improve the level of criminal history record
automation, accuracy, completeness, and flagging;
To expand and enhance participation in the FBI's III and
the National Instant Criminal Background Check System (NICS);
To develop and implement procedures for accessing records
of persons other than felons who are ineligible to purchase firearms;
To identify (through interface with the National Incident-
Based Reporting System [NIBRS] where necessary) records of crimes
involving use of a handgun and/or abuse of children, elderly, or
disabled persons;
To identify, classify, collect, and maintain (through
interface with the National Crime Information Center (NCIC) and the III
where necessary) protection orders, warrants, arrests, and convictions
of persons violating protection orders intended to protect victims of
stalking and domestic violence; and
To ensure that States develop the capability to monitor
and assess State progress in meeting legislative and programmatic
goals.
To ensure that all NCHIP-funded efforts support the development of
the national criminal record system, the program will be closely
coordinated with the FBI, BJA, and the Bureau of Alcohol, Tobacco and
Firearms (BATF).
Funding under the NCHIP program is available to both those States
which are subject to the 5-day waiting period (Brady States) and those
States which are operating under an alternative system pursuant to
approval of BATF (Brady Alternative States).
Legislative Background
Section 106(b) of the Brady Act, provides that:
The Attorney General, through the Bureau of Justice Statistics,
shall, subject to appropriations and with preference to States that
as of the date of enactment of this Act have the lowest percent
currency of case dispositions in computerized criminal history
files, make a grant to each State to be used (A) for the creation of
a computerized criminal history record system or improvement of an
existing system; (B) to improve accessibility to the national
instant criminal background system; and (C) upon establishment of
the national system, to assist the State in the transmittal of
criminal records to the national system.
The provisions of 18 U.S.C. 922 (g) and (n), as amended by the
Violent Crime Control Act, prohibit the sale of firearms to an
individual who--
(1) Is under indictment for, or has been convicted in any court, of
a crime punishable by imprisonment for a term exceeding one year;
(2) Is a fugitive from justice;
(3) Is an unlawful user of, or addicted to, any controlled
substance;
(4) Has been adjudicated as a mental defective or been committed to
a mental institution;
(5) Is an alien who is illegally or unlawfully in the United
States;
(6) Was discharged from the Armed Forces under dishonorable
conditions;
(7) Has renounced his United States citizenship; or
[[Page 26213]]
(8) Is subject to a court order restraining them from harassing,
stalking, or threatening an intimate partner or child.
The latter category was added as part of the Violent Crime Control
Act.
The Brady Act, enacted in November 1993 and effective in February
1994, requires that licensed firearm dealers request a presale check on
all potential handgun purchasers by the chief law enforcement officer
in the purchaser's residence community to determine, based on available
records, if the individual is legally prohibited from purchase of the
firearm under the provisions of 18 U.S.C. 922 or State law. The sale
may not be completed for 5 days unless the dealer receives an approval
before that time. The 5 day waiting period requirement terminates by
1998, at which time presale inquiries for all firearms will be made
only to the National Instant Criminal Background Check System (NICS).
Section 103 of the Brady Act provides that NICS will supply information
on ``whether receipt of a firearm * * * would violate (18 U.S.C. 922)
or State law.'' As noted above, section 106 (b) of the Brady Act
establishes a grant program to assist States in upgrading criminal
record systems and in improving access to, and, interface with, the
NICS system.
In addition, section 106 (a) of the Brady Act amended section 509
(d) of the Omnibus Act to specifically provide that funds from the 5%
set-aside under the Byrne Formula grant program may be spent for ``the
improvement of State record systems and the sharing * * * of records *
* * for the purposes of implementing * * * (the Brady Act).''
The Child Protection Act, as amended by the Violent Crime Control
Act, requires that records of abuse against children be transmitted to
the FBI's national record system. The Child Protection Act also
encourages States to adopt legislation requiring background checks on
individuals prior to assuming responsibility for care of children, the
elderly, or the disabled. Section 4 of the Act establishes a grant
program to assist States in upgrading records to meet the requirements
of the Act. Under the definition set forth in section 5 (3) of the Act,
``child abuse crimes'' include crimes under any law of the State and
are not limited to felonies.
Both the Brady and Child Protection Acts required the Attorney
General to survey the status of State criminal history records and
develop timetables for States to achieve complete and automated
records. The survey was conducted during March 1994, and Governors were
advised of timetables by the Attorney General in letters of May and
June 1994. The letters indicated that compliance with timetable goals
assumed availability of grant funds under each Act.
The National Stalker and Domestic Violence Reduction program
(Stalker Reduction), section 40602 of the Violence Against Women Act
(VAWA) Pub. L. No. 103-322, 108 Stat. 1902-1955 (1994), codified as
amended at 42 U.S.C. 14031 which was included in the Violent Crime
Control Act, authorized a program to assist States in entering data on
stalking and domestic violence into local, State, and national data-
bases. The Act emphasizes the importance of ensuring that data on
convictions for these crimes are included in databases being developed
with Federal funds.
Section 40606 of VAWA authorized technical assistance and training
in furtherance of the purposes of the Stalker Reduction program. This
section also allows for the evaluation of programs that receive funds
under this provision.
The NCHIP program implements the requirements of the programs
established in the Brady Act, Child Protection Act, and the Stalker
Reduction provision 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 three years for the Stalker Reduction program included in VAWA.
An appropriation of $100 million was made to implement section
106(b) of the Brady Act for FY 1995, to be available until expended. No
appropriation was made for Child Protection or Stalker Reduction
activities in FY 1995.
An appropriation of $25 million was made in FY 1996 to continue
implementation of section 106(b) of the Brady Act and to implement
section 4 (b) of the Child Protection Act. In addition, an
appropriation of $1.5 million was made in FY 1996 for Stalker
Reduction. In light of the overlap between Brady, Child Protection, and
Stalker Reduction goals, these appropriations are combined under NCHIP.
Program Strategy
The 1995 NCHIP program covered criminal history records
improvements. The 1996 program includes criminal history records
improvements and expands to incorporate serious misdemeanors against
children, the elderly, and the disabled, and improving access to
domestic violence protection orders.
The 1996 NCHIP program also permits funds to be used to assist
States in providing rapid, inexpensive, reliable background checks on
individuals who wish to work with sensitive populations. This will
include assisting States in identifying people who commit felony and
serious misdemeanor offenses against children, the elderly, and/or the
disabled. It also includes supporting background checks, and improving
access to domestic violence protection orders.
Consistent with section 40602, the Stalker Reduction program, BJS
is allowing funds to be used to help State and local governments
improve the process for classifying and entering data regarding
stalking and domestic violence into local, State, and national crime
information databases.
Application and Award Process
Eligibility Requirements
Only one application will be accepted from each State. The
application must be submitted by the agency previously designated by
the Governor or by a successor agency designated by the Governor in
writing to BJS. A State may, however, choose to submit its application
as part of a multi-state consortium or other entity. In such case, the
application should include a statement of commitment from each State
and be signed by an individual designated by the Governor of each
participating State. The application should also indicate specific
responsibilities, and include a separate budget, for each State. States
may receive successive awards over time, assuming availability of
funds.
A grant will be made to each State with funds from the 1996
appropriation. States other than ``priority States'' are eligible to
receive funds for criminal records improvement, Child Protection, and
Stalker Reduction activities. Priority States, which received three-
year awards in FY 1995 for criminal records improvements, should apply
for Child Protection and Stalker Reduction activities only.
States may submit an application even though funds remain
unexpended under the 1995 award. Applications must contain a start date
and end date which fall between September 1, 1996 and June 1, 1998. FY
1996 projects may overlap with FY 1995 projects or the projects may run
consecutively.
Program Narrative
In addition to the requirements set forth in Appendix A, the NCHIP
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application should include the following four parts:
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), and Criminal History Record
Improvements (CHRI) programs, and the BJA Byrne 5% set-aside or with
State funds over the past year. The discussion should specify the
amount of funds received under the BJS and Byrne programs and the funds
remaining at the time of application. The section should also briefly
describe accomplishments with these funds and the relationship to
proposed FY 1996 NCHIP activities.
Part II. Identification of Needs
This part should discuss any recent evaluative efforts undertaken
to identify the key areas of weakness in the State's criminal record
system. Applications should include a short discussion of the State's
ability to identify ineligible firearm purchasers, persons ineligible
to hold positions involving children, the elderly, or the disabled, and
data on protection orders and people wanted, arrested, or convicted of
stalking and/or domestic violence. Among other things, this section may
include areas that were either eligible for funds last year, but did
not receive funding, or that were not eligible for funds because of the
wording of the FY 1995 appropriation. Proposals described in your 1995
NCHIP application may be used or cited.
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 proceeding, how these activities relate
to efforts funded under the 1995 award, and the results that will be
achieved from 1996 funding.
Part III of the application should also describe any efforts to be
supported to monitor State compliance with legislative or programmatic
goals through ongoing audits or other means such as statistical
analysis, comparison between Computerized Criminal History (CCH)
records and NIBRS or Uniform Crime Reporting (UCR) data. Studies
relating to handgun use or sales approval, if proposed, should be
described in this section.
In furtherance of the Child Protection Act and the Stalker
Reduction program, up to $6.5 million of the funds appropriated in FY
1996 for Brady, Child Protection, and Stalker Reduction may go towards
the following Child Protection and Stalker Reduction activities:
Capturing domestic violence and/or stalking protection
orders;
Flagging of child abuse records and 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 to volunteers for background checks,
including development and implementation of technological and
procedural advances;
Improving processes for entering data regarding stalking
and domestic violence into local, State, and national crime information
data bases.
Section 4(b) of the Child Protection Act requires preference to be
given to States that have in computerized criminal history files the
lowest percentages of charges and dispositions of identifiable child
abuse cases as of December 20, 1993. In accordance with this section of
the Child Protection Act, the five ``priority States'' with the lowest
percentages of charges and dispositions in their computerized criminal
history files will be awarded a total of $1 million to be used for the
Child Protection and Stalker Reduction activities listed above.
Section 40602(b) of the Violent Crime Control Act states that in
order to be eligible to receive a grant under the Stalker Reduction
program, a State shall certify that it has or intends to establish a
program that enters into the National Crime Information Center the
following records:
Warrants for the arrest of persons violating protection
orders intended to protect victims from stalking or domestic violence;
Arrests or convictions of persons violating protection or
domestic violence orders; and
Protection orders for the protection of persons from
stalking or domestic violence.
The Bureau of Justice Statistics will coordinate the Stalker
Reduction portion of NCHIP with the Violence Against Women Office
(VAWO) at the Department of Justice.
Because funds are limited for FY 1996, not every State which
requests funds for Child Protection and/or Stalker Reduction activities
may receive funds for these purposes.
In light of the importance of complete and nationally accessible
criminal records for the NICS instant check, Child Protection
background checks, and to protect society against stalkers and domestic
violence offenders, BJS, in reviewing applications requesting funds for
Child Protection and Stalker Reduction tasks, will consider the extent
to which the State has progressed in developing its State criminal
records system and taken steps to achieve participation in the national
system.
In order to permit assessment of State progress in meeting grant
goals, Part III of all applications should set forth measurable
benchmarks or goals for each proposed activity.
Part IV. Coordination Between NCHIP and the Byrne 5% Set-Aside Program
Funds under the Byrne Formula 5% set-aside program are available to
support the improvement of record systems and to meet the goals of the
Brady and Child Protection Acts.
The Bureau of Justice Statistics and the Bureau of Justice
Assistance have jointly agreed that close and continuing coordination
between the NCHIP and Byrne 5% set-aside program is critical to meeting
the goals of the Brady Act, and the National Child Protection Act. Such
coordinated efforts are also necessary to ensure the development of an
effective interstate criminal history record system to meet the needs
of law enforcement, the criminal justice community and the increasing
number of non-criminal justice users of criminal history record
information. To achieve this goal, BJS and BJA prepared Guidelines
governing use of the Byrne 5% set-aside funds. The Guidelines were
issued February 23, 1995, to State Administrative Agencies that receive
and distribute Byrne formula grant funds.
BJS expects that program plans for projects to be funded under
NCHIP and the Byrne 5% set-aside will be coordinated by the State
agencies responsible for these programs in order to avoid overlap and
maximize funding effectiveness. Where costs of a proposed activity
exceed NCHIP available funds or are unallowable under NCHIP, the State
might, for example, use Byrne funds to fill remaining needs. This joint
effort, we believe, will maximize the effectiveness of both of these
programs.
Award Period
The application may be for up to 12 months. States will have the
flexibility to begin activities under the award as early as September
1, 1996 and as late as the summer of 1997. Activities must be completed
by June 1, 1998. The budget should provide details for expenses in
required categories and by individual task (see Appendix A, Application
content). The application
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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 July 29, 1996, to be
eligible for FY 1996 funding.
States that submitted applications with multiple year budgets for
FY 1995 NCHIP funds and received funding for the first year (extended
to two years on February 8, 1996), may re-submit the parts of their
proposals which did not receive funds in 1995.
Allocation of Funds
All fifty States, including the District of Columbia, Puerto Rico,
American Samoa, and Guam, received NCHIP FY 1995 awards. Certain III
States received ASAP FY 1995 awards to assist in the identification of
persons other than felons who are prohibited from purchasing firearms.
Funds may be available in future years to implement those activities.
Awards under this program announcement may be made from the Brady,
Child Protection, and Stalker Reduction appropriations, and from
residual FY 1995 funds. The 1996 appropriation is 26.5 percent of the
FY 1995 amount. Up to $6.5 million will go for Child Protection and
Stalker Reduction activities.
Review Criteria
States should understand that full funding may not be possible for
all proposed activities. Allocation of funds will be based on the
amount requested and the following factors:
(1) The extent to which the proposed activities will enable the
State to meet the timetables established for the State by the Attorney
General;
(2) The extent to which improvements in the State system, by virtue
of record numbers, levels of technical development, or operating
procedures, will have a major impact on availability of records
throughout the national system;
(3) The proposed use or enhancement of innovative procedures which
may be of value to other jurisdictions;
(4) The technical feasibility of the proposal and the extent to
which the proposal appears reasonable in light of the State's current
level of system development and statutory framework;
(5) Amount awarded under FY 1995 NCHIP program, including whether
the State received funds as a priority State;
(6) Prior activity of the State with funds under the NCHIP, ASAP,
Byrne, and CHRI programs;
(7) State commitment to the national record system as evidenced by
membership in III, and participation in the FBI's National Fingerprint
File (NFF), Felon Identification in Firearms Sales (FIFS) programs,
etc., and the current status of development of its CCH;
(8) Reasonableness of the budget;
(9) Evidence of State progress in meeting record improvement and
background check goals as measured in terms of audits, and data
collection relating to presale firearm checks and background checks on
persons seeking positions involving children, the aged and the
disabled;
(10) Appropriate focus on criminal history data improvement
regarding protection orders and crimes against children, the elderly,
and the disabled;
(11) Documentation of a program or intention to establish a system
to enter protection orders, and warrants, arrests, and convictions of
people violating protection orders intended to protect victims from
stalking or domestic violence (for States applying for Stalker
Reduction activities);
(12) Nature of the proposed expenditures;
(13) The extent to which the plan reflects constructive interface
between relevant components of the State organization and/or multi-
state systems; and
(14) 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 (FIST)
program in the format designated by the FIST program.
Allowable Costs
Allowable expenses are detailed below. All expenses are allowable
only to the extent that they directly relate to programs described in
the application's program narrative.
(1) Participation in III: This is a key goal, and costs should be
related to achieving full participation. Covered costs include, but are
not limited to, costs associated with automation of the database (see
limitations in (4) below), synchronization of records between State and
FBI, and development of necessary software and hardware enabling
electronic access on an intrastate or interstate basis.
(2) Database enhancement: Improving the quality, completeness and
accuracy of criminal history records is a key goal of the NCHIP effort.
Allowable costs include the costs associated with implementing improved
record capture procedures, establishing more effective accuracy
controls, and ensuring that records of all criminal events that start
with an arrest or indictment are included in the database. In addition
to felony records, limited funds may be used to capture data on serious
misdemeanors, and to ensure that data on persons wanted, arrested, and
convicted of stalking and/or domestic abuse are included in the
database. Use of funds for capture of data on misdemeanors and persons
convicted of stalking will only be approved where the state has, or is
actively undertaking efforts to upgrade, the basic elements of the
criminal history record system.
(3) Improved disposition capture: Automated interface between the
criminal history repository and the courts, prosecutors, and/or
corrections agencies is encouraged. Funds provided to courts or
prosecutors for these purposes are allowable only to the extent that
the function to be supported is related to the capture of disposition
or other data relating to the offender record (for example, full costs
associated with establishment of court MIS systems are not allowable
under the NCHIP program).
(4) Record automation: These are allowable costs only with respect
to records where the subject has been arrested, indicted, convicted, or
released from confinement within 5 years of the date of automation. As
appropriate, allowable costs also include costs associated with system
design in States with non-automated systems or in States proposing to
enhance system operation to include access to non-CCH databases.
(5) Flagging of records: Upgrading the accessibility of records,
through flagging, for presale and preemployment checks is an important
activity. Allowable costs include costs of flagging, or algorithms used
for flagging, felony records and records of persons with convictions
for crimes involving children, the elderly, and/or the disabled, and
persons convicted of crimes involving domestic violence and/or
stalking. Costs may include the cost of technical record flagging as
well as the costs associated with
[[Page 26216]]
identification of records to be flagged (see (7) below regarding
interface with NIBRS).
(6) AFIS/livescan: Automated Fingerprint Identification System
(AFIS)/livescan equipment for local law enforcement agencies is
allowable to improve the level of arrest and disposition reporting, but
only where--
(1) The State repository system is automated, participating or
looking toward participation in III, and has in place the technical
capability to accept AFIS transmissions, and
(2) Sufficient traffic can be demonstrated to justify the cost,
possibly through the use of regional systems.
AFIS/livescan in squad cars is not allowable since field inquiries
are not a factor in checks under either the Brady Act or the Child
Protection Act. Additionally, since data are not generally input to the
system by the field unit, AFIS in the squad car would not support
record improvement or completeness. AFIS/livescan for use in courts is
allowable to support record completeness. The same conditions regarding
repository capability and levels of traffic are also applicable to
costs in this category.
Costs associated with AFIS/livescan communication from the
repository to the FBI national system (IAFIS) are allowable but only
where the State can demonstrate adequate levels of record completeness
(both arrest and disposition) and current membership in III.
States should understand that Byrne 5% set-aside funds are
available for AFIS/livescan, and that, accordingly, use of NCHIP funds
for AFIS or livescan will only be allowable when justified as
appropriate given the overall status of the State system, its
participation in the national system and its planned use of Byrne 5%
set-aside funds. This is particularly relevant with respect to State
proposals to use NCHIP funds to cover costs of local livescan
equipment.
(7) Interface with NIBRS: Funds may be used to interface with any
State data system which is compatible with NIBRS for purposes of
identifying persons convicted of crimes against children, the elderly,
or the disabled, involving domestic violence and/or stalking, and/or
identification of records involving firearm crimes for operational or
research purposes. NCHIP funds are not available, however, to develop
the NIBRS database.
(8) Research, evaluation, monitoring, and audits: Costs associated
with research or evaluation efforts are allowable to the extent that
they are directly associated with a project approved in the
application. Costs associated with monitoring State compliance with
legislative or programmatic goals, through ongoing or periodic audits
or other procedures, are allowable and encouraged. The purchase of
equipment such as modems and the necessary communications and data
software for storing and transmitting evaluative data between States
and to BJS or other designated federal agencies is an allowable
expense.
(9) Conversion of juvenile records to the adult system: The
Attorney General has recently amended Federal Regulations to allow the
FBI to accept juvenile records if submitted by the State or local
arresting agency. Expenditures to interface juvenile and adult records
are allowable if consistent with relevant State law and undertaken to
further the goals of the NCHIP program.
(10) Missing dispositions backlog reduction: These costs are
allowable to improve the level of disposition reporting but only where
limited to records with arrests within the past 5 years. States must
also propose a strategy to prevent future backlogs from developing.
(11) Equipment upgrades: Upgrade costs are allowable where related
to improving availability of data and where appropriate given the level
of data completeness, participation in III, etc. Replacement costs will
be considered but States are encouraged to contribute some portion of
the total costs.
(12) Training, participation in seminars and meetings: Limited
funds may be used to cover costs of training and participation in
State, regional, or national seminars or conferences (including travel,
where necessary).
(13) Expenditures related to presale handgun background checks:
Funds are allowable to cover costs incurred by a governmental agency
for equipment or development of capability required to conduct presale
background checks. This ``governmental agency'' limitation may be
waived in a very limited number of cases where the State has
implemented a functioning background check system and can demonstrate
that the vast preponderance of inquiries are made by a limited number
of dealers, that technical and procedural safeguards have been
established to protect the privacy of potential purchasers, and that
the equipment to be provided to dealers would be of use for operation
under the permanent system. Waivers will only be considered in States
which are participants in III and which have achieved high levels of
automation and record completeness. NCHIP funds may not be used to
cover costs of conducting presale background checks.
(14) Reducing cost of background checks: States may use funds to
develop and implement technologies that lower costs of conducting
background checks. These funds may also be used to pay all or part of
the cost to the State of conducting background checks on persons who
are employed by or volunteer with a public, not-for-profit, or other
voluntary organization to reduce the amount of fees charged for such
background checks.
The Bureau of Justice Statistics is conducting parallel efforts to
develop standard definitions of domestic violence and child abuse.
States proposing to use funds for flagging or to interface with NIBRS
to identify convictions for domestic violence and/or stalking, domestic
violence protection orders, or crimes against children must coordinate
their efforts with BJS.
Appendix A--Application and Administrative Requirements
Application Content
All applicants must submit:
* Standard Form 424, Application for Federal Assistance
* Standard Form 424A, Budget Information
* OJP Form 4000/3 (Rev. 1-93), Program Narrative and Assurances
* OJP Form 4061/6 Certifications
* OJP Form 7120/1 (Rev. 1-93), Accounting System and Financial
Capability Questionnaire (to be submitted by applicants who have not
previously received Federal funds).
Applicants are requested to submit an original and two copies of
the application and certifications to the following address:
Application Coordinator, Bureau of Justice Statistics, 633 Indiana
Avenue, NW, Washington, DC 20531, Phone: (202) 616-3500.
Standard Form 424 (SF-424). The SF-424, a one page sheet with 18
items, serves as a cover sheet for the entire application. This form is
required for every application for Federal assistance. No application
can be accepted without a completed, signed original SF-424. Directions
to complete each item are included on the back of the form.
Standard Form 424A (SF-424A). All applications must include SF-
424A, Budget Information for all years of project activity. Applicants
should ensure that all appropriate columns and rows balance. Directions
to complete this form are found on page 3 of SF-424A.
Detailed budget. Applicants must provide a detailed justification
for all
[[Page 26217]]
costs including the basis for computation of these costs. For example,
the detailed budget would include the salaries of staff involved in the
project and the portion of those salaries to be paid from the award;
fringe benefits paid to each staff person; travel costs related to the
project; equipment to be purchased with the award funds; and supplies
required to complete the project.
Budget narrative. The budget narrative closely follows the content
of the detailed budget. The narrative should relate the items budgeted
to specific tasks and allowable cost categories and should provide a
justification and explanation for the budgeted items including the
criteria and data used to arrive at the estimates for each budget
category. Please note applications that include noncompetitive
contracts for the provision of specific services must contain a sole
source justification for any procurement in excess of $100,000.
The budget narrative should indicate amounts to be made available
to agencies other than the grant recipient (for example, the agency
with responsibility for CCH, the courts, local agencies.)
Applicants for grants must submit a budget narrative on separate
sheets. The budget narrative should detail by budget category for
Federal and non-Federal (in-kind and cash) share. The purpose of the
budget narrative is to relate items budgeted to project activities and
to provide justification and explanation for budget items, including
criteria and data used to arrive at the estimates for each budget
category. The following information is provided to assist the applicant
in developing the budget narrative.
a. Personnel Category. List each position by title (and name of
employee if available), show annual salary rate and percentage of time
to be devoted to the project by the employee. Compensation paid for
employees engaged in Federally-assisted activities must be consistent
with that paid for similar work in other activities of the applicant.
b. Fringe Benefits Category. Indicate each type of benefit included
and explain how the total cost allowable for employees assigned to the
project is computed.
c. Travel Category. Itemize travel expenses of project personnel by
purpose (e.g., faculty to training site, field interviews, advisory
group meetings, etc.) and show basis or computation (e.g., ``Five trips
for `x' purpose at $80 average cost--$50 transportation and two days
per diem at $15'' or ``Six people to 30 day meeting at $70
transportation and $45 subsistence.''). In training projects where
travel and subsistence for trainees is included, this should be
separately listed indicating the number of trainees and the unit costs
involved.
(1) Identify the tentative location of all training sessions,
meetings, and other travel.
(2) Applicants should consult such references as the Official
Airline Guide and the Hotel and Motel Redbook in projecting travel
costs to obtain competitive rates.
d. Equipment. List each type of equipment to be purchased or rented
with unit or monthly costs.
e. Supplies. List items within this category by major type (office
supplies, training materials, research forms, postage) and show basis
for computation. Provide unit or monthly estimates.
f. Contractual Category. State the selection basis for any contract
or subcontract or prospective contract or subcontract (including
construction services and equipment).
For individuals to be reimbursed for personal services on a fee
basis, list by name or type of consultant or service the proposed fee
(by day, week, or hour) and the amounts of time to be devoted to such
services.
For construction contracts and organization (including professional
associations and education institutions performing professional
services), indicate the type of service to be performed and the
estimated contract cost data.
g. Construction Category. Describe construction or renovation which
will be accomplished using grant funds and the method used to calculate
cost.
h. Other Category. Include under ``other'' such items as rent,
reproduction, telephone, and janitorial or security services. List
items by major type with basis of computation shown. (Provide square
footage and cost per square foot for rent--provide local and long
distance telephone charges separately.)
i. Indirect Charges Category. The Agency may accept an indirect
cost rate previously approved for an applicant by a Federal agency.
Applicants must enclose a copy of the approved rate agreement with the
grant application.
j. Program Income. If applicable, provide a detailed estimate of
the amount of program income to be generated during the grant period
and its proposed application (to reduce the cost of the project or to
increase the scope of the project). Also, describe the source of
program income, listing the rental rates to be obtained, sale prices of
publications supported by grant funds, and registration fees charged
for particular sessions. If scholarships (covering, for example,
registration fees) are awarded by the organization to certain
conference attendees, the application should identify the percentage of
all attendees that are projected as ``scholarship'' cases and the
precise criteria for their selection.
Program narrative. All applications must include a program
narrative which fully describes the expected design and implementation
of the proposed program. OJP Form 4000/3 (Rev. 1-93) provides
additional detailed instructions for preparing the program narrative.
The narrative should include a time line of activities indicating,
for each proposed activity, the projected duration of the activity,
expected completion date, and any products expected.
The application should include a description of the roles and
responsibilities of key organizational and/or functional components
involved in project activities; and a list of key personnel responsible
for managing and implementing the major elements of the program.
Assurances. OJP Form 4000/3 (Rev 1-93) must be included in the
application submission. If submitting this form separate from the SF-
424, the applicant must sign and date the form to certify compliance
with the Federal statutes, regulations, and requirements as cited.
Certification Regarding Lobbying; Debarment, Suspension, and Other
Responsibility Matters; and Drug-Free Workplace. Applicants should
refer to the regulations cited in OJP Form, 4061/6 to determine the
certification to which they are required to attest. A copy of OJP Form
4061/6 can be obtained from the BJS Application Coordinator. Applicants
should also review the instructions for certification included in the
regulations before completing this form. Signature of this form
provides for compliance with certification requirements under 28 C.F.R.
part 69, ``New Restrictions on Lobbying,'' and 28 CFR part 67,
``Government-wide Debarment and Suspension (Nonprocurement) and
Government-wide Requirements for Drug-Free Workplace (Grants).'' The
certifications shall be treated as a material representation of fact
upon which reliance will be placed when the U.S. Department of Justice
determines to award the covered transaction, grant, or cooperative
agreement.
[[Page 26218]]
Financial and Administrative Requirements
Discretionary grants are governed by the provisions of OMB
Circulars applicable to financial assistance. The circulars, with
additional information and guidance, are contained in the ``Financial
and Administrative Guide for Grants,'' Office of Justice Programs,
Guideline Manual, M7100, available from the Office of Justice Programs.
This guideline manual, provided upon request, is intended to assist
grantees in the administration of funds and includes information on
allowable costs, methods of payment, Federal rights of access to
records, audit requirements, accounting systems, and financial records.
Complete and accurate information is required relative to the
application, expenditure of funds, and program performance. The
consequences of failure to comply with program guidelines and
requirements will be determined at the discretion of the Department.
Civil Rights Obligations
All applicants for Federal financial assistance must sign Certified
Assurances that they are in compliance with the Federal laws and
regulations which prohibit discrimination in any program or activity
that receives such Federal funds. Section 809(c), Omnibus Crime Control
& Safe Streets Act of 1968, provides that:
No person in any State shall on the ground of race, color,
religion, national origin, or sex be excluded from participation in, be
denied the benefits of, or be subjected to discrimination under, or
denied employment in connection with any program or activity funded in
whole or in part with funds made available under this title.
Section 504 of the Rehabilitation Act of 1973, and Title II of the
Americans With Disabilities Act prohibit discrimination on the basis of
disability. The applicant agency must discuss how it will ensure
nondiscriminatory practices as they relate to:
(1) Delivery of services or benefits--to ensure that individuals
will not be denied access to services or benefits under the program or
activity on the basis of race, color, religion, national origin,
gender, age, or disability;
(2) Employment practices--to ensure that its personnel in the
program or activity are selected for employment without regard to race,
color, religion, national origin, gender, age, or disability; and
(3) Program participation--to ensure members of any planning,
steering or advisory board, which is an integral part of the program or
activity, are not excluded from participation on the basis of race,
color, religion, national origin, gender, age or disability; and to
encourage the selection of such members who are reflective of the
diversity in the community to be served.
Audit Requirement
In October 1984, Congress passed the Single Audit Act of 1984. On
April 12, 1985, the Office of Management and Budget issued Circular A-
128, ``Audits of State and Local Governments'' which establishes
regulations to implement the Act. OMB Circular A-128, ``Audits of State
and Local Governments,'' outlines the requirements for organizational
audits which apply to BJS grantees.
Disclosure of Federal Participation
Section 8136 of the Department of Defense Appropriations Act
(Stevens Amendment), enacted in October 1988, requires that, ``when
issuing statements, press releases for proposals, bid solicitations,
and other documents describing projects or programs funded in whole or
in part with Federal money, all grantees receiving Federal funds,
including but not limited to State and local governments, shall clearly
state (1) the percentage of the total cost of the program or project
which will be financed with Federal money, and (2) the dollar amount of
Federal funds for the project or program.''
Intergovernmental Review of Federal Programs
Federal Executive Order 12372, ``Intergovernmental Review of
Federal Programs,'' allows States to establish a process for reviewing
Federal programs in the State, to choose which programs they wish to
review, to conduct such reviews, and to make their views known to the
funding Federal agency through a State ``single point of contact.''
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. 96-13091 Filed 5-23-96; 8:45 am]
BILLING CODE 4410-18-P
