Department of Justice Office of Justice Programs Bureau of Justice Statistics National Criminal History Improvement Program: Fiscal Year 1999 Program Announcement February 1999, NCJ 175033 Jan M. Chaiken, Ph.D. Director This announcement is one in a series. More recent announcements may be available. To view a list of all in the series go to NCHIP page at http://www.ojp.usdoj.gov/bjs/nchip.htm#announcement Contents Summary 1 Program priorities 2 Program goals 3 Appropriation 4 Application and award process 4 Allowable costs 8 Appendix A. Application and administrative requirements 15 Foreword Since 1995, the National Criminal History Improvement Program (NCHIP) has helped States join with the Federal Bureau of Investigation (FBI) to build an accurate and useful national system of criminal records. Interstate availability of complete computerized criminal records is increasingly vital for criminal investigations, prosecutorial charging, sentencing decisions, correctional supervision and release, community notification, and background checks for those applying for licenses, handgun purchases, and work involving the safety and well-being of children, the elderly, and the disabled. Starting in 1998, BJS has also, under its NCHIP program, assisted States to establish sex offender registries which interface with the FBI's National Sex Offender Registry file so that State registry information on sex offenders can be obtained and tracked from one jurisdiction to another. The effective operation of these registries will go far to ensure the safety of the people in the Nation. Administered by the Bureau of Justice Statistics, NCHIP is an umbrella program to assist States in meeting evolving requirements concerning criminal histories and related records such as protection orders and sex offender registries. The program began with $100 million appropriated in 1995 under the Brady Handgun Violence Prevention Act. To date, over $200 million has been made available in direct awards to every State, the District of Columbia, and eligible territories for improving their criminal history record systems. Another $6 million was transferred to the FBI to help support its work in building the National Instant Criminal Background Check System (NICS). Almost $25 million was awarded in support of State sex offender registries under the NSOR-AP program which is a component of NCHIP. The FY 1999 Program Announcement covers both those activities formerly funded under the basic NCHIP program relating to criminal record improvement and activities previously funded under the NSOR-AP program relating to sex offender registries. A single appropriation of $45 million was made in FY 1999 to cover both program areas. To simplify State workload, States may submit a single application to cover funding in both activity areas. The 1998 NCHIP announcement placed particular emphasis on ensuring that State criminal history records are complete and accessible. Since the efficacy of the National Instant Criminal Background Check System (NICS), which became operational to provide instant background checks for potential firearm purchasers in November 1998 under the Brady Act, depends on the extent to which records are instantly available for interstate exchange, participation in the Interstate Identification Index (III) is also a program priority. The program also requires that States focus on efforts that require participation in the FBI's Protection Order File and the FBI's Sex Offender Registry, and that particular attention be given to the important role played by the courts in ensuring that disposition data are available to the record system. Jan M. Chaiken, Ph.D. Director, Bureau of Justice Statistics 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 1999. Copies of this announcement can also be found on the Internet at http://www.ojp.usdoj.gov/bjs/. To the extent that appropriations are made available, the program implements the grant provisions of-- the Brady Handgun Violence Prevention Act (Brady Act), Pub. L. No. 103159, 107 Stat. 1536 (1993), codified as amended at 18 U.S.C. Sections 921 et seq.; the National Child Protection Act of 1993 (NCPA), Pub. L. No. 103209, 107 Stat. 2490 (1993), codified as amended at 42 U.S.C. Sections 3759, 5101 note, 5119, 5119a, 5119b, 5119c; those provisions of the Omnibus Crime Control and Safe Streets Act of 1968 (Omnibus Act), Pub. L. No. 90-351, 82 Stat. 197 (1968), codified as amended at 42 U.S.C. Sections 3711 et seq., as amended; and the Violent Crime Control and Law Enforcement Act of 1994 (Violent Crime Control Act), Pub. L. No. 103-322, 108 Stat. 1796 (1994), codified as amended at 42 U.S.C. Sections 13701 et seq., which pertain to the establishment, maintenance, analysis, or use of criminal history records and criminal record systems; relevant requirements of the Jacob Wetterling Crimes Against Children and Sexually Violent Offender Registration Act, Megan's Law, and the Pam Lychner Sexual Offender Tracking and Identification Act; the Crime Identification Technology Act of 1998, Pub. L. No. 105-251, which pertains to the development of information and identification technologies and systems; and related laws pertaining to the identification, collection, analysis and interstate exchange of records relating to domestic violence and stalking (including protection orders) and to the establishment of sexual offender registries and exchange of data between them. The NCHIP Program to date. The BJS NCHIP program was initiated in 1995 as an umbrella program encompassing evolving efforts to support State activities relating to the establishment of records systems and the collection and use of criminal history and related records. During Fiscal Years 1995, 1996, 1997, and 1998, direct awards under the basic NCHIP program (including awards to "priority" States and awards under the Advanced State Award program (ASAP)) totaled over $200 million, from the total appropriation of $225.75 million. In addition, $6 million was transferred to the FBI for implementation of the National Instant Criminal Background Check System (NICS) and about $9 million was awarded to provide direct technical assistance to States, to evaluate the program, and to collect statistics and research data on presale firearm programs. In FY 1998, BJS established the National Sex Offender Registry Assistance Program (NSOR-AP) as a component of NCHIP. The goal of the NSOR-AP program was to assist States in upgrading sex offender registries consistent with Federal and State standards and providing data to the FBI Sex Offender Registry. The appropriation for this program was $25 million. All but two States received funds under the NSOR-AP. To date, all States have received funds under the NCHIP program. To date, approximately $14 million has been awarded to States for purposes relating to offenses against children, the elderly and the disabled, and for collection of data on stalking and domestic abuse, including protection orders and violations thereof. The FY 1999 program. A total of $45 million was appropriated in FY 1999 to cover all NCHIP activities, including activities previously funded separately under NSOR-AP. To minimize State efforts, a single application may be submitted at the State's option (for details, see "Application and award process" section, below). Program priorities Commitment to full implementation of the National Instant Criminal Background Check System (NICS) Consistent with the Brady Act requirement, the FBI's National Instant Criminal Background Check System (NICS) became operational in November 1998. The NICS is a national system which provides instant background checks to determine if a potential firearm purchaser is a convicted felon or otherwise prohibited from purchasing a firearm under Federal or State statute. The effectiveness of NICS will depend on the extent to which the most accurate and complete records of Federal and State criminal offenses and records in other prohibiting categories are instantly available in response to inquiries from firearms dealers. Under the NICS configuration, States are encouraged to serve as a "Point of Contact" (POC) interfacing between firearm dealers and the FBI's national record system. Where the State is a POC, firearm dealers will receive instant access to-- (1) the most complete and up-to-date State criminal records, (2) State-held records of noncriminal factors that prohibit firearm purchase, and (3) State personnel who can best interpret records and their modifications. In support of the NICS, NCHIP funds may be used to cover costs associated with the purchase of equipment, development of software, training, and other listed costs associated with participating in the NICS. States are encouraged to apply NCHIP funds to improve or ameliorate any problem that is delaying instant responses to Federal Firearm Licensee (FFL) inquiries (for details, see "Allowable costs," below). The Brady Act also allows States to meet their presale firearm check requirements through an Alcohol Tobacco and Firearms (ATF)-approved permit system. To assist States following this procedure, NCHIP funds may be used to cover costs associated with development and implementation of procedures that will meet ATF requirements for a permit system to be approved as an alternative to instant checks at the time of sale. . Commitment to participation in the Interstate Identification Index (III) Participation by all States in the Interstate Identification Index (III) is critical to ensuring that the most accurate and complete criminal records are available instantly not only for NICS presale firearm checks, but also for background check inquiries regarding persons seeking positions involving national security; persons with responsibility for children, the elderly or the disabled, and other authorized purposes. Instant interstate availability of complete records is also vital to supporting effective law enforcement strategies involving pretrial release, determinate sentencing, and correctional assignment. At present, 39 States participate in III. The NCHIP FY 1997 and 1998 program announcements emphasized the BJS commitment to full State participation in the FBI's Interstate Identification Index (III). In light of the importance of III participation, BJS has again identified III participation as a priority goal of the NCHIP program and requires States that are not currently III members to identify problems precluding participation and to focus 1999 NCHIP funds on activities that further this goal. Commitment to support court efforts relating to development of record systems Recent laws establishing requirements for instant background checks for firearms sales and background checks in connection with positions of responsibility with children, the elderly and the disabled have emphasized the importance of computerized data records being complete with dispositions. Moreover, other statutes have highlighted the importance of immediate statewide and interstate access to protection orders related to domestic violence. These requirements can only be met if information initially developed by the courts is available on a complete and immediate basis. BJS is committed to recognizing the importance of the courts in all of these efforts, and applicants should ensure that in developing NCHIP operational and funding plans, adequate attention is directed at the role and needs of the courts. Program goals The goal of the NCHIP award program is to improve the Nation's public safety by enhancing the quality, completeness and accessibility of the Nation's criminal history and sex offender record systems and the extent to which such records can be used and analyzed for criminal justice and authorized noncriminal justice purposes. Specifically, NCHIP assists States-- to establish programs and systems to facilitate full participation in the Interstate Identification Index of the National Crime Information Center (NCIC); to implement systems to facilitate full participation in any compact relating to the Interstate Identification Index of the NCIC; to develop systems to facilitate full participation in the National Instant Criminal Background Check System (NICS); to establish programs to support availability of criminal record data for authorized noncriminal justice purposes including background checks on persons with responsibility for children, the elderly, or the disabled; to ensure that noncriminal history record information systems relevant to firearms eligibility determinations become available and accessible to the NICS; to improve the level of automation, accuracy, completeness, and flagging of adult and juvenile records, including arrest and disposition reporting; to implement and upgrade Automated Fingerprint Identification Systems (AFIS) and to purchase supporting livescan equipment; to support the development of accurate and complete State sex offender identification and registration systems which interface with the FBI's Sex Offender Registry and meet applicable Federal and State requirements; to identify, classify, collect, and maintain records of protection orders, warrants, arrests, and convictions of persons violating protection orders so as to protect victims of stalking and domestic violence; to identify (through interface with the National Incident-Based Reporting System [NIBRS] where necessary) records of crimes involving use of a handgun and/or abuse of children, the elderly, or disabled persons; to participate in systems integration plans which permit interface of systems operated by different criminal justice components; to support court-based criminal justice information systems that promote reporting of dispositions; to establish domestic violence offender identification and information systems; to ensure that States develop the capability to monitor and assess State progress in meeting legislative and programmatic goals; and, to ensure that criminal justice systems are designed, implemented, or upgraded to be Year-2000 compliant, and, where applicable, compatible with NIBRS, NCIC 2000, NICS, IAFIS, and applicable statewide or regional criminal justice information sharing standards and plans. Appropriation The 1999 NCHIP appropriation encompasses both criminal history records improvement and funds to assist States in establishing and upgrading sex offender registry systems and in interfacing with the FBI Sex Offender Registry. The appropriation was $45 million. Application and award process Eligibility requirements Applications may only be submitted by the agency designated by the Governor to administer the project(s). To minimize State paperwork, States may opt (and are encouraged) to submit a single application covering activities formerly funded under both the basic NCHIP (criminal history record improvement) and NSOR-AP programs. Current records indicate that the same agency has been designated by the Governor to administer both the NCHIP and NSOR-AP programs in 43 States and the District of Columbia. In States submitting a single application, the application should describe separately the activities under both program areas, consistent with funding requirements described in the "Allowable costs" section below. Where different agencies have been designated, a single application may also be submitted, indicating approval by the authorized official in both agencies. States may also opt to request designation by the Governor of one of the two currently authorized agencies. In such case, the Governor should designate one agency as the lead agency with a transfer of funds, accomplished through an inter-agency agreement after an award is made, to the subordinate agency. Where a State opts to submit separate applications from different designated agencies, the application must include a discussion of intrastate program coordination. States may also choose to submit applications as part of a multistate consortium or other entity. In such case, the application should include a statement of commitment from each State and be signed by an individual designated by the Governor of each participating State. The application should also indicate specific responsibilities and include a separate budget for each State. An award will be made to each eligible applicant State with funds from the FY 1999 appropriation. States may submit an application even though funds remain unexpended under the previous NCHIP or NSOR Awards. In such a case, the application should describe the efforts undertaken to date under the 1998 NSOR-AP award or the other cumulative NCHIP awards, the specific reasons that funds remain unexpended, and the anticipated time when funds will be expended. FY 1999 projects may overlap with FY 1998 projects or the projects may run consecutively. Program narrative In addition to the requirements set forth in Appendix A, the NCHIP application should include the following four parts. States may, at their option, satisfy requirements noted below by referencing or summarizing previous applications. Additionally, States in which the applicant agency is the same under the BJS NCHIP and Bureau of Justice Assistance (BJA) State Identification Systems (SIS) program may also choose to submit duplicate material to BJS and BJA under Part I (Background) and Part II (Identification of Needs), below. Part I. Background This section should include a short update of current efforts relating to criminal history record improvement and sex offender registry development within the States. References should be made to efforts supported under NCHIP, NSOR-AP, and other Federal or State funded programs, including activity relating to State integration. This section should specifically describe the status of State participation in the NICS, the III, and the FBI's Sex Offender Registry and Protection Order File System. Part II. Identification of needs . This part should discuss any evaluative efforts undertaken to identify the key areas of weakness in the State's criminal record system or sex offender registry since submission of previous NCHIP applications. States that are not members of III at the time of application must include a section identifying the tasks remaining to permit III participation. This section must specifically state whether funding already available is adequate for the State to participate in III and the planned month and year of participation in III. If funding already available is not adequate, the State is expected to apply for NCHIP funding that will permit the State to participate in III. States not submitting data to the FBI's Sex Offender Registry or Protection Order File must identify tasks and are expected to allocate resources toward these goals. Part III. 1999 effort This section should describe the activities to be undertaken with NCHIP funds over the project period. Specifically, each application should indicate the activities proposed, how these activities relate to efforts funded under the previous awards, and the results that will be achieved from FY 1999 funding. In order to permit assessment of State progress in meeting program goals, this section should also set forth measurable benchmarks or goals for each proposed activity. Part III of the application should also describe any efforts to be supported to monitor State compliance with legislative or programmatic goals through ongoing audits or other means such as statistical analysis or comparison between computerized criminal history records and National Incident-Based Reporting System (NIBRS) or Uniform Crime Reporting (UCR) data. Studies relating to handgun use or sales approval, if proposed, should be described in this section. In addition, to ensure program continuity and emphasize the importance of judicial efforts in meeting newly established record requirements, the application should indicate the level of funds that will be made directly available to the courts, where the courts are the appropriate source for data on dispositions or other record data. If the application does not propose any direct funding to the courts, the application must either demon-strate that the State's computer-readable criminal history records are complete with dispositions or specify how the proposed activities will resolve existing deficiencies in timely electronic access to disposition information. The application should also describe the extent to which proposed activities will support the design, implementation, or upgrade of criminal justice information systems so as to ensure Year-2000 compliance and compatibility with the NIBRS, NCIC 2000, NICS, IAFIS, and other applicable statewide or regional criminal justice information sharing standards or plans. Part IV. Allocation of 1999 appropriation The 1999 appropriation covers both NCHIP and NSOR. States may apply for up to $200K for purposes related to the State sex offender registry and interface with the FBI's Sex Offender Registry. States which are already fully participating in the FBI system and are capable of participating in the permanent system may apply for all or a part of these funds to be directed toward other allowable NCHIP purposes. States which will be capable of participating in the FBI permanent system, but are not currently participating in the interim system, may apply for such fund redirection provided that such redirection is justified and consistent with the States' progress toward such participation. Where States apply to redirect funds and the State Sex Offender Registry is administered by an agency other than the submitting agency, the applicant must demonstrate concurrence in such redirection by the agency administering the Registry. In allocating funds within the State, States should take into consideration the fact that some expenditures may benefit both program efforts. Part V. Coordination The Bureau of Justice Statistics and the Bureau of Justice Assistance have jointly agreed that close and continuing coordination between the NCHIP, the Byrne 5% set-aside, and the SIS programs is critical. To avoid overlap and maximize funding effectiveness, BJS expects that program plans for projects to be funded under NCHIP, Byrne 5% set-aside, and SIS will be coordinated by the State agencies responsible for these programs. Where costs of a proposed activity exceed NCHIP available funds or are unallowable under NCHIP, the State might, for example, use Byrne funds to fill remaining needs. This joint effort will maximize the effectiveness of these programs. Award period and budget Awards may be for up to 12 months. Since the FY 1999 NCHIP program builds on the long-term NCHIP activity, States will have the flexibility to begin FY 1999 funded activities immediately upon award or as late as the summer of 2000. Activities must be completed by July 31, 2001. Where an application covers both NCHIP and NSOR activities, the same end date should apply to all activities in the application. The budget should provide details for expenses in required categories and by individual task (see Appendix A, Application content). The application should identify those agencies to receive direct funding and indicate the fiscal arrangements to accomplish fund transfer. Application submission and due dates Applications may be submitted at any time after publication of this announcement. Applications must be received by March 15, 1999, to be eligible for funding from the FY 1999 appropriation. To minimize administrative burdens, States may resubmit parts of previous proposals that did not receive funds under previous NCHIP awards, accompanied by a current budget. Review criteria States should understand that full funding may not be possible for all proposed activities. Allocation of funds will be based on the amount requested and the following factors: (1) the extent to which funds will support participation in NICS, III, the FBI's Sex Offender Registry and Protection Order File, and State systems integration efforts and compliance with Federal and State requirements for sex offender registries; (2) the extent to which improvements in the State system, by virtue of record numbers, levels of technical development, or operating procedures, will have a major impact on availability of records throughout the national system;. (3) the proposed use or enhancement of innovative procedures which may be of value to other jurisdictions; (4) the technical feasibility of the proposal and the extent to which the proposal appears reasonable in light of the State's current level of system development and statutory framework; (5) the total amount already awarded under previous NCHIP and NSOR-AP program announcements; (6) the extent to which the State has fulfilled goals of previous NCHIP, including NSOR-AP, awards, expended funds in previous awards, and demonstrated a commitment to criminal history record improvement through activities under the program; (7) State commitment to the national record system as evidenced by membership in III, participation in the FBI's National Fingerprint File (NFF) and Felon Identification in Firearms Sales (FIFS) programs, etc., and the current status of development of its criminal history records and the Sex Offender Registry; (8) reasonableness of the budget; (9) evidence of State progress in meeting record improvement and background check goals as measured in terms of audits, and meeting data collection goals relating to presale firearm checks and background checks on persons seeking positions involving children, the elderly and the disabled; (10) appropriate focus on criminal history data improvement regarding protection orders and crimes against children, the elderly, and the disabled; (11) nature of the proposed expenditures; (12) the extent to which the application recognizes the role of the courts in ensuring complete records; and, (13) the reasonableness of the relationship between the proposed activities and the current status of the State system, in terms of technical development, legislation, current fiscal demands, and future operating costs. The program does not require either "hard" (cash) or "soft" (in-kind) match. Indications of State support, however, may be interpreted as expressions of commitment by the State to the program. All applicants must agree to participate in evaluations sponsored by the Federal Government. Applicants must also agree to provide data relating to Brady Act activity to the Firearm Inquiry Statistics Program (FIST) in the format designated by the FIST. Allowable costs Allowable expenses are detailed below. All expenses are allowable only to the extent that they directly relate to programs described in the application's program narrative. (1) Participation in III. This is a key goal. Covered costs include, but are not limited to, costs associated with automation of the database, synchronization of records between the State and the FBI, and development of necessary software and hardware enabling electronic access on an intrastate or interstate basis. (2) Database enhancement. Improving the quality, completeness, and accuracy of criminal history and sex offender records is a key goal of the NCHIP effort, and automated interface between prosecutor, courts, and corrections and the record repository is encouraged. Allowable costs include the costs associated with implementing improved criminal history record capture procedures (including complete arrest reporting and researching missing dispositions, provided that the captured data are subsequently included in the permanent automated database), 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. BJS anticipates that in many cases accomplishing this goal will entail direct transfer of funds from the designated NCHIP agency to the courts. In addition to felony records, funds may be used to capture data on domestic violence misdemeanors and to ensure that data on persons convicted of abuse of children, the elderly, and the disabled and/or stalking and domestic violence offenses (including protection orders and violations thereof) are included in the database. Funds may also be used to automate and/or upgrade accuracy and completeness of the State sex offender registry. Eligible costs include automating linkages between the registry and law enforcement agencies within the State, and developing and implementing procedures to transfer information to the FBI. Funds may be used to develop and implement procedures, software and training and to ensure that changes in status and offender location are accurately captured and recorded. Funds may only be used for procedures that are compatible with the FBI Sex Offender Registry and related systems. States that currently participate in III may also use limited funds to identify and develop access to data on other categories of persons prohibited from firearm purchase under recent amendments to the Gun Control Act (18 U.S.C. Section 922), as incorporated in the Brady Act. States proposing use of funds for these purposes must demonstrate in the application that necessary protections for individual privacy will be incorporated in the proposed procedures. Information about current NCHIP-supported efforts in these areas and relevant State contacts is available through the BJS Internet site. Funds provided to courts or prosecutors are allowable where the function to be supported is related to the capture of disposition or other data relating to the offender record, including the transmission of sex offender data to the registry (see, "Commitment to support court efforts relating to development of record systems" section, above). (3) Flagging of records. Upgrading the accessibility of records through flagging for presale and preemployment checks is an important activity. Allowable costs include costs of flagging or algorithms used for flagging of felony records and records of persons with convictions for crimes involving children, the elderly, and/or the disabled, as well as records of persons convicted of crimes involving domestic violence and/or stalking. Costs may include the cost of technical record flagging and the costs associated with identification of records to be flagged (see [19] below regarding interface with NIBRS). . In support of the Sex Offender Registry, funds may also be used for review of existing records to identify, flag, and transmit data on previously released offenders who qualify for inclusion in the Sex Offender Registry. This may include a review of juvenile records where consistent with State law or practice. (4) Participation in the NICS. NCHIP funds may be used to enable the State to participate in the NICS consistent with the provisions of 18 U.S.C Section 922 (t). Allowable expenditures include, but are not limited to, costs necessary to enable the State to serve as a Point of Contact under the FBI's NICS system, and include costs of equipment, software, personnel training, and development and implementation of related operating and administrative procedures. Funds may not be used to cover ongoing costs of presale firearm background checks. (5) Firearm permits. NCHIP funds may be used to comply with Brady Act provisions pursuant to an ATF-approved firearm permit system and to develop and implement procedures to review the currency of firearm permits and/or to provide appropriate notification when permits are revoked. (6) Participation in the NSOR. The NCHIP program is intended to support the NSOR by assisting States to develop and enhance State registries that feed into the national system to ensure compliance with requirements set forth in State and Federal legislation (the Wetterling Act, Megan's Law, and the Lychner Act). Allowable expenditures include costs of equipment, software, personnel training, and development and implementation of related operating and administrative procedures. Costs of regular operating expenditures are not covered under the program. Sex offender registry files supported with NCHIP funds must be compatible with the FBI file, and the application must indicate that records are presently being submitted to the FBI or indicate the date upon which that submission will commence. Funds are only allowable to support development of local sex offender registries where data in such files is or will become directly accessible throughout the State and available to the FBI's national system. Funds may be used to purchase equipment and develop software to permit the disclosure of registry data in connection with background checks or other purposes as authorized by State or Federal legislation. (7) Improve online law enforcement access to sex offender registry data. NCHIP funds are available to create a linkage between the State data file and systems accessed by local law enforcement officers. Funds may not used to purchase equipment for use by individual law enforcement officers. (8) Protection order file. Establishment of a protection order file to enhance the cross- jurisdictional enforcement of protective orders, and to support the FBI's National Protection Order File is an important goal of the NCHIP program. Costs (including equipment, software, training and procedural development) associated with development and enhancement of such files and with interface with the FBI's National Protection Order File are covered. Protection order files supported with NCHIP funds must be compatible with the FBI file, and the application must indicate that records are presently being submitted to the FBI or indicate the date upon which that submission will commence. Funds are only allowable to support development of local protection order files where data in such files is or will become directly accessible throughout the State and available to the FBI's national system. (9) Interface between criminal history records, sex offender registry, and civil protection order files. To ensure that, consistent with State law, a complete data review is possible in connection with background checks for child care or other authorized purposes, funds may be used to develop software to establish protocols to permit interface between the criminal history record system, the State sex offender registry, and related protection order files including files of civil protection orders. (10) Uniform RAP sheet format. The FBI has recently endorsed a format and standards for transmission of a uniform RAP sheet (text version of a person's criminal history record) among States. The format reflects efforts initiated under the BJS/SEARCH Task Force on Uniform RAP Sheet Standards. Funds are available to assist States in converting State criminal history records to the FBI standard interstate RAP sheet format or for developing electronic interchange capabilities related thereto. (11) Year-2000 compliance. To ensure that systems supported with NCHIP funds are used to design, implement, and upgrade State criminal justice information systems compliance with the Year-2000 requirements and compatible with the NIBRS, the NCIC 2000, the NICS, the IAFIS, and other applicable statewide or regional criminal justice information systems sharing standards and plans. (12) Record automation. These are allowable costs only with respect to records with activity occuring within 5 years of the date of automation. As appropriate, allowable costs also include costs associated with system design in States with nonautomated systems or in States proposing to enhance system operation to include access to non-criminal history databases. (13) AFIS/livescan. Funds may be used to purchase equipment, develop procedures, and implement protocols related to activities involving the AFIS, repository, and the operation of the registry. This may include purchase of livescan equipment for local agencies. Where funds are to be used for this purpose, the application should demonstrate that funds can be justified on the basis of geographic, population, traffic, or other related factors. Livescan can only be purchased where the State has established an AFIS and either has implemented or is implementing procedures to ensure that the AFIS is compatible with FBI standards. 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. (14) Establish mugshot identification capability. In support of the Sex Offender Registry operation, funds may be used for purchase of equipment and development/ implementation of procedures to include mugshots of registrants for use either within the State or for transmission to the FBI at such time as that capability becomes available. Mugshots support community notification and law enforcement use of the registry as a tool for identification and apprehension of suspects. States requesting funds for this use must justify the location of the equipment in terms of geography, population, traffic, and demography and ensure that equipment to be used at the local or county level includes the capability for transmission of images to the registry for use throughout the State. All equipment and software purchased or developed with funds under the award must be compatible with FBI standards. (15) Interface with NIBRS. Funds may be used to interface with any State data system that is compatible with NIBRS for purposes of identifying persons convicted of crimes against children, the elderly, or the disabled; sex offenses; crimes involving domestic violence and/or stalking; and/or identification of records involving firearm crimes for operational or research purposes. NCHIP funds are not available, however, to develop the NIBRS database. (16) 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. (17) Conversion of juvenile records to the adult system. Federal regulations allow the FBI to accept juvenile records if submitted by the State or local arresting agency. Expenditures to interface juvenile and adult records are allowable if consistent with relevant State law and undertaken to further the goals of the NCHIP program. (18) Missing dispositions backlog reduction. These costs are allowable to improve the level of disposition reporting but only where limited to records with activity within the past 5 years. States must also propose a strategy to prevent future backlogs from developing. (19) 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. (20) 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). (21) Reducing cost of background checks. States may use funds to develop and implement technologies that lower costs of conducting background checks. These funds may also be used to pay all or part of the State's cost of conducting background checks on persons who are employed by or volunteer with a public, not-for-profit, or other voluntary organization to reduce the amount of fees charged for such background checks, consistent with 41 U.S.C. 5119 (b). Appendix A Application and administrative requirements Appendix A Application and administrative requirements Application content All applicants must submit: Standard Form 424, Application for Federal Assistance Budget Detail Worksheet (replaced the SF 424A, Budget Information) OJP Form 4000/3 (Rev. 193), Program Narrative and Assurances OJP Form 4061/6 Certification Regarding Lobbying, Debarment, Suspension, and Other Responsibility Matters; Drug-Free Workplace Requirements Applicants are requested to submit an original and two copies of the application and certifications to the following address: Application Coordinator Bureau of Justice Statistics 810 Seventh Street, NW Washington DC 20531 Telephone: (202) 616-3500 Standard Form 424 (SF-424). The SF-424, a one-page sheet with 18 items, serves as a cover sheet for the entire application. This form is required for every application for Federal assistance. NO APPLICATION CAN BE ACCEPTED WITHOUT A COMPLETED, SIGNED ORIGINAL SF-424. Directions to complete each item are included on the back of the form. Budget Detail Worksheet. Applications must provide a detailed justification for all costs, including the basis for computation of these costs. For example, the detailed budget would include the salaries of staff involved in the project and the portion of those salaries to be paid from the award; fringe benefits paid to each staff person; travel costs related to the project; equipment to be purchased with the award funds; and supplies required to complete the project. Budget narrative. The budget narrative should detail costs included in each budget category for the Federal and the non-Federal (in-kind and cash) share. The purpose of the budget narrative is to relate items budgeted to project activities and to provide justification and explanation for budget items, including criteria and data used to arrive at the estimates for each budget category. The budget narrative should also indicate amounts to be made available to subrecipient agencies (under Contractual/Contracts category) other than the direct award recipient. 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 3-day meeting at $70 transportation and $45 subsistence.") In training projects where travel and subsistence for trainees is included, this should be separately listed indicating the number of trainees and the unit costs involved. (1) Identify the tentative location of all training sessions, meetings, and other travel. (2) Travel costs are allowable as expenses by employees who are in travel status on official business. These costs must be in accordance with the Federal or an organizationally-approved travel policy. (3) Recipients may follow their own established travel rates. If a recipient does not have an established travel policy, the recipient must abide by the Federal travel policy. Subrecipients of States must follow their State's established travel policy. If a State does not have an established travel policy, the subrecipient must abide by the Federal travel rates. d. Equipment. List each type of equipment to be purchased or rented with unit or monthly costs. e. Supplies. List items within this category by major type (office supplies, training materials, research forms, postage) and show basis for computation. Provide unit or monthly estimates. f. Contractual category. State the selection basis for any contract, subcontract, prospective contract or prospective subcontract (including construction services and equipment). Please note, applications that include noncompetitive contracts for the provision of specific services must contain a sole source justification for any procurement in excess of $100,000. For individuals to be reimbursed for personal services on a fee basis, list by name or type of consultant or service, the proposed fee (by day, week, or hour) and the amounts of time to be devoted to such services. For construction contracts and organization (including professional associations and education institutions performing professional services), indicate the type of service to be performed and the estimated contract cost data. g. Construction category. Describe construction or renovation which will be accomplished using funds awarded and the method used to calculate cost. h. Other category. Include under "other" such items as rent, reproduction, telephone, and janitorial or security services. List items by major type with basis of computation shown. (Provide square footage and cost per square foot for rent. Provide local and long distance telephone charges separately.) I. Indirect charges category. The Agency may accept an indirect cost rate previously approved for an applicant by a Federal agency. Applicants must enclose a copy of the approved rate agreement with the grant application. j. Program income. If applicable, provide a detailed estimate of the amount of program income to be generated during the grant period and its proposed application to reduce the cost of the project or to increase the scope of the project). Also, describe the source of program income, listing the rental rates to be obtained, sale prices of publications supported by grant funds, and registration fees charged for particular sessions. If scholarships (covering, for example, registration fees) are awarded by the organization to certain conference attendees, the application should identify the percentage of all attendees that are projected as "scholarship" cases and the precise criteria for their selection. Program narrative. All applications must include a program narrative that fully describes the expected design and implementation of the proposed program. OJP Form 4000/3 (Rev. 193) 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 193) must be included in the application submission. If submitting this form separately from the SF-424, the applicant must sign and date the form to certify compliance with the Federal statutes, regulations, and requirements as cited. Certification Regarding Lobbying; Debarment, Suspension, and Other Responsibility Matters; and Drug-Free Workplace. Applicants should refer to the regulations cited in OJP Form, 4061/6 to determine the certification to which they are required to attest. A copy of OJP Form 4061/6 can be obtained from the BJS Application Coordinator. Applicants should also review the instructions for certification included in the regulations before completing this form. Signature of this form provides for compliance with certification requirements under 28 C.F.R. Part 69, "New Restrictions on Lobbying," and 28 C.F.R. Part 67, "Government-wide Debarment and Suspension (Nonprocurement) and Government-wide Requirements for Drug-Free Workplace (Grants)." The certifications shall be treated as a material representation of fact upon which reliance will be placed when the U.S. Department of Justice determines to award the covered transaction, grant, or cooperative agreement. Reporting requirements Semi annual progress reports. Recipients are required to submit semiannual progress reports. The progress reports describe activities during the reporting period and the status or accomplishment of objectives as set forth in the approved award documents and/or subsequently approved project time line. Progress reports must be submitted within 30 days after the end of the reporting periods, which are June 30 and December 31 for the life of the award. A final report which provides a summary of progress toward achieving the goals of the grant, major projects activities, significant results, and any products developed is due 120 days after the end of the grant. Financial status reports. Financial status reports (SF 269A) are due quarterly on the 45th day following the end of each calendar quarter. A report must be submitted every full quarter that the award is active. The final report is due 120 days after the end date of the award. Fund drawdowns and future awards may be withheld if progress and financial status reports are delinquent. An original and two copies of all reports must be sent to the Office of the Comptroller, Control Desk, Rm 5303, 810 7th Street, NW, Washington, D.C. 20531-0001. Single audit report. On June 30, 1997, the Office of Management and Budget issued Circular A-133, "Audits of States, Local Governments, and Non-Profit Organizations," which establishes regulations to implement the Single Audit Act of 1996. This Circular A-133 outlines the requirements for organizational audits which apply to BJS grantees. Recipients which expend $300,000 or more of Federal funds during the fiscal year are required to submit an organization-wide financial and compliance audit report. The audit must be preformed in accordance with the U.S. General Accounting Office Government Auditing Standards. For fiscal years beginning on or after July 1, 1998, the audit report will be due nine (9) months after the end of the recipient's fiscal year. The completed audit reports for State and local governments, institutions of higher learning, and non-profit institutions should be mailed to the Federal Audit Clearinghouse, Bureau of the Census, 1201 East 10th Street, Jeffersonville, IN 47132. In addition, a copy of the transmittal letter should be mailed to the Office of the Comptroller, Office of Justice Programs, Control Desk, at the above address. 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. 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. This file does not contain the application forms published in Appendix A; they are available in hard copy from BJS or from the Internet (http://www.ojp.usdoj.gov/Forms/forms.htm). END OF FILE 2/16/99