National Criminal History Improvement Program Fiscal Year 2004: … · 2009-09-01 · National...

National Criminal HistoryImprovement Program

U.S. Department of Justice Office of Justice Programs

Fiscal Year 2004Program Announcement

Bureau of Justice Statistics

NCHIP

Bureau of Justice Statistics

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

U.S. Department of JusticeOffice of Justice ProgramsBureau of Justice Statistics

National Criminal HistoryImprovement Program

Fiscal Year 2004Program Announcement

March 2004, NCJ 204535

National Criminal History Improvement Program Fiscal Year 2004 Program Announcement

Department of Justice ContentsOffice of Justice ProgramsBureau of Justice Statistics Message from the Director 1

Program goals 2

Accomplishments 4

John Ashcroft Program priorities 6Attorney General

Appropriation 9This program announcementis one in a series. To Allowable costs 10determine if more recent announcements are available, Application submission due date 16go to: http://www.ojp.usdoj.gov/bjs/ Application requirements 16

Quick Start to GMS 23Application checklist 24

Electronic Submission of NCHIP Application

The Office of Justice Programs (OJP) now requires that applications for funding be submitted through theOJP Grants Management System (GMS). Access through the Internet to this online application system willexpedite and streamline the receipt, review and processing of requests for funding. Applications will only beaccepted through the GMS online application system.

To learn how to begin the online application process, please see the Quick Start Guide to Using the Office ofJustice Programs Online Grants Management System (see appendix). A toll-free telephone number (1-888-549-9901) has been established to provide applicants with technical assistance as they work through theonline application process.

National Criminal History Improvement Program Fiscal Year 2004 Program Announcement1

Message from the Director, BJS

I am pleased to have the opportunity to provide you with mythoughts for the upcoming year. First of all, I want to passalong my appreciation for your unflagging willingness toprovide us data on quality and content of record systems. Wehave conducted repeated surveys to learn about variousaspects of the record holdings in your State, the ability toshare information across States, and the accessibility of otherrecords systems on mental health, sex offenders, andstalkers. Particularly exciting has been our work onestablishing the Record Quality Index (RQI). To date, 34States have completed all RQI data submissions and another10 have made partial submission and are moving rapidlytoward completion. The Index will provide a level of insight intostrengths and weaknesses of the records systems andbackground check capabilities within a State and provide aclear set of opportunities to address Federal funds to veryspecific records problems and needs. Good performancemeasurement will take us to the next level of specificity inorder to achieve a more comprehensive and accurate andcomplete check each time a background check is conducted.

As a test of our performance, BJS recently sponsoredresearch on the extent to which checks in Point-of-ContactStates produce similar rates of presale firearms denials to aNICS-only check. The research utilized about 40,000applicants in two Point-of-Contact States. The study foundagreement 98% of the time on who was an acceptablepurchaser and who was a prohibited purchaser. This is verygood and important news about the integrity of the backgroundchecks being conducted either by NICS or by the States.

As in previous years, BJS has utilized data from the States asa tool for directing the allocation of funds to priority areas. BJS has identified the following key priorities and urges theStates to consider these in planning their 2004 NCHIPactivities –

C full participation in the III System;

C full participation in the National Protection Order File andthe National Sex Offender Registry;

C automating and updating with disposition information oldercriminal history records;

C improving communication of dispositions and other caseoutcomes from courts and prosecutors to the repositorieshousing criminal history records;

C incorporating mental health records into backgroundcheck systems;

C supporting improvements which facilitate the identificationof those records containing convictions for misdemeanordomestic violence;

C implementing the National Crime Prevention and PrivacyCompact which governs the interstate exchange ofcriminal records which are needed for noncriminal justicepurposes

C implementing new record-keeping requirements forchecks conducted by the NICS

I strongly encourage you to use the NCHIP funds to meetthese priorities or facilitate the transmittal of relevant recordsto the Denied Persons File in the NICS Index—it can be usedfor proactively identifying persons prohibited from purchasinga firearm because of a history of domestic violence or mentalhealth problems or whose records are not fingerprint-supported—it can help avoid many, many hours of unneededresearch of records.

I also want to continue to emphasize the need for courts andprosecutors to be major players in the development of andimprovements to criminal records systems. We are learningmore and more each day about the distinct advantages oflivescan right in the courtroom for insuring the timely andaccurate transmittal of disposition information. We arelearning more and more about the need to insure that non-prosecution outcomes are properly tagged to open arresttransactions. Since we know that large numbers of thosearrested are not prosecuted, it is imperative that suchinformation make it into the repository and be properly linkedto the arrest charge.

In addition, it is important to stress the immense utility of theFBI’s NIBRS system. If incident-level crime data could belinked to perpetrators, the criminal record could become notjust a chronology of justice system transactions andoutcomes, but a biography of the communal harm left behindby the offender. Such information would be of tremendousvalue in making pretrial release decisions, preparingpresentence reports, assessing the appropriateness ofaggravated sanctions, and helping to better understand thesentencing outcome and the role of prior record in judicialsentencing decisions. I would encourage all of you to learnmore about NIBRS to enable you to build a crosswalkbetween records of crime and criminal records.

As always, BJS staff are available to assist you in planningfor the upcoming year and preparing your application. Please feel free to contact me with any comments orsuggestions on NCHIP at [email protected].

Again, thank you for your continued support and participationin this very important national effort to improve public safety.

Lawrence A. Greenfeld Director Bureau of Justice Statistics


National Criminal History ImprovementProgram

The Bureau of Justice Statistics (BJS) ispublishing this notice to announce thecontinuation of the National CriminalHistory Improvement Program (NCHIP) inFiscal Year 2004, identify the programpriorities, and provide information on application requirements. Copies of thisannouncement can also be found on theInternet at http://www.ojp.usdoj.gov/bjs/

Program goals

The goal of the NCHIP grant program isto improve the Nation’s safety andsecurity by enhancing the quality,completeness, and accessibility ofcriminal history record information and byinsuring the nationwide implementation ofcriminal justice and noncriminal justicebackground check systems. Achievingthis goal is contingent uponaccomplishing four objectives:

! providing direct financial and technicalassistance to the States to improvetheir criminal records systems andother related systems to supportbackground checks;

! ensuring the infrastructure isdeveloped to connect each State’srecords systems to FBI recordssystems and, in turn, to connect eachStates’ background check databasesto one another;

! providing the training and technicalassistance to States needed to insurethat records systems are developedand managed to conform to FBIstandards and the most appropriatetechnologies and that States adhere to

the highest standards of practice withrespect to privacy and confidentiality;and,

! assessing and measuring throughsystematic evaluation and standardizedperformance measurement andstatistics, the extent of progress inimplementing improvements in State-level and national records holdings andbackground check systems.

The NCHIP program serves as an umbrellafor various records improvements activitiesand funding streams each of which hasunique goals and objectives. BJS stronglyencourages States, as a basic principle ofthis program, to ensure the integratedfunctioning of records improvementsinitiatives, regardless of the funding source.

Authorizing legislation

In 2004 the appropriation for the NCHIPprogram was made pursuant to the CrimeIdentification Technology Act of 1998, andthe procedures for applying for NCHIPgrants reflect the provisions of that Act. Inparticular, State matching funds are requiredfor NCHIP applications. The NCHIPprogram implements the grant provisions of —

! the Crime Identification Technology Act of 1998 (CITA), Pub. L. No. 105-251,112 Stat. 1871 (1998), codified at 42USC Section 14601 et seq.;

! the Brady Handgun Violence Prevention Act (Brady Act), Pub. L. No. 103-159,

107 Stat.1536 (1993), codified asamended at 18 U.S.C. Section 921 etseq.;


! the National Child Protection Act of1993 (NCPA), Pub. L. No. 103-209,107 Stat. 2490 (1993), codified asamended at 42 U.S.C. Sections 3759,5101 note, 5119, 5119a, 5119b,5119c;

! those provisions of the OmnibusCrime Control and Safe Streets Act of1968 (Omnibus Act), Pub. L. No.90-351, 82 Stat. 197 (1968), codifiedas amended at 42 U.S.C. Section3711 et seq., as amended; and theViolent Crime Control and LawEnforcement Act of 1994 (Violent

Crime Control Act), Pub. L. No. 103-322, 108 Stat. 1796 (1994),codified as amended at 42 U.S.C.Section 13701 et seq., which pertainto the establishment, maintenance,analysis, or use of criminal historyrecords and criminal record systems;

! relevant requirements of the Jacob Wetterling Crimes Against Children and Sexually Violent OffenderRegistration Act, Pub. L. No. 103-322,108 Stat. 2038, Megan's Law, Pub.L.No. 104-145, 110 Stat. 1345, and thePam Lychner Sexual OffenderTracking and Identification Act of1996, Pub. L. No. 104-236, 110 Stat.3093; and

! the Victims of Trafficking and ViolenceProtection Act of 2000, Pub. L. No.106-386, 114 Stat. 1464 (2000) andrelated laws pertaining to theidentification, collection, analysis andinterstate exchange of records relatingto domestic violence and stalking(including protection orders).

Program history

The NCHIP program was initiated in 1995and has encompassed evolving efforts tosupport State activities for the

establishment of records systems and thecollection and use of criminal history andrelated records. Since 1995 direct awardsunder the basic NCHIP (including awards to"priority" States and awards under theAdvanced State Award program (ASAP))totaled over $438 million. In addition, $6million was transferred to the FBI forimplementation of the National InstantCriminal Background Check System (NICS)and nearly $18 million was awarded toprovide direct technical assistance to States,to evaluate the program, and to collectstatistics and research data on presalefirearm checks.

The National Sex Offender RegistryAssistance Program (NSOR-AP) was addedto NCHIP in FY 1998, with a $25 millionappropriation having the goal of assistingStates in upgrading sex offender registriesconsistent with Federal and State standardsand providing data to the FBI’s National SexOffender Registry. Starting in FY 1999,funding for State sex offender registries hasbeen covered under the general NCHIP.

As part of the Violent Crime Control Act, theViolence Against Women Act of 1994authorized a total of $6 million for fiscalyears 1996 through 1998 to improveprocesses for entering data on stalking anddomestic violence into local, State, andnational databases. The funds wereincorporated into, and awarded under, theNCHIP program during those years. Thisprogram was re-authorized by the ViolenceAgainst Women Act of 2000 (Pub. L. No.106-386, Section 8) at $3 million per year forfiscal years 2001 through 2005 and fundingwas re-instituted in FY 2002.

To date, all States, the District of Columbia,and 5 U.S. Territories have received fundsunder NCHIP.


Accomplishments

NCHIP has provided support to States for —

! Record improvement and supportfor courts. All States have receivedfunds under NCHIP to upgrade thequality of criminal history recordsystems. Funds have been awardedfor acquisition of advanced equipment,development of software, andconversion of manual records to anautomated format which permitsinstant access and linkage. Automated criminal records permitimmediate access for law enforcementand other purposes such asbackground checks. BJS conductssurveys of criminal record holdingswithin the States every two years. The2001 BJS survey indicated that Statesheld approximately 64 million recordson individuals. About 9 out of 10 ofthese records were automated and 3out of 4 automated records wereaccessible for conducting presalefirearms and other backgroundchecks. Trend data from prior surveysshow that record quality and access torecords has substantially increased asa consequence of NCHIP. Since theinception of NCHIP, the number ofcriminal history records heldnationwide grew 29% while thenumber of automated recordsincreased 35%. Over the sameperiod, the number of recordsavailable for sharing under the FBI’sInterstate Identification Index (III)climbed 75%.

! Participation in the InterstateIdentification Index (III). To ensurecompatibility, all record enhancementsfunded under NCHIP are required toconform to FBI standards for IIIparticipation. III participation is critical

since it constitutes the primary systemthrough which the FBI accesses state-held data for NICS checks. In 1989 only20 States were members of the FBI’s IIIsystem which permits instant access toout-of-state data. By yearend 1993, 26States were participants. As of March 2004, 47 States are members of IIImeeting the rigorous standards of theFBI for participation.

! Automation of records and fingerprintdata. Funds have been used by Statesto establish automated fingerprintidentification systems (AFIS) and topurchase livescan equipment for Stateand local agencies. AFIS systemsenable States to conduct automatedsearches for records based on fingerprintcharacteristics and to interface with theFBI’s Integrated Automated FingerprintIdentification Systems (IAFIS). As ofMarch 2004, 47 States, the District ofColumbia, and 3 territories (AmericanSamoa, Guam, and the U.S. VirginIslands) participate in IAFIS, whichbecame operational in July 1999. Inaddition to ensuring that records areproperly matched to the correct offender,AFIS minimizes the time and manpowerrequired for searching fingerprintdatabases, which facilitates matching oflatent prints obtained at a crime scene. Livescan equipment permits lawenforcement to take fingerprints withoutuse of inkpads or other similarprocedures and to electronically transferfingerprints to the State’s AFIS forcomparison and matching against Stateand FBI held prints. Almost all Stateshave received NCHIP funds to use inconnection with fingerprint automationsystems.

! National instant background check.The Brady Act requires that abackground check be conducted usingthe FBI’s NICS to identify potential


purchasers who are prohibited frompurchasing firearms. Theeffectiveness of the system isdependent on the extent to whichcomplete records are available inresponse to system inquiries. NCHIPfunds have been used to increase thenumber of records which areaccessible to the system and to fundthe development of court systems toensure that records include finaldispositions.

The NICS is now supporting nearly 8million checks annually at the presalestage of firearms purchases. Fromthe inception of the Brady Act onMarch 1, 1994 to December 31, 2002,nearly 46 million applications forfirearm transfers were subject tobackground checks. Approximately976,000, or 2.1% of all applications,were rejected, primarily for thepresence of a prior felony convictionhistory but also, in a growingproportion of checks, for non-felonyprohibiting background factorsenumerated in the 1968 Gun ControlAct as amended. State and localagencies maintain a significant role inbackground checks, having conductedchecks on almost half of theapplications for firearm transfers orpermits in 2002, while the FBI wasresponsible for the remainder. NCHIPfunds have facilitated the integration ofdatabases within States – the numberof rejections for reasons other thanfelony convictions increased 294%from the first year of the Brady Act to2002.

! Sex Offender Registry. Beginning inFY 1998, NCHIP funds have beenprovided to assist States in developingand enhancing the operation of Statesex offender registries that includeinformation on convicted sex

offenders. These funds have been usedfor purchase of equipment, training, anddevelopment of procedures required toensure that released offenders areregistered with proper authorities andthat State systems are capable ofinterfacing with the FBI’s National SexOffender Registry system. The FBI’spermanent National Sex OffenderRegistry became operational in July1999.

As of March 2004, all 50 States, theDistrict of Columbia, Guam, Puerto Rico,and the U.S. Virgin Islands werecontributing to the system which hasmore than 329,000 records.

! Domestic violence records/protectionorders. NCHIP has put specialemphasis on ensuring that domesticviolence-related offenses are included incriminal records. The Federal GunControl Act as amended prohibits salesof firearms to persons subject to aqualifying domestic violence relatedprotection order or convicted of aqualifying domestic violencemisdemeanor. Funds have specificallybeen awarded for development of Stateprotection order files that are compatiblewith the FBI’s national file so as to permitinterstate enforcement of protectionorders and the denial of firearm transfersto prohibited persons subject to aprotection order. As of March 2004, 45States, the District of Columbia, and theU.S. Virgin Islands submit data to theNational Crime Information Center(NCIC) Protection Order File, whichbecame operational in May 1997 andincludes nearly 846,000 records ofprotection orders.


Program priorities

(1) Commitment to establishing theinfrastructure to support fullimplementation of the National InstantCriminal Background Check System(NICS), including commitment to fullparticipation in the InterstateIdentification Index (III)

Consistent with the Brady Act, the FBI'sNICS became operational in November1998 and provides instant backgroundchecks to determine if a potential firearmpurchaser is a convicted felon orotherwise prohibited from purchasing afirearm under Federal or State statute. The effectiveness of NICS depends onthe extent to which the most accurate andcomplete records of Federal and Statecriminal offenses and records in otherprohibiting categories are instantlyavailable in response to inquiries fromfirearms dealers.

To ensure that checks are made againstthe most current and complete records,the NICS configuration encourages Statesto serve as a "Point of Contact" (POC)interfacing between firearm dealers andthe FBI's national record system. NCHIPrecognizes the national benefits whichaccrue from States serving as POC’s andencourages States to serve in this role byallowing funds to be used to cover costsassociated with establishment of thecapability to serve as a POC.

Since inception, and as currentlyauthorized under CITA, NCHIP isdesigned to assist States in developingthe infrastructure which will supportoperation of the NICS. Accordingly, theprogram does not cover operating costsassociated with NICS participation. States are encouraged, however, to useNCHIP funds to develop systemic

solutions to minimize delays in instantresponses to NICS inquiries (for details, seeAllowable costs section below). Use offunds to enhance the database by includingmissing dispositions would, for example, beappropriate in pursuing this priority fundingtopic as described in the following section,Commitment to support court efforts.

The underlying system supporting FBIresponses to NICS inquiries is the III. Atpresent, 47 States participate in the system. Full participation in III is a key goal ofNCHIP, and States which are notparticipating must include in their NCHIPapplications a discussion of their III statusand plan for future participation.

(2) Commitment to support court effortsrelating to development of recordsystems

Whenever a criminal history record showsan arrest without a disposition, there is thepotential for delay in responding to presalefirearm inquiries under the NICS, sincedisqualification, in most cases, is dependentupon a finding of a conviction rather than asimple arrest. In addition, immediate accessto protection orders on an interstate basis isvital for protection of victims of domesticviolence.

For this reason, all applications are requiredto demonstrate that court needs have beenconsidered. If no funds for upgrading courtsystems capable of providing dispositiondata are requested, applicants must includea letter from the State court administrator orChief Justice indicating that the courts havebeen consulted in connection with theapplication. The category of allowable costshas been expanded to cover costs ofimplementing all court systemenhancements which will result in improveddisposition availability and linkage with theState criminal history record system.


In addition, all States must specificallydiscuss the technical and policy issueswhich limit the State’s ability to providedisposition data in response to NICSinquiries within the required NICStimeframe. The application should alsodescribe procedures which will befollowed to ameliorate this problem bothin the long term and within the currentgrant period and the extent to whichNCHIP funds will be used for thispurpose, including, where appropriate, theallocation of some portion of NCHIP fundsto court or county clerks, or other relevantagencies, to cover costs of accessingdispositions and adding such dispositionsto the State automated database. (Forfurther guidance, refer to sections,Allowable costs and Applicationrequirements, below.)

(3) Including mental health records inbackground check systems

The 1968 Gun Control Act as amendedindicates that persons who areadjudicated as mentally defective or havebeen involuntarily committed to a mentalinstitution are ineligible to purchase afirearm. Some POC States include acheck of such records during the courseof a presale background check.

NCHIP encourages applicants to considerincorporating mental health data checksinto their own background check systems. NCHIP also encourages applicants totransmit such records, or a notice of theexistence of such records, to the FBINICS Index. This will ensure thatprohibiting mental health records areavailable when the FBI is conductingbackground checks regardless of theState in which the record originated.

BJS recognizes the privacy implicationsassociated with access to mental healthrecords and is willing to assist States indeveloping solutions that address privacyand confidentiality concerns.

(4) Facilitating NICS checks

Denied persons files

Another potential area for funding is thedevelopment and transmittal of records to theNICS Index Denied Persons File. TheDenied Persons File is a file of federallydisqualifying records that are not otherwiseentered into NCIC, III, or the NICS Index. This includes misdemeanor crimes ofdomestic violence, warrants that do not meetthe criteria for entry into NCIC, activeprotection orders not available in NCIC, andnon-fingerprint supported criminal historyrecords. If under State law, a criminal justiceagency is prohibited from providing mentalhealth records to the NICS mental health file,NCHIP funds may be used to enter thenames of persons prohibited under themental health prohibition into the DeniedPersons File. This file is an importantresource for improving both the timeliness ofNICS checks and the efficiency that comesfrom avoiding unneeded record research.

Addressing "open arrests" in older records

Researching open arrests has become a verytime-consuming and burdensome activity forlocalities. A more coordinated approach tobuilding the national identificationinfrastructure will help rectify this problem. The FBI conducted a study of a week’s worthof failed instant checks to learn more aboutthe characteristics of the problem of openarrests. The study demonstrated that aboutthree-quarters of the problem records hadthe last arrest prior to the initiation of NCHIPand more than half had the last arrestoccurring before 1984. In other words, openarrest problems are most often occurringwhen an older record is being checked. Better development and use of deniedpersons files should avert recurring checks ofthe same person.


(5) Developing record systems forprotection order files and records ofdomestic violence

The Federal Gun Control Act prohibitssales of firearms to persons subject to aqualifying protection order related todomestic violence and persons convictedof a qualifying domestic violencemisdemeanor. Complete records in eachof these categories must promptly bemade accessible to the POC and the FBIto ensure that NICS checks identifypersons covered by these prohibitions. The time-sensitivity and differences ofprotection orders issued by differentcourts increase the complexity ofdeveloping a protection order systemwhich is complete and up-to-date.

Establishment of accessible files ofdomestic violence related misdemeanorsis also difficult since misdemeanor datahave not traditionally been maintained atthe State-level and domestic violencerelated offenses may be difficult todistinguish from misdemeanors classifiedas assaults. In light of the complexityassociated with efforts in this area, andthe importance of these data to protectingpublic safety, NCHIP strongly encouragesStates to focus on the development ofthese record systems and to ensure thatsuch systems meet the needs of thoseagencies which have been charged withresponsibility relating to domesticviolence.

(6) Strengthening records to improvenational security standards and avertterrorism

The need to ensure the security ofgovernment facilities and records has putsubstantial strain on the manpower andresources of most States. As the Nationdevelops strategies to prevent futureterrorist events, it is clear that access toaccurate and complete records and the

availability of automated fingerprintidentification systems are critical to supportthe wide variety of background checksnecessary to protect public safety.

NCHIP will focus on initiatives, using criminalrecords, to support anti-terrorism. Concernsabout the adequacy of redundant and backuprecords systems, building better ties betweenimmigration and criminal records, and bettercoordination with homeland defense andemergency management agencies within theStates are all matters on which States maywish to focus interest. However, it isimportant to reiterate that all of these effortsmust center on the development of betterrecords systems or towards the improvementof accessibility or utility of records systems.

(7) Promoting enhanced access tocriminal records for noncriminal justicepurposes, including implementation of theNational Crime Prevention and PrivacyCompact

The demand for criminal record background checks on persons seeking positionsinvolving national security, fiscalresponsibility, and responsibility for children,the elderly, the disabled and other vulnerablepopulations has increased markedly in recentyears, reflecting changes in technology andthe increased dependence on availableinformation wherever it may be held. Inkeeping with the provisions of CITA, NCHIPrecognizes the need to facilitate suchbackground checks, consistent withapplicable limitations of State and Federallaw and policy.

To support the accessibility of information onan interstate basis, the Interstate CrimeControl and Privacy Compact was enacted in1998 as part of CITA. As of January 2004,21 States have enacted the compact. SevenStates (as of March 2004) have startedimplementation of the National FingerprintFile (NFF) which constitutes the technologicalbasis for implementation of the Compact.


The Compact provides the framework forexchange of criminal record data, usingthe III system, in response to fingerprint-based inquiries for noncriminal justicepurposes. NCHIP supports State effortsto establish the technology and policiesnecessary for participation in the Compactand encourages States to considerprotocols, including funding for necessaryequipment, training, and outreach, toassist organizations engaged in activitiesinvolving vulnerable populations to meetthe requirements for interstatebackground checks.

(8) Implementing new record-keepingrequirements for checks conducted bythe National Instant CriminalBackground Check System

The Consolidated Appropriations Act of2004 (Pub. L. No. 108-199), Section 617,requires the National Instant CriminalBackground Check System (NICS) todestroy "any identifying informationsubmitted by or on behalf of any personwho has been determined not to beprohibited from possessing or receiving afirearm no more than 24 hours after thesystem advises a Federal firearmslicensee that possession or receipt of afirearm by the prospective transferee"would not violate Federal or State law.The law requires the implementation ofthis provision by July 21, 2004, 180 daysafter January 23, 2004, the day the billwas signed into law.

The FBI is consulting with State agenciesthat act as a Point of Contact (POC) forthe NICS about changes in requirementsfor POC participation in the system thatwill be necessary to comply with this newlegal requirement. Specifically, the FBIanticipates that implementation of thisnew requirement will necessitate thatState POC’s provide additionalinformation to the FBI on the status ofPOC transactions. State POC’s mayapply for NCHIP funds to cover expenses

for necessary changes in programming oroperations to enable the NICS to comply withthis provision of Pub. L. No. 108-199. BJSwill ensure the timely processing ofapplications by States seeking funds for thispurpose.

Appropriation

The NCHIP appropriation under CITA is$29.7 million, with an additional $2.95 millionappropriated for the purposes described inthe Violence Against Women Act of 1994and the Violence Against Women Act of2000. Consistent with the legislative goal ofCITA, and with the ongoing NCHIP policy,NCHIP allows States to determine task areasthey expect will most improve operations ofthe criminal justice system and will result inmaximum benefits to the citizens of theapplicant State.

Eligibility requirements

An award will be made to each eligibleapplicant State with funds from the FY 2004appropriation. The NCHIP application mustbe submitted by the agency designated bythe Governor to administer the NCHIPprogram. States may choose to submitapplications as part of a multi-stateconsortium or other entity. In such cases,please contact your BJS program managerfor further information.

Review criteria

States should understand that full fundingmay not be possible for all proposedactivities. Allocation of funds will be basedon the amount requested and the followingfactors:

(1) the extent to which funds willsupport/enhance participation in NICS,III, the National Sex Offender Registry,the NCIC Protection Order File, theNational Crime Prevention and PrivacyCompact, and other related Federaland State systems;


(2) the extent to which improvementsin the State system, by virtue ofrecord numbers, levels of technicaldevelopment, or operatingprocedures, will have a majorimpact on availability of recordsthroughout the national system;

(3) the proposed use or enhancementof innovative procedures whichmay be of value to otherjurisdictions;

(4) the technical feasibility of theproposal and the extent to whichthe proposal appears reasonable inlight of the State's current level ofsystem development and statutoryframework;

(5) the total amount already awardedunder previous NCHIP andNSOR-AP programannouncements;

(6) the extent to which the State hasfulfilled goals of previous NCHIPawards, including NSOR-APawards, expended funds inprevious awards, anddemonstrated a commitment tocriminal history recordimprovement through activitiesunder the program;

(7) State commitment to the nationalrecord system as evidenced bymembership in III and participationin the FBI's NFF, and the currentstatus of development of itscriminal history records and theNational Sex Offender Registry;

(8) reasonableness of the budget;

(9) evidence of State progress inmeeting record improvement andbackground check goals asmeasured in terms of audits, andmeeting data collection goalsrelating to presale firearm checksand background checks on

persons seeking positions involvingchildren, the elderly, and the disabled;

(10) appropriate focus on criminal historydata improvement regarding protectionorders 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 andthe current status of the State system,in terms of technical development,legislation, current fiscal demands,and future operating costs.

Allowable costs

Allowable expenses are detailed below. Allexpenses are allowable only to the extentthat they directly relate to programsdescribed in the application's programnarrative.

(1) Participation in III. This is a key goal. Covered costs include, but are notlimited to, costs associated withautomation of the database,synchronization of records betweenthe State and the FBI, anddevelopment of necessary softwareand hardware enabling electronicaccess on an intrastate or interstatebasis.

(2) Database enhancement. Improvingthe quality, completeness, andaccuracy of criminal history and sexoffender and protection order recordsis a key goal of the NCHIP effort withparticular focus on automating theinterface between the recordrepository and prosecutors, courts,and corrections.


Allowable costs include the costsassociated with implementingimproved criminal history recordcapture procedures (includingcomplete arrest reporting andresearching missing dispositions,provided that the captured data aresubsequently included in thepermanent automated database),establishing more effectiveaccuracy controls, and ensuringthat records of all criminal eventsthat start with an arrest orindictment are included in thedatabase. BJS anticipates that inmany cases accomplishing thisgoal will entail direct transfer offunds from the designated NCHIPagency to the courts.

Funds may be used to capturedata on domestic violencemisdemeanor convictions and toensure that data on personsconvicted of abuse of children, theelderly, and the disabled and/orstalking and domestic violenceoffenses (including protectionorders and violations thereof) areincluded in the database.

Funds may also be used toautomate and/or upgrade accuracyand completeness of the State sexoffender registry. Eligible costsinclude automating linkagesbetween the registry and lawenforcement agencies within theState, and developing andimplementing procedures totransfer information to the FBI. Funds may be used to develop andimplement procedures, softwareand training and to ensure thatchanges in status and offenderlocation are accurately capturedand recorded. Funds may only beused for procedures that are compatible with the National Sex

Offender Registry and relatedsystems.

States may also use funds to identifyand develop access to data on othercategories of persons prohibited fromfirearm purchase under amendmentsto the Gun Control Act (18 U.S.C.Section 922), as incorporated in theBrady Act. States proposing use offunds for these purposes mustdemonstrate in the application thatnecessary protections for individualprivacy will be incorporated in theproposed procedures.

Funds provided to courts orprosecutors are allowable where thefunction to be supported can beexpected to improve the capture ofdispositions or other data relating tothe offender record. (SeeCommitment to support court effortsrelating to development of recordsystems section, above.) This wouldinclude implementation of, orupgrades to, record systems whichfacilitate immediate identification ofdisposition records, provided theautomated disposition records areaccessible for State- or Federal-levelcriminal history inquiries.

NCHIP funds may be used to establishoperational back-up systems for use inthe event of failure of the primarycriminal history record system.

(3) Flagging of records. Funds may beused to upgrade the accessibility ofrecords through flagging for presalefirearms and preemployment checks. Allowable costs include costs offlagging or algorithms used forflagging of felony records and recordsof persons with convictions for crimesinvolving children, the elderly, and/orthe disabled, as well as records ofpersons convicted of crimes involvingdomestic violence and/or stalking.


Costs may include the cost oftechnical record flagging and thecosts associated with identificationof records to be flagged (see [17]below regarding interface withNIBRS).

In support of the National SexOffender Registry, funds may alsobe used for review of existingrecords to identify, flag, andtransmit data on previouslyreleased offenders who qualify forinclusion in the National SexOffender Registry. This mayinclude a review of juvenile recordswhere consistent with State law orpractice.

(4) Participation in the NICS. NCHIPfunds may be used to enable theState to participate in the NICSconsistent with the provisions of 18U.S.C. Section 922 (t) and fundsmay be used to undertake activitiesto improve or ameliorate anyproblem that is delaying instantresponses to NICS inquiries. Allowable expenditures include, butare not limited to, costs necessaryto enable the State to serve as aPOC under the NICS system(including costs of equipment,software, personnel training, anddevelopment and implementationof related operating andadministrative procedures).

Funds may not be used to coverongoing costs of presale firearmbackground checks, but may beused to pay costs associated withcapturing dispositions in responseto a specific NICS inquiry, providedthat the captured data is enteredinto the automated State and FBI system and serves to upgrade thepermanent quality of the recordsystems.

(5) Firearm permits. NCHIP funds maybe used to comply with Brady Actprovisions pursuant to anATF-approved firearm permit systemand to develop and implementprocedures to review the currency offirearm permits and/or to provideappropriate notification when permitsare revoked.

(6) Prosecution of firearm sale denials. NCHIP funds may be used to studythe extent to which persons denied afirearm pursuant to a presalebackground check are prosecuted atthe State or local level. Allowablecosts include both costs associatedwith the design and implementation ofa research/statistical study and costsassociated with establishing andimplementing a protocol for regularcollection of data on this issue. Fundsmay also be used to develop softwareto enable States to transfer records ofdenied firearm purchasers to the FBIor to State or local offices forprosecution.

(7) Record enhancement and supportof anti-terrorism and nationalsecurity systems. Support for thenational effort to improve homelandsecurity is a critical goal of NCHIP andrecord managers are encouraged todevelop appropriate liaisons with Statehomeland security leaders. Tosupport these efforts, funds may beused to coordinate State criminalrecords with other record systems,including immigration records, and todevelop protocols for record exchangeand linkage. Funds may also be usedto enhance the utility of criminalrecords by facilitating access torecords for purposes of backgroundchecks on persons seeking sensitivepositions. Funds may only be used,however, for activities which focus onimproving the development ofcomplete, accessible, and useful


records which provide support forthe national systems administeredby the FBI.

(8) Protection order file. Costs(including equipment, software,training, and proceduraldevelopment) associated withdevelopment and enhancement ofprotection order files and withinterface with the FBI's NCICProtection Order File are covered. Protection order files supportedwith NCHIP funds must becompatible with the FBI file, andthe application must indicate thatrecords are presently beingsubmitted to the FBI or indicate thedate upon which that submissionwill commence. Funds are onlyallowable to support developmentof local protection order files wheredata in such files are or willbecome directly accessiblethroughout the State and availableto the FBI's national system.

(9) Interface between criminalhistory records, sex offenderregistry, and civil protectionorder files. To ensure that,consistent with State law, acomplete data review is possible inconnection with backgroundchecks for child care or otherauthorized purposes, funds may beused to develop software toestablish protocols to permitinterface between the criminalhistory record system, the Statesex offender registry, and relatedprotection order files including filesof civil protection orders.

(10) Uniform RAP sheet format. TheFBI has recently endorsed a formatand standards for transmission of auniform RAP sheet (text version ofa person's criminal history record)among States. The format reflects

efforts initiated under theBJS/SEARCH Task Force on UniformRAP Sheet Standards. Funds areavailable to assist States in convertingState criminal history records to theFBI standard interstate RAP sheetformat or for developing electronicinterchange capabilities relatedthereto.

(11) Compatibility with State and Federalsystems. Funds may be used toensure compatibility with Federalrecord systems, such as III, and toimplement statewide integratedsystem strategies which interface allcomponents of the criminal justicesystem, including law enforcement,prosecutors, courts, and corrections,to the extent that such expendituresimprove the availability of criminalrecord data, including protectionorders.

Systems funded under NCHIP mustbe compatible with FBI standards fornational data systems, such asNIBRS, NCIC-2000, NICS, IAFIS, theNCIC Protection Order File, and theNational Sex Offender Registry.NCHIP funds may not be used tosupport studies, analysis, design, ordevelopment of State integratedsystems strategies.

(12) Record automation. Allowable costsinclude conversion of manual or othernonautomated records to electronicrecords. Records automated toinclude court dispositions, usingNCHIP funds, must be accessible toState- and Federal-level criminalhistory inquiries.

(13) Privacy. The advance of criminalrecord technology increases theavailability of identifiable records andraises significant issues of privacy.NCHIP funds may be used to covercosts associated with the analysis of


privacy issues and thedevelopment and implementationof privacy protocols.

(14) AFIS/livescan. Funds may beused to purchase equipment,develop procedures, andimplement protocols related toactivities involving the AFIS,repository, and the operation of theregistry. This may includepurchase of livescan equipment forlocal agencies. Where funds areto be used for this purpose, theapplication should demonstratethat funds can be justified on thebasis of geographic, population,traffic, or other related factors. Livescan can only be purchasedwhere the State has established anAFIS and either has implementedor is implementing proceduresto ensure that the AFIS iscompatible with FBI standards.

(15) Participation in the NSOR. TheNCHIP program is intended tosupport the National Sex OffenderRegistry (NSOR) by assistingStates to develop and enhanceState registries that feed into thenational system to ensurecompliance with requirements setforth in State and Federallegislation (the Wetterling Act,Megan's Law, and the LychnerAct). Allowable expendituresinclude costs of equipment,software, personnel training, anddevelopment and implementationof related operating andadministrative procedures.

Costs of regular operatingexpenditures are not coveredunder the program.

Sex offender registry filessupported with NCHIP funds mustbe compatible with the FBI file.

Funds are only allowable to supportdevelopment of local sex offenderregistries where data in such files areor will become directly accessiblethroughout the State and available tothe FBI's national system.

Funds may be used to purchaseequipment and develop software topermit the disclosure of registry data inconnection with background checks orother purposes as authorized by Stateor Federal legislation.

NCHIP funds are available to create alinkage between the State data fileand systems accessed by local lawenforcement officers. Funds may notbe used to purchase equipment foruse by individual law enforcementofficers.

(16) Establish mugshot identificationcapability. In support of sex offenderregistry operations, funds may beused for the purchase of equipmentand the development/implementationof procedures to include mugshots ofregistrants for use either within theState or for transmission to the FBI atsuch time as that capability becomesavailable. Mugshots supportcommunity notification and lawenforcement use of the registry as atool for identification andapprehension of suspects.

States requesting funds for this usemust justify the location of theequipment in terms of geography,population, traffic, and demographyand ensure that equipment to be usedat the local or county level include thecapability of transmitting images to theregistry for use throughout the State. All equipment and software purchasedor developed with funds under theaward must be compatible with FBIstandards.


(17) Interface with NIBRS. Funds maybe used to interface with any Statedata system that is compatible withNIBRS for purposes of identifyingpersons convicted of crimesagainst children, the elderly, or thedisabled; sex offenses; crimesinvolving domestic violence and/orstalking; and/or identification ofrecords involving firearm crimes foroperational or research purposes. NCHIP funds are not available,however, to develop the NIBRSdatabase.

(18) Research, evaluation,monitoring, and audits. Costsassociated with research orevaluation efforts are allowable tothe extent that they are directlyassociated with a project approvedin the application. Costsassociated with monitoring Statecompliance with legislative orprogrammatic goals throughongoing or periodic audits or otherprocedures are allowable andencouraged. The purchase ofequipment such as modems andthe necessary communications anddata software for storing andtransmitting evaluative databetween States and to BJS orother designated Federal agenciesis an allowable expense.

(19) Conversion of juvenile recordsto the adult system. Federalregulations allow the FBI to acceptjuvenile records if submitted by theState or local arresting agency. Expenditures to interface juvenileand adult records are allowable ifconsistent with relevant State lawand undertaken to further the goalsof the NCHIP program.

(20) Missing dispositions backlogreduction. These costs are

allowable to improve the level ofdisposition completeness includingolder arrest records. States must alsopropose a strategy to prevent futurebacklogs from developing.

(21) Equipment upgrades. Upgradecosts are allowable where related toimproving availability of data andwhere appropriate given the level ofdata completeness and participation innational records systems.Replacement costs will be considered,but States are encouraged tocontribute some portion of the totalcosts.

(22) Training and participation inseminars and conferences. Limitedfunds may be used to cover costs oftraining and participation in State,regional, or national meetings(including travel, where necessary).

(23) Reducing cost of backgroundchecks. States may use funds todevelop and implement technologiesthat lower costs of conductingbackground checks. These funds mayalso be used to pay all or part of theState's cost of conducting backgroundchecks on persons who are employedby or volunteer with a public,not-for-profit, or other voluntaryorganization to reduce theamount of fees charged for suchbackground checks, consistent with 42 U.S.C. 5119(b).

(24) Adoption and implementation of theNational Crime Prevention andPrivacy Compact. The Compact wasenacted as Title II of CITA. Fundsmay be used to cover costsassociated with State review andenactment of the Compact and withdevelopment and implementation ofprocedures (including purchase ofequipment and development of


software) necessary to facilitateoperations pursuant to Compactprotocols, including efforts relatingto participation in the FBI’s NFF.

(25) Records of approved sales. TheConsolidated Appropriations Act of2004 (Pub. L. No. 108-199),Section 617, established newrecord-keeping requirements forNICS transactions in which thedealer has been given a “proceed”response by the system. Consistent with FBI proceduresestablished to comply with this Act,POC States may utilize NCHIPfunds to implement programmingor operational changes in recordsmanagement necessary to complywith these new requirements.

Application submission due date

Applications may be submitted at anytime after publication of thisannouncement. Applications must bereceived by April 30, 2004, to be eligiblefor funding in FY 2004. Awards areexpected to be made by August 30, 2004. As these will be new awards this year, please check the Initial Award box whencompleting your application on the OJPGrants Management System (GMS).

Award period

Awards will be made for up to 12 months. Since the program builds on long-termNCHIP activity, States will have theflexibility to begin funded activitiesimmediately upon award or as late asOctober 1, 2005. All activities must bescheduled to be completed by September30, 2006. FY 2004 projects may overlapwith FY 2003 projects or may runconsecutively.

Performance measurement

The NCHIP program is continually assessingthe status of State record-holdings and Stateparticipation in national records systems. BJS requires applicants to provideperformance data which are used to measurethe progress and achievements of theprogram.

Applicants agree to —(1) provide information, quantitative whereavailable, as part of the program narrative onresults achieved under the program (seepages 19 and 20 for details); (2) provide datato the Records Quality Index (RQI)performance monitoring system; (3) provideBrady Act related data to the Firearm InquiryStatistics Program (FIST) in a prescribedformat; and (4) respond in a timely manner toinformational requests and formalevaluations sponsored by BJS and/or theFBI.

Application Requirements

The Office of Justice Programs (OJP)requires that funding applications besubmitted through the OJP GrantsManagement System (GMS). Accessthrough the Internet to this online applicationsystem will expedite and streamline thereceipt, review, and processing of fundingrequests. Applications will only be acceptedthrough the GMS online application system.

Applicants must submit the following —

C Application for Federal Assistance

C Assurances and Certificates

C Program Attachments:

Attachment #1: Budget Detail Worksheet with budget narrative

Attachment #2: Program Narrative(including accomplishments, current


status of program goals,description of tasks to be funded,unexpended funds, andcoordination activities)

Attachment #3: Other ProgramAttachments (includingdocumentation relating to courtparticipation, notification letter tothe State Information TechnologyPoint of Contact, and other writtencertifications)

Application for Federal Assistance(SF-424). The SF-424 is a standard formused by most Federal agencies. Itcontains 18 items that are to becompleted online in the Overview,Applicant Information, and ProjectInformation sections of the OJP GMS.

Assurances and Certificates. Applicants are required to review, accept,and “sign off” on these assurances andcertifications electronically through GMS. Please verify that the name, address,phone number, fax number, and e-mailaddress of the authorizing official onthese online forms are correct.

Assurances. The applicant mustcomply with assurances in order toreceive Federal funds under thisprogram. It is the responsibility of therecipient of Federal funds to fullyunderstand and comply with theserequirements. Failure to comply mayresult in withholding of funds,termination of the award, or othersanctions.

Certifications Regarding Lobbying:Debarment, Suspension, and OtherResponsibility Matters; and theDrug-Free Workplace Requirement. Applicants are required to review andcheck off the box on the certificationform included in their online

application process. This form commitsthe applicant to compliance with thecertification requirements under 28 CFRPart 69, “New Restrictions on Lobbying,”and 28 CFR Part 67, “A Government-Wide Debarment and Suspension(Nonprocurement) andGovernment-Wide Requirements forDrug-Free Workplace (Grants).”

Budget Detail Worksheet (Attachment #1)

Applications must provide a detailedjustification for all costs, including the basisfor computation of these costs. For example,the detailed budget would include thesalaries of staff involved in the project andthe portion of those salaries to be paid fromthe award; fringe benefits paid to each staffperson; travel costs related to the project;equipment to be purchased with the awardfunds; and supplies required to complete theproject.

Budget narrative. The budget narrativeshould detail costs included in each budgetcategory for the Federal and the non-Federal(in-kind and cash) share. The purpose of thebudget narrative is to relate items budgetedto project activities and to provide justificationand explanation for budget items, includingcriteria and data used to arrive at theestimates for each budget category. Thebudget narrative should also indicateamounts to be made available to subrecipientagencies (under Contractual/Contractscategory) other than the direct awardrecipient. The following is provided to assistin developing the budget narrative:

a. Personnel category. List eachposition by title (and name ofemployee if available), show annualsalary rate and percentage of time tobe devoted to the project by theemployee. Compensation paid foremployees engaged in Federally-assisted activities must be consistentwith that paid for similar work within


the applicant organization.

b. Fringe benefits category. Indicate each type of benefitincluded and explain how the totalcost allowable for employeesassigned to the project iscomputed.

c. Travel category. Itemize travelexpenses of project personnel bypurpose (e.g., faculty to trainingsite, field interviews, advisorygroup meetings) and show basis ofcomputation. For example, "Fivetrips for x purpose at $80 averagecost $50 transportation and twodays per diem at $15" or "Sixpeople to 3-day meeting at $70transportation and $45subsistence." In training projectswhere travel and subsistence fortrainees is included, this should beseparately listed indicating thenumber of trainees and the unitcosts involved.

(1) Identify the tentative location ofall training sessions, meetings, andother travel.

(2) Travel costs are allowable asexpenses by employees who are intravel status on official business. These costs must be inaccordance with the Federal or anorganizationally-approved travelpolicy.

(3) Recipients may follow theirown established travel rates. If arecipient does not have anestablished travel policy, therecipient must abide by the Federaltravel policy. Subrecipients ofStates must follow their State'sestablished travel policy. If a Statedoes not have an establishedtravel policy, the subrecipient must

abide by the Federal travel rates.

d. Equipment. List each type ofequipment to be purchased or rentedwith unit or monthly costs.

e. Supplies. List items within thiscategory by major type (officesupplies, training materials, researchforms, postage) and show basis forcomputation. Provide unit or monthlyestimates.

f. Contractual category. State theselection basis for any contract,subcontract, prospective contract orprospective subcontract. Please note,applications that includenoncompetitive contracts for theprovision of specific services mustcontain a sole source justification forany procurement in excess of$100,000. For individuals to bereimbursed for personal services on afee basis, list by name or type ofconsultant or service, the proposedfee (by day, week, or hour) and theamounts of time to be devoted to suchservices. For construction contractsand organization (includingprofessional associations andeducation institutions performingprofessional services), indicate thetype of service to be performed andthe estimated contract cost data.

g. Other category. Includes itemssuch as rent, reproduction, telephone,and janitorial or security services. Listitems by major type with basis ofcomputation shown. (Provide squarefootage and cost per square foot forrent. Provide local and long distancetelephone charges separately.)

h. Indirect charges category. TheAgency may accept an indirect costrate previously approved for anapplicant by a Federal agency.


Applicants must enclose a copy ofthe approved rate agreement withthe grant application.

i. Program income. If applicable,provide a detailed estimate of theamount of program income to begenerated during the grant periodand its proposed application toreduce the cost of the project or toincrease the scope of the project. Also, describe the source ofprogram income, listing the rentalrates to be obtained, sale prices ofpublications supported by grantfunds, and registration feescharged for particular sessions. Ifscholarships (covering, forexample, registration fees) areawarded by the organization tocertain conference attendees, theapplication should identify thepercentage of all attendees thatare projected as "scholarship"cases and the precise criteria fortheir selection.

Program Narrative (Attachment #2)

The program narrative must include thefollowing three sections:

(1) Background and identification ofneeds, including accomplishmentsand current status of programgoals

(2) Description of tasks to be funded

(3) Coordination activities

States may, at their option, satisfyrequirements noted below by referencingor summarizing previous NCHIPapplications.

Section 1: Background andidentification of needs

Accomplishments. Applicants must provide adetailed summary of the accomplishmentsachieved with funding under NCHIP. Thissection should describe, in quantifiable termsif possible, results achieved and advancesmade since the inception of NCHIP. Specifically address accomplishmentsrelating to participation in each of the nationaldatabases and initiatives (i.e. III, NICS, NCICProtection Order File, National Sex OffenderRegistry, IAFIS, mental health records, andlivescan/AFIS capability). Where relevant,reference should be made to surveys andaudits.

Current status of program goals. Thissection should include a short update ofcurrent efforts relating to improvement ofcriminal history records, protection orderdata, or sex offender registries (includingefforts supported under OJP and otherFederal or State funded programs) andshould discuss any evaluative effortsundertaken to identify the key areas ofweakness in the State's criminal recordsystem since submission of previous NCHIPapplications. The applicant shouldspecifically describe the status of Stateparticipation in the NICS, the III, the NationalSex Offender Registry, and the NCICProtection Order File.

Please address each of the followingsubject areas in your application andinclude current number of records in eachsystem, where applicable.

Interstate Identification Index (III). Statesthat are not members of III at the time ofapplication must identify the tasks remainingto permit III participation and indicatewhether available funding is adequate andthe planned month and year of participationin III. If available funding is not adequate, theState is expected to apply for NCHIP fundingthat will permit the State to participate in III. Mental health records availability. Statesshould indicate whether their mental healthrecords are checked, either by the State POC


or the FBI, during a NICS check. Wheremental health records are accessible,please include the number of recordscurrently available and any plans toimprove availability. If mental healthrecords are not currently accessible at thetime of a background check, pleasedescribe factors which limit or prohibitexchange of mental health records.

Protection order files. States shouldindicate whether they submit informationfor inclusion in the FBI's NCIC ProtectionOrder file. States that submit protectionorders should indicate the number ofactive protection orders provided to theFBI. States that do not submit protectionorders should describe the prohibitingfactors and any plans to overcome them.

Sex offender registry. State applicationsshould discuss the extent to which theState provides information to the FBI'sNCIC Sex Offender Registry. States thatdo not submit sex offender informationshould describe the prohibiting factorsand any plans to overcome them.

Denied persons file. State applicationsshould discuss the extent to which theState provides information to the FBI'sDenied Persons File in the NICS Index. States that do not submit information tothis file should describe the prohibitingfactors and any plans to overcome them.

NICS inquiries. The application must alsodiscuss the extent to which dispositionsrequested in connection with a NICSinquiry have not been provided within therequired time frame, and must identifyany problems that are delaying instantresponses to NICS inquiries and identifyproposed solutions to these problems. Particular attention should be directed atneeds of courts in connection withcapture of disposition data.

Section 2: Description of tasks to befunded under NCHIP

Please describe the activities to beconducted with NCHIP funds over the projectperiod and specifically address each of thepriority areas (identified under Programpriorities). States not requesting money inpriority areas must indicate in the applicationthat alternative efforts are being undertakento achieve overall priority goals. (Referencemay be made to accomplishments or currentstatus to alleviate duplication.)

NICS. To support operation of the NICS,each application must also indicate thoseactivities which are designed to improve theeffective operation of the NICS, including inparticular, the ability to capture dispositionsassociated with arrests identified in NICSinquiries and to promptly enter suchdispositions in the appropriate automatedState and FBI records. States which do notpropose funding for this purpose shouldjustify that decision by demonstratingalternative means which are, or will be,followed to ensure rapid responses to NICSinquiries.

Courts. In recognition of the importance ofcourt reporting to the development ofcomplete and accurate criminal records, allapplications must describe tasks and indicatethe level of funds that will be made directlyavailable to the courts. (See precedingdiscussion under Priorities.) Where no fundsare provided for court-directed dispositionreporting activities, a certification by theappropriate State court official decliningparticipation must be included with thissection.

Performance measures. To permitassessment of State progress in meetingprogram goals, this section should set forthmeasurable benchmarks or goals for eachproposed activity and describe audits or otherevaluative efforts such as statistical analysisor comparison between computerized


evaluative efforts such as statisticalanalysis or comparison betweencomputerized criminal history records andNIBRS or Uniform Crime Reporting (UCR)data. Studies relating to handgun salesor prosecution of persons rejected forfirearm purchase based on a NICS check,if proposed, should be described in thissection.

Budget. The budget should providedetails for expenses in requiredcategories (including match) and byindividual task. The application shouldidentify those agencies to receive directfunding and indicate the fiscalarrangements to accomplish fundtransfer.

Match. The authorizing legislation ofNCHIP requires a 10% match. Thissection should include a description ofactivities, with accompanying fiscalimplications, which the State indicates willserve as the match for activities fundedunder NCHIP. BJS will consider all effortswhich are designed to meet programgoals, as set forth in the ProgramAnnouncement to be allowable in supportof the 10% match requirement.

Unexpended funds. The applicationshould describe the specific reasons thatfunds remain unexpended.

Compatibility with other systems. Theapplication should describe the extent towhich proposed activities are compatiblewith NIBRS, NCIC 2000, NICS, IAFIS,and other applicable statewide or regionalcriminal justice information sharingstandards or plans including State anti-terrorism plans.

Section 3: Coordination

The administering NCHIP agency shouldcoordinate efforts with relevant emergencymanagement task forces and agencies toensure that records development activitiesare compatible with security measures forpreventing acts of terrorism. NCHIP activitieswill be coordinated with other OJP effortsauthorized and funded under CITA.

To encourage coordination and informationsharing among criminal justice systems, allOJP awards supporting informationtechnology development are being specialconditioned to require that a description ofthe project be submitted to the StateInformation Technology Point of Contact(POC), if one has been designated.

The name and address of the State POC canbe obtained at 1-800-421-6770 or at the OJPExecutive Council webpage <http://www.ojp.usdoj.gov/ec/states.htm>. A copy of thecorrespondence can be submitted as part ofAttachment #3 (see below) or sent directly toBJS prior to fund drawdown. There is norequirement that the point of contact concurwith the information technology project. Theintent of this condition is to facilitatecommunication within the State.

Other Program Attachments (Attachment#3)

The following required documents should besubmitted as a single file attachment:

C letter of support/commitment from thecourts (if no funds are going to thecourts);

C statement/memo indicating that fundsare going to the courts (includingamount of funds);


C letter to the State InformationTechnology POC describing thecurrent application request, asreferenced above; and

C as required by CITA, theauthorizing legislation for theNCHIP program, a statementcertifying that: (1) the State iseither currently participating in theInterstate Identification Index (III)or actively working toward suchmembership, and, (2) has initiated,or will initiate, a comprehensivestrategy for statewide informationsharing which emphasizes theintegration of all criminal justicesystem components — lawenforcement, courts, prosecution,corrections, and probation andparole.


Quick-Start Guide to Using the Office of Justice Programs Online Grants Management System (GMS)

Step 1. Using an established Internet account, go to www.ojp.usdoj.gov/fundopps.htm. Anonline Applicant Procedures handbook is available on this page, and applicants may linkdirectly to OJP’s Grants Management System (GMS), which will provide online help screens.Note: Applicants without an Internet account should call the GMS Hotline at 1-888-549-9901for assistance.

Step 2. Click on “Logon to the Grants Management System (GMS)

Step 3. Follow the on-screen instructions. First time users should click on “New User?Register Here.” Applicants who already have a GMS password should click on “GMS Sign-in.” Proceed to the FY 2004 BJS National Criminal History Improvement Program (NCHIP)Program Announcement, and begin working on it. Applicants will receive e-mail confirmationfrom BJS that they are eligible to submit an application within 7 days.

Plan ahead. Applicants can register at any time and are encouraged to do so as soonas possible. Please note that applicants must ensure that the information for theauthorizing official and alternate contact is entered correctly. The authorizing officialis the individual authorized to accept grant funds in your organization. If the individualapplying online is not the signing authority, that individual must list the authorizingofficial’s name and contact information where appropriate.

Step 4. Complete the online Application for Federal Assistance (SF-424) by providing therequired information in the Overview, Applicant Information, and Project Information screens.

Step 5. Complete the application by electronically “accepting” the Assurances andCertifications and submitting the three required file attachments: Budget Detail Worksheet,Program Narrative, and Other Program Attachments. (See the Application checklist on theprevious page and application requirements in the Program Announcement for detailedinstructions about the information to include in each of these attachments.) Please note thatapplicants must upload one file per attachment. Only the most current file uploadedto the appropriate attachment will be saved as part of the application. All sections ofeach attachment must be completed for your application to be considered for funding.

Submit your completed application online. The GMS system will notify the applicant thatthe application has been received and sent to BJS and provide an application identificationnumber for future reference.

Questions or Problems: Applicants who have questions should refer to the onlinehandbook or access applicable help screens. If the questions cannot be addressed byaccessing the online GMS reference tools, call the GMS Hotline at 1-888-549-9901.


Application ChecklistFY 2004 National Criminal History Improvement Program

All applications must be electronically submitted through the Office of Justice Programs’ GrantsManagement System (GMS), which can be accessed at http://www.ojp.usdoj.gov/fundopps.htm. Please use this checklist to make sure your application is complete. Your GMS application mustinclude:

Online Forms

____ Application for Federal Assistance (Standard Form 424). This form is generated bycompleting the on-screen Overview, Applicant Information, and Project Information screensin GMS.

____ Assurances and Certifications. The assurances and certifications must be reviewedand accepted electronically by the authorizing official or the designated authorizing official.

Attachments (3)

___ Budget Detail Worksheet and Budget Summary (Attachment #1). The Budget DetailWorksheet must present a detailed budget that itemizes all proposed costs and mustinclude a budget narrative that provides justification for all proposed costs. A BudgetSummary should also be included (with the 10% State match clearly outlined in the detailworksheet and summary).

___ Program Narrative (Attachment #2). The Program Narrative must include the followingsections (see NCHIP Program Announcement FY 2004 pgs. 19-21 for specific informationthat should be included in each section):

___ Accomplishments

___ Current Status of Program Goals (including involvement in FBI National Systems)

___ Description of Tasks to be funded (dollar amounts should be included for eachtask) Specifically address each of the Priority areas.

___ Unexpended Funds - current amount of unexpended NCHIP funds and a statementindicating when remaining funds will be spend.

___ Other Program Attachments (Attachment #3). All attachments must be in one file.

___ Letters of support/commitment from the courts if no funds are going to the courts.

___ Statement/Memo indicating funds are going to the courts (including amount offunds).

___ Letter to the State Information Technology Point of Contact describing currentapplication request.

Please refer to corresponding sections in the Program Announcement to determine specificcontent of each of these sections.

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