National Criminal History Improvement Program … Criminal History Improvement Program U.S. Department of Justice Office of Justice Programs Fiscal Year 2002 Program Announcement Bureau

National Criminal HistoryImprovement Program

U.S. Department of Justice Office of Justice Programs

Fiscal Year 2002Program Announcement

Bureau of Justice Statistics

NCHIP


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 Programs

810 Seventh Street, N.W.Washington, D.C. 20531

John AshcroftAttorney General

Office of Justice Programs

Deborah J. DanielsAssistant Attorney General

World Wide Web site:http://www.ojp.usdoj.gov


Lawrence A. GreenfeldActing Director

World Wide Web site:http://www.ojp.usdoj.gov/bjs/

For information contact:BJS Clearinghouse

1-800-732-3277

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

National Criminal HistoryImprovement Program

Fiscal Year 2002Program Announcement

February 2002, NCJ 192811

Department of Justice ContentsOffice of Justice ProgramsBureau of Justice Statistics Summary 1

Accomplishments 2

John Ashcroft Program priorities 3 Attorney General

Program goals 5This program announcementis one in a series. To Appropriation 7determine if more recent announcements are available, Application and award process 8 go to:

Allowable costs 11 http://www.ojp.usdoj.gov/bjs/

Appendix

Application and administrative requirements 17

1National Criminal History Improvement Program Fiscal Year 2002 Program Announcement

Summary

The Bureau of Justice Statistics (BJS) ispublishing this notice to announce thecontinuation of the National Criminal HistoryImprovement Program (NCHIP) in Fiscal Year2002. Copies of this announcement can also befound on the Internet at http://www.ojp.usdoj.gov/bjs/

In 2002 the appropriation for the NCHIP programwas made pursuant to the Crime IdentificationTechnology Act of 1998, and the procedures forapplying for NCHIP grants reflect the provisionsof that Act. In particular, State matching fundsare required for NCHIP applications. TheNCHIP program is an umbrella program thatimplements the grant provisions of —

� the Crime Identification Technology Act of 1998, Pub. L. No. 105-251;

� the Brady Handgun Violence Prevention Act (Brady Act), Pub. L. No. 103-159, 107 Stat. 1536 (1993), codified as amended at 18 U.S.C. Sections 921 et seq.;

� the National Child Protection Act of 1993 (NCPA), Pub. L. No. 103-209, 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;

� 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 to date. The NCHIP was initiated in1995 as an umbrella program. It hasencompassed evolving efforts to support Stateactivities for the establishment of records systemsand the collection and use of criminal history andrelated records. Since 1995 direct awards underthe basic NCHIP(including awards to "priority"States and awards under the Advanced StateAward program (ASAP)) totaled nearly $355 million. In addition, $6 million was transferred to the FBIfor implementation of the National Instant CriminalBackground Check System (NICS) and nearly $18million was awarded to provide direct technicalassistance to States, to evaluate the program, andto collect statistics and research data on presalefirearm checks.

The National Sex Offender Registry AssistanceProgram (NSOR-AP) was added to NCHIP in FY1998, with a $25 million appropriation having thegoal of assisting States in upgrading sex offenderregistries consistent with Federal and Statestandards and providing data to the FBI SexOffender Registry. Starting in FY 1999, fundingfor State sex offender registries was coveredunder the general NCHIP.


The Violence Against Women Act authorized a total of $6 million for fiscal years 1996 through 1998 to improve processes for entering data onstalking and domestic violence into local, State, and national databases. The funds wereincorporated into, and awarded under, theNCHIP program during those years. Thisprogram was re-authorized by the ViolenceAgainst Women Act of 2000 at $3 million peryear for fiscal years 2001 through 2005 andfunding was re-instituted in FY 2002.

To date, all States have received funds underthe NCHIP.

Accomplishments

NCHIP has provided support to States for —

� Record improvement and support forcourts. All States have received funds underNCHIP to upgrade the quality of criminalhistory record systems. Funds have beenawarded for acquisition of advancedequipment, development of software, andconversion of manual records to anautomated format which permits instantaccess and linkage. Automated criminalrecords permit immediate access for lawenforcement and other purposes such asbackground checks. BJS conducts surveysof criminal record holdings within the Statesevery two years. The 1999 BJS surveyindicated that States held more than 60million records and that approximately 90%of these were automated. Trend data fromprior surveys show that record quality andaccess to records has substantially increasedas a consequence of the NCHIP. Since theinception of NCHIP, the number of criminalhistory records held nationwide grew 28%while the number of automated recordsincreased 33%. Over the same period, the

number of records available for sharing underthe FBI’s Interstate Identification Index (III)climbed 60%.

� Participation in the Interstate IdentificationIndex (III). To ensure compatibility, all recordenhancements funded under NCHIP arerequired to conform to FBI standards for IIIparticipation. III participation is critical since itconstitutes the primary system through whichthe FBI accesses State-held data for NICSchecks. In 1989, only 20 states weremembers of the FBI’s III system which permitsinstant access to out-of-State data. Byyear-end 1993, 26 States were participants. To date, 43 States are members of III meetingthe rigorous standards of the FBI forparticipation.

� Automation of records and fingerprint data. Funds have been used by States to establishautomated fingerprint identification systems(AFIS), and to purchase livescan equipment forState and local agencies. AFIS systems enableStates to conduct automated searches forrecords based on fingerprint characteristicsand to interface with the FBI’s IntegratedAutomated Fingerprint Identification Systems(IAFIS). Currently, 35 States and 2 territories(Guam and the U.S. Virgin Islands) participatein IAFIS, which became operational in July1999. In addition to ensuring that records areproperly matched to the correct offender, AFISminimizes the time and manpower required forsearching fingerprint databases, whichfacilitates matching of latent prints obtained ata crime scene. Livescan equipment permitslaw enforcement to take fingerprints withoutuse of inkpads or other similar procedures andto transfer fingerprints to the State’s AFIS forcomparison and matching against State andFBI held prints. Almost all States havereceived NCHIP funds to use in connectionwith fingerprint automation systems.


� National instant background check. TheBrady Act requires that a background checkbe conducted using the FBI’s National InstantCriminal Background Check System (NICS)to identify potential purchasers who areprohibited from purchasing firearms. Theeffectiveness of the system is dependent onthe extent to which complete records areavailable in response to system inquiries. NCHIP funds have been used to increase thenumber of records which are accessible tothe system and to fund the development ofcourt systems to ensure that records includefinal dispositions.

� Sex Offender Registry. Beginning in FY1998, NCHIP funds have been provided toassist States in developing and enhancingthe operation of State sex offender registriesthat include information on convicted sexoffenders. These funds have been used forpurchase of equipment, training, anddevelopment of procedures required toensure that released offenders are registeredwith proper authorities, and that Statesystems are capable of interfacing with theFBI’s National Sex Offender Registry system. The FBI’s permanent National Sex OffenderRegistry became operational in July 1999. To date, 34 States, the District of Columbia,and Guam are contributing to the systemwhich has more than 184,000 records.

� Domestic violence records/protectionorders. Since amendment of the FederalGun Control Act to prohibit sales of firearmsto persons subject to a qualifying domesticviolence related protection order or convictedof a qualifying domestic violencemisdemeanor, NCHIP has put specialemphasis on ensuring that domesticviolence-related offenses are included incriminal records. Funds have specifically

been awarded for development of Stateprotection order files that are compatible withthe FBI’s national file so as to permit interstateenforcement of protection orders. Thirty-sevenStates now submit data to the NCIC ProtectionOrder File, which became operational in May1997 and includes nearly 590,000 records ofprotection orders.

The FY 2002 program

A total of $35 million was appropriated under theCrime Identification Technology Act in FY 2002 tocover NCHIP activities. In addition, $3 million wasappropriated in FY 2002 for the purposesdescribed in the Violence Against Women Act andthe Violence Against Women Act of 2000 tosupport the development of anti-stalker databases(protection order files).

Program priorities

Commitment to establishing the infrastructureto support full implementation of the NationalInstant Criminal Background Check System(NICS), including commitment to fullparticipation in the Interstate IdentificationIndex (III)

Consistent with the Brady Act, the FBI's NationalInstant Criminal Background Check System(NICS) became operational in November 1998 and provides instant background checks todetermine if a potential firearm purchaser is aconvicted felon or otherwise prohibited frompurchasing a firearm under Federal or Statestatute. The effectiveness of NICS depends onthe extent to which the most accurate andcomplete records of Federal and State criminaloffenses and records in other prohibiting categories are instantly available in response toinquiries from firearms dealers.


To ensure that checks are made against themost current and complete records, the NICSconfiguration encourages States to serve as a "Point of Contact" (POC) interfacing between firearm dealers and the FBI's national record system. NCHIP recognizes the national benefitswhich accrue from States serving as POCS andencourages States to serve in this role byallowing funds to be used to cover costsassociated with establishment of the capability to serve as a POC.

Since inception, and as currently authorized under CITA, NCHIP is designed to assist Statesin developing the infrastructure which willsupport operation of the NICS. Accordingly, theprogram does not cover operating costsassociated with NICS participation. States areencouraged, however, to use NCHIP funds todevelop systemic solutions to minimize delays ininstant responses to NICS inquiries (for details,see "Allowable costs," below). Use of funds toenhance the data base by including missingdispositions would, for example, be appropriatein pursuing this priority funding topic asdescribed in the section, “Commitment tosupport court efforts”.

The underlying system supporting FBIresponses to NICS inquiries is the InterstateIdentification Index (III). At present, 43 Statesparticipate in the system. Full participation in IIIis a key goal of NCHIP, and States which are notparticipating must include in their NCHIPapplications a discussion of their III status andplan for future participation.

Commitment to support court efforts relatingto development of record systems

Whenever a criminal history record shows an arrest without a disposition, there is the potential for delay in responding to presale firearm inquiries under the NICS, since disqualification,

in most cases, is dependent upon a finding of aconviction rather than a simple arrest. In addition,immediate access to protection orders on aninterstate basis is vital for protection of victims ofdomestic violence.

For this reason, all applications will be required todemonstrate that court needs have beenconsidered, and, if no funds for upgrading courtsystems capable of providing disposition data arerequested, applicants should include a letter fromthe State court administrator or Chief Justiceindicating that the courts have been consulted inconnection with the application. The category ofallowable costs has been expanded to cover costsof implementing all court system enhancementswhich will result in improved disposition availabilityand linkage with the State criminal history recordsystem.

In addition, all States must specifically discuss the technical and policy issues which limit theState’s ability to provide disposition data in response to NICS inquiries within the required NICS timeframe. The application should alsodescribe procedures which will be followed toameliorate this problem both in the long term andwithin the current grant period and the extent towhich NCHIP funds will be used for this purpose,including, where appropriate, the allocation of some portion of NCHIP funds to court or countyclerks, or other relevant agencies, to cover costsof accessing dispositions and adding suchdispositions to the State automated database. (See Application Requirements and Allowable costs below.)

Commitment to support efforts relating to theimprovement of National security standards

The need to ensure the security of governmentfacilities and records has put substantial strain onthe manpower and resources of most States. Asthe nation develops strategies to prevent future


terrorist events, it is clear that access to accurateand complete records and the availability ofautomated fingerprint identification systems arecritical to support the wide variety of backgroundchecks necessary to protect public safety.

Protection order files and records ofdomestic violence

The Federal Gun Control Act prohibits sale of afirearm to persons subject to a qualifyingdomestic violence related protection order andpersons convicted of a qualifying domesticviolence misdemeanor. Complete records ineach of these categories must be madeaccessible to the POC and the FBI to ensurethat NICS checks identify persons covered bythese prohibitions. The time-sensitivity anddifferences of protection orders issued bydifferent courts increase the complexity ofdeveloping a protection order system which iscomplete and up-to-date.

Establishment of accessible files of domesticviolence related misdemeanors is also difficult since misdemeanor data have not traditionally been maintained at the State level and domesticviolence related offenses may be difficult todistinguish from misdemeanors classified asassaults. In light of the complexity associatedwith efforts in this area, and the importance ofthis data to protecting the public safety, NCHIPstrongly encourages States to focus on thedevelopment of these record systems and toensure that such systems meet the needs ofthose agencies which have been charged withresponsibility relating to domestic violence.

Enhanced access to criminal records for non criminal justice purposes, includingimplementation of the National Crime Prevention and Privacy Compact

The demand for criminal record background

checks on persons seeking positions involvingnational security, fiscal responsibility, andresponsibility for children, the elderly, the disabledand other vulnerable populations has increasedmarkedly in recent years, reflecting changes intechnology and the increased dependence onavailable information wherever it may be held. Inkeeping with the provisions of CITA, NCHIPrecognizes the need to facilitate such backgroundchecks, consistent with applicable limitations ofState and Federal law and policy.

To support such interchange of information on aninterstate basis, the Interstate Crime Control andPrivacy Compact was enacted in 1998 as part ofCITA. To date, 14 States have enacted thecompact. Four States have startedimplementation of the National Fingerprint Filewhich constitutes the technological basis forimplementation of the Compact.

The Compact provides the framework forexchange of criminal record data, using the IIIsystem, in response to fingerprint-based inquiriesfor non criminal justice purposes. NCHIP supportsState efforts to establish the technology andpolicies necessary for participation in the Compactand encourages States to consider protocols,including funding for necessary equipment,training, and outreach, to assist organizationsengaged in activities involving vulnerablepopulations to meet the requirements for interstatebackground checks.

Program goals

The goal of the NCHIP award program is toimprove the Nation's public safety by enhancing the quality, completeness and accessibility of theNation's criminal history and sex offender recordsystems and the extent to which such records canbe used and analyzed for criminal justice andauthorized non criminal justice purposes.


Specifically, NCHIP assists States —

� to develop and enhance automated adult and juvenile criminal history record systems,including arrest and disposition reporting;

� to implement and upgrade Automated Fingerprint Identification Systems (AFIS) which are compatible with NIST standards and with the FBI’s Integrated Automated Fingerprint Identification System (IAFIS), including livescan and other automated finger imaging technologies to digitize communication images to the FBI administered identification system;

� to establish programs and systems to facilitate full participation in the Interstate Identification Index (III)of the National Crime Information Center (NCIC);

� to implement systems, policies and procedures to facilitate full participation in the National Crime Prevention and PrivacyCompact enacted under the CrimeIdentification Technology Act of 1998;

� to develop systems to facilitate full participa-tion in the National Instant Criminal Back-ground Check System (NICS) establishedunder the Brady Handgun Violence Preven-tion Act, and to provide data in response toNICS background check inquiries;

� to ensure that non criminal history record information systems relevant to firearms eligibility determinations become available and accessible to the NICS;

� to support court-based criminal justice systems which report dispositions to the State repository and the FBI and are compatible with other criminal justicesystems;

� to support the development of accurate andcomplete State sex offender identification andregistration systems which interface with theFBI's Sex Offender Registry and meetapplicable Federal and State requirements;

� to identify, classify, collect, and maintain records of protection orders, warrants,arrests, and convictions of persons violatingprotection orders so as to protect victims ofstalking and domestic violence;

� to improve the coordination of records amongStates, the Federal government, and INS;

� to establish programs to support availability offingerprint supported criminal record data forauthorized noncriminal justice purposesincluding background checks on persons withresponsibility for children, the elderly, or thedisabled;

� to ensure that comprehensive data areavailable to support background checks onpersons employed or licensed for sensitivepositions such as at airports, governmentfacilities, and law enforcement agencies;

� to identify (through interface with the National

Incident Based Reporting System [NIBRS]where necessary) records of crimes involvinguse of a handgun and/or abuse of children,the elderly, or disabled persons;

� to participate in systems integration plans

which support improved access to andexchange of information among criminaljustice agencies, including law enforcement,courts, prosecutors, and corrections;

� to establish domestic violence offender identification and information systems;


� to ensure that States develop the capabilityto monitor and assess State progress inmeeting legislative and programmatic goals;

� to ensure that criminal justice systems are designed, implemented, or upgraded to be,as appropriate, compatible with NIBRS,NCIC 2000, NICS, IAFIS, and applicablestatewide or regional criminal justiceinformation sharing standards and plans;

� to establish tracking systems to maintainprospective data on subsequenttransactions involving rejected applicants;and,

� to ensure that complete and accurate dataare available for anti-terrorism efforts.

Strengthening records to avert terrorism

This year NCHIP will also focus on newinitiatives, using criminal records, to supportanti-terrorism. New concerns about theadequacy of redundant and backup recordssystems, building better ties betweenimmigration and criminal records, and bettercoordination with homeland defense andemergency management agencies within theStates are all matters on which States may wishto focus interest. However, it is important toreiterate that all of these efforts must focus onthe development of better records systems.

Addressing "open arrests" in older records

Another potential area for funding is thedevelopment and transmittal of records ofrejected firearms purchasers and deniedapplicants to the FBI’s NICS Index. This file canbe an important resource for improving both thetimeliness of NICS checks and it also insuresthat repeated record research is not needed. Asking jurisdictions to research open arrests hasbecome a very time-consuming andburdensome activity for localities when an open

arrest is identified in the record. A morecoordinated approach to building the nationalidentification infrastructure will help amelioratethis problem. Recently the FBI conducted a studyof a week’s worth of failed instant checks to learnmore about the characteristics of the open arrestproblem. The study demonstrated that aboutthree-quarters of the problem records had the lastarrest prior to the initiation of the NCHIP Programand more than half had the last arrest occurringbefore 1984. In other words, open arrestproblems are most often occurring when an olderrecord is being checked. Better development anduse of denied persons files should avert recurringchecks of the same person.

Including mental health records in backgroundcheck systems

The 1968 Gun Control Act as amended indicatesthat persons who are adjudicated as mentallydefective or have been involuntarily committed toa mental institution are ineligible to purchase afirearm. Some point-of-contact States include acheck of such records during the course of apresale background check. Presale checks inStates using the NICS only to conduct backgroundchecks do not check records outside the NICSIndex. NCHIP encourages applicants to considereither incorporating such data into their ownbackground check system or transmitting suchinformation to the FBI’s NICS Index.

Appropriation

The NCHIP appropriation under the CrimeIdentification Technology Act of 1998 is $35million, with an additional $3 million appropriatedfor the purposes described in the Violence AgainstWomen Act and the Violence Against Women Actof 2000. Consistent with the legislative goal ofCITA, and with the ongoing NCHIP policy, NCHIPallows States to determine those task areas whichthey believe can be expected to most improveoperations of the criminal justice system and


which will result in maximum benefits to thecitizens of the applicant State.

Application and award process

General. An award will be made to each eligibleapplicant State with funds from the FY 2002appropriation. The NCHIP application must besubmitted by the agency designated by theGovernor to administer the NCHIP program. States may choose to submit applications aspart of a multi-state consortium or other entity. In such cases, the application should include astatement of commitment from each State andbe signed by an individual designated by theGovernor of each participating State. Theapplication should also indicate specificresponsibilities and include a separate budget for each State.

Application submission and due dates

Applications may be submitted at any time afterpublication of this announcement. Applications must be received by April 1, 2002, to be eligible for funding from the FY 2002 appropriation. NCHIP awards are expected to be made by July15, 2002.

CITA requirements. Applications funded under CITA must be accompanied by a documentsigned by the submitting official certifying that:(1) the State is either currently participating inthe Interstate Identification Index (III) or activelyworking toward such membership, and, (2) hasinitiated, or will initiate, a comprehensivestrategy for statewide information sharing whichemphasizes the integration of all criminal justicesystem components — law enforcement, courts, prosecution, corrections, and probation andparole. The 10% match requirement set forth inCITA must also be documented, as described ina later section of this Announcement.

Program narrative

In addition to the requirements set forth in theappendix, the NCHIP application should includethe following three parts. States may, at theiroption, satisfy requirements noted below byreferencing or summarizing previous NCHIPapplications. Note: A section on “Accomplish-ments” must be included with the Background.

Part I. Background and identification of needs

Accomplishments. Applicants should provide adetailed summary of the accomplishmentsachieved with funding under NCHIP. This sectionshould describe, in quantifiable terms if possible,results achieved and advances made since theinception of NCHIP.

Current activity. This section should include ashort update of current efforts relating toimprovement of criminal history records, protectionorder data, or sex offender registries (includingefforts supported under OJP and other Federal orState funded programs) and should discuss anyevaluative efforts undertaken to identify the keyareas of weakness in the State's criminal recordsystem since submission of previous NCHIPapplications. The applicant should specificallydescribe the status of State participation in theNICS, the III, and the FBI's Sex Offender Registryand NCIC Protection Order File.

Interstate Identification Index (III). States that arenot members of III at the time of application mustidentify the tasks remaining to permit IIIparticipation and indicate whether availablefunding is adequate and the planned month andyear of participation in III. If available funding isnot adequate, the State is expected to apply forNCHIP funding that will permit the State toparticipate in III.


Sex Offender - Protection Order files. States notsubmitting data to the FBI's Sex OffenderRegistry or NCIC Protection Order File mustidentify tasks, and are expected to allocateresources, to meet these goals.

NICS inquiries. The application must alsodiscuss the extent to which dispositionsrequested in connection with a NICS inquiryhave not been provided within the required timeframe, and must identify any problems that aredelaying instant responses to NICS inquiries andidentify proposed solutions to these problems. Particular attention should be directed at needsof courts in connection with capture ofdisposition data.

Part II. Description of tasks to be funded under NCHIP

General. This section should describe theactivities to be undertaken with NCHIP fundsover the project period and should specificallyaddress each of the five identified priority areas. States not requesting money in priority areasmust indicate in the application that alternativeefforts are being undertaken to achieve overallpriority goals.

Assessment of progress. To permit assessmentof State progress in meeting program goals, thissection should set forth measurable benchmarksor goals for each proposed activity and describe audits or other evaluative efforts such asstatistical analysis or comparison betweencomputerized criminal history records andNational Incident-Based Reporting System(NIBRS) or Uniform Crime Reporting (UCR)data. Studies relating to handgun sales orprosecution of persons rejected for firearmpurchase based on a NICS check, if proposed,should be described in this section.

Courts. In recognition of the importance of courtreporting to the development of complete andaccurate criminal records, all applications should

describe tasks and indicate the level of funds thatwill be made directly available to the courts. (Seepreceding discussion under Priorities.) Where nofunds are provided for court-directed dispositionreporting activities, a certification by theappropriate State court official decliningparticipation must be included with this section.

NICS. To support operation of the NICS, each application must also indicate those activitieswhich are designed to improve the effectiveoperation of the NICS, including in particular, theability to capture dispositions associated witharrests identified in NICS inquiries and to entersuch dispositions in the appropriate automatedState and FBI records. States which do notpropose funding for this purpose should justify thatdecision by demonstrating alternative meanswhich are, or will be, followed to ensure rapidresponses to NICS inquiries.

Budget. The budget should provide details forexpenses in required categories (including match)and by individual task (see Appendix A,Application content). The application shouldidentify those agencies to receive direct fundingand indicate the fiscal arrangements toaccomplish fund transfer.

Match. This section should include a descriptionof activities, with accompanying fiscal implications,which the State indicates will serve as the matchfor activities funded under NCHIP. BJS willconsider all efforts which are designed to meetprogram goals, as set forth in the ProgramAnnouncement to be allowable in support of the10% match requirement.

Unexpended funds. The application shoulddescribe the specific reasons that funds remainunexpended.

Compatibility with other systems. Whereapplicable, the application should describe theextent to which proposed activities are compatiblewith NIBRS, NCIC 2000, NICS, IAFIS, and other


applicable statewide or regional criminal justiceinformation sharing standards or plans includingState anti-terrorism plans, if relevant.

Part III. Coordination

The administering NCHIP agency should coordi-nate efforts with relevant emergency manage-ment task forces and agencies to ensure thatrecords development activities are compatiblewith security measures for preventing acts ofterrorism.

Since NCHIP is authorized and funded under theCrime Identification Technology Act of 1998, theactivities funded under this program will becoordinated with other OJP efforts funded underCITA.

To encourage coordination and informationsharing among criminal justice systems, all OJPawards supporting information technologydevelopment, are being special conditioned torequire that a description of the project besubmitted to the State Information TechnologyPoint of Contact (POC), if one has beendesignated. The name and address of the StatePOC can be obtained at 1-800-421-6770 or atthe OJP Executive Council webpage(http://www.ojp.usdoj.gov/ec/states.htm). Acopy of the correspondence should be eithersubmitted with the application or submitted priorto fund drawdown. There is no requirement thatthe point of contact concur with the informationtechnology project. The intent of this condition isto facilitate communication within the State. Award period

Awards may be for up to 12 months. Since theNCHIP program builds on long-term NCHIPactivity, States will have the flexibility to beginNCHIP funded activities immediately upon awardor as late as October 1, 2003. All activities mustbe scheduled to be completed by September 31,2004. FY 2002 projects may overlap with FY

2001 projects or the projects may runconsecutively.

Review criteria

States should understand that full funding may not be possible for all proposed activities. Allocation of funds will be based on the amountrequested and the following factors:

(1) the extent to which funds will supportparticipation in NICS, III, the FBI's SexOffender Registry and NCIC ProtectionOrder File, the National Crime Preventionand Privacy Compact, and other relatedFederal and State systems;

(2) the extent to which improvements in theState system, by virtue of record numbers,levels of technical development, oroperating procedures, will have a majorimpact on availability of records throughoutthe national system;

(3) the proposed use or enhancement ofinnovative procedures which may be ofvalue to other jurisdictions;

(4) the technical feasibility of the proposal andthe extent to which the proposal appearsreasonable in light of the State's currentlevel of system development and statutoryframework;

(5) the total amount already awarded underprevious NCHIP and NSOR-AP programannouncements;

(6) the extent to which the State has fulfilledgoals of previous NCHIP awards, includingNSOR-AP awards, expended funds inprevious awards, and demonstrated acommitment to criminal history recordimprovement through activities under theprogram;


(7) State commitment to the national recordsystem as evidenced by membership in IIIand participation in the FBI's NationalFingerprint File (NFF), and the currentstatus of development of its criminalhistory records and the Sex OffenderRegistry;

(8) reasonableness of the budget;

(9) evidence of State progress in meetingrecord improvement and backgroundcheck goals as measured in terms ofaudits, and meeting data collection goalsrelating to presale firearm checks andbackground checks on persons seekingpositions involving children, the elderlyand the disabled;

(10) appropriate focus on criminal history data improvement regarding protection ordersand crimes against children, the elderly,and the disabled;

(11) nature of the proposed expenditures;

(12) the extent to which the applicationrecognizes the role of the courts inensuring complete records; and,

(13) the reasonableness of the relationship

between the proposed activities and thecurrent status of the State system, interms of technical development,legislation, current fiscal demands, andfuture operating costs.

All applicants must agree to participate inevaluations sponsored by the FederalGovernment. Applicants must also agree toprovide data relating to Brady Act activity to theFirearm Inquiry Statistics Program (FIST) in theformat designated by the FIST.

Allowable costs

Allowable expenses are detailed below. Allexpenses are allowable only to the extent thatthey directly relate to programs described in theapplication's program narrative.

(1) Participation in III. This is a key goal. Covered costs include, but are not limitedto, costs associated with automation of thedatabase, synchronization of recordsbetween the State and the FBI, anddevelopment of necessary software andhardware enabling electronic access on anintrastate or interstate basis.

(2) Database enhancement. Improving thequality, completeness, and accuracy ofcriminal history and sex offender andprotection order records is a key goal of theNCHIP effort, and automated interfacebetween prosecutors, courts, andcorrections and the record repository isencouraged.

Allowable costs include the costsassociated with implementing improvedcriminal history record capture procedures(including complete arrest reporting andresearching missing dispositions, providedthat the captured data are subsequentlyincluded in the permanent automateddatabase), establishing more effectiveaccuracy controls, and ensuring thatrecords of all criminal events that start withan arrest or indictment are included in thedatabase. BJS anticipates that in manycases accomplishing this goal will entaildirect transfer of funds from the designatedNCHIP agency to the courts.

In addition to felony records, funds may beused to capture data on domestic violencemisdemeanors and to ensure that data onpersons convicted of abuse of children, theelderly, and the disabled and/or stalking


and domestic violence offenses (includingprotection orders and violations thereof)are included in the database.

Funds may also be used to automateand/or upgrade accuracy andcompleteness of the State sex offenderregistry. Eligible costs include automatinglinkages between the registry and lawenforcement agencies within the State,and developing and implementingprocedures to transfer information to theFBI. Funds may be used to develop andimplement procedures, software andtraining and to ensure that changes instatus and offender location areaccurately captured and recorded. Fundsmay only be used for procedures that arecompatible with the FBI Sex OffenderRegistry and related systems.

States that currently participate in III mayalso use limited funds to identify anddevelop access to data on othercategories of persons prohibited fromfirearm purchase under recentamendments to the Gun Control Act (18U.S.C. Section 922), as incorporated inthe Brady 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 or prosecutorsare allowable where the function to besupported can be expected to improvethe capture of dispositions or other datarelating to the offender record. (See"Commitment to support court effortsrelating to development of recordsystems" section, above.) This wouldinclude implementation of, or upgrades to,record systems which facilitate immediateidentification of disposition records,

provided the automated disposition recordsare accessible for State- or Federal-levelcriminal history inquiries.

NCHIP funds may be used to establishoperational back-up systems for use in theevent of failure of the primary criminalhistory record system.

(3) Flagging of records. Upgrading theaccessibility of records through flagging forpresale and preemployment checks is animportant activity. Allowable costs includecosts of flagging or algorithms used forflagging of felony records and records ofpersons with convictions for crimesinvolving children, the elderly, and/or thedisabled, as well as records of personsconvicted of crimes involving domesticviolence and/or stalking. Costs may includethe cost of technical record flagging and thecosts associated with identification ofrecords to be flagged (see [15] belowregarding interface with NIBRS).

In support of the Sex Offender Registry,funds may also be used for review ofexisting records to identify, flag, andtransmit data on previously releasedoffenders who qualify for inclusion in theSex Offender Registry. This may include areview of juvenile records where consistentwith State law or practice.

(4) Participation in the NICS. NCHIP fundsmay be used to enable the State toparticipate in the NICS consistent with theprovisions of 18 U.S.C Section 922 (t) andfunds may be used to undertake activitiesto improve or ameliorate any problem thatis delaying instant responses to NICSinquiries. Allowable expenditures include,but are not limited to, costs necessary toenable the State to serve as a Point ofContact (POC) under the FBI's NICSsystem (including costs of equipment,


software, personnel training, anddevelopment and implementation ofrelated operating and administrativeprocedures). Funds may not be used tocover ongoing costs of presale firearmbackground checks, but may be used topay costs associated with capturingdispositions in response to a specificNICS inquiry, provided that the captureddata is entered into the automated Stateand FBI system and serves to upgradethe permanent quality of the recordsystems.

(5) Firearm permits. NCHIP funds may beused to comply with Brady Act provisionspursuant to an ATF-approved firearmpermit system and to develop andimplement procedures to review thecurrency of firearm permits and/or toprovide appropriate notification whenpermits are revoked.

(6) Prosecution of firearm sale denials. NCHIP funds may be used to study theextent to which persons denied a firearmpursuant to a presale background checkare prosecuted at the state or local level.Allowable costs include both costsassociated with design andimplementation of a research/statisticalstudy and costs associated withestablishing and implementing a protocolfor regular collection of data on this issue. Funds may also be used to developsoftware to enable States to transferrecords of denied firearm purchasers tothe FBI or to State or local offices forprosecution.

(7) Participation in the NSOR. The NCHIPprogram is intended to support the NSORby assisting States to develop andenhance State registries that feed into thenational system to ensure compliancewith requirements set forth in State and

Federal legislation (the Wetterling Act,Megan's Law, and the Lychner Act). Allowable expenditures include costs ofequipment, software, personnel training,and development and implementation ofrelated operating and administrativeprocedures. Costs of regular operatingexpenditures are not covered under theprogram.

Sex offender registry files supported withNCHIP funds must be compatible with theFBI file, and the application must indicatethat records are presently being submittedto the FBI or indicate the date upon whichthat submission will commence. Funds areonly allowable to support development oflocal sex offender registries where data insuch files is or will become directlyaccessible throughout the State andavailable to the FBI's national system.

Funds may be used to purchase equipmentand develop software to permit thedisclosure of registry data in connectionwith background checks or other purposesas authorized by State or Federallegislation.

(8) Improve online law enforcement accessto sex offender registry data. NCHIPfunds are available to create a linkagebetween the State data file and systemsaccessed by local law enforcement officers. Funds may not be used to purchaseequipment for use by individual lawenforcement officers.

(9) Protection order file. Establishment of aprotection order file to enhance thecross-jurisdictional enforcement ofprotective orders, and to support the FBI'sNCIC Protection Order File is an importantgoal of the NCHIP program. Costs(including equipment, software, training andprocedural development) associated with


development and enhancement of suchfiles and with interface with the FBI'sNCIC Protection Order File are covered. Protection order files supported withNCHIP funds must be compatible with theFBI file, and the application must indicatethat records are presently being submittedto the FBI or indicate the date upon whichthat submission will commence. Fundsare only allowable to supportdevelopment of local protection order fileswhere data in such files is or will becomedirectly accessible throughout the Stateand available to the FBI's nationalsystem.

(10) Interface between criminal historyrecords, sex offender registry, and civilprotection order files. To ensure that,consistent with State law, a complete datareview is possible in connection withbackground checks for child care or otherauthorized purposes, funds may be usedto develop software to establish protocolsto permit interface between the criminalhistory record system, the State sexoffender registry, and related protectionorder files including files of civil protectionorders.

(11) Uniform RAP sheet format. The FBIhas recently endorsed a format andstandards for transmission of a uniformRAP sheet (text version of a person'scriminal history record) among States. The format reflects efforts initiated underthe BJS/SEARCH Task Force on UniformRAP Sheet Standards. Funds areavailable to assist States in convertingState criminal history records to the FBIstandard interstate RAP sheet format orfor developing electronic interchangecapabilities related thereto.

(12) Compatibility with State and Federalsystems. Funds may be used to ensure

compatibility with Federal record systems,such as III, and to implement statewideintegrated system strategies which interfaceall components of the criminal justicesystem, including law enforcement, prosecutors, courts, and corrections, to theextent that such expenditures improve theavailability of criminal record data includingprotection orders. Systems funded underNCHIP must be compatible with FBIstandards for national data systems, such as NIBRS, NCIC-2000, NICS, IAFIS, theNCIC Protection Order File, and theNational Sex Offender Registry. To avoidduplication with other CITA-fundedprograms, NCHIP funds may not be used to support studies, analysis, design, ordevelopment of State integrated systemsstrategies.

(13) Record automation. Allowable costsinclude conversion of manual or othernonautomated records to electronic recordsif the record has an entry dated within 5years of the date of automation, or inresponse to an inquiry against the record,such as a NICS inquiry. Recordsautomated to include court dispositions,using NCHIP funds, must be accessible toState and Federal-level criminal historyinquiries.

(14) Privacy. The advance of criminal recordtechnology increases the availability ofidentifiable records and raises significantissues of privacy. NCHIP funds may beused to cover costs associated with theanalysis of privacy issues and thedevelopment and implementation of privacyprotocols.

(15) AFIS/livescan. Funds may be used to

purchase equipment, develop procedures,and implement protocols related toactivities involving the AFIS, repository, andthe operation of the registry. This may


include purchase of livescan equipmentfor local agencies. Where funds are to beused for this purpose, the applicationshould demonstrate that funds can bejustified on the basis of geographic,population, traffic, or other related factors. Livescan can only be purchased wherethe State has established an AFIS andeither has implemented or isimplementing procedures to ensure thatthe AFIS is compatible with FBIstandards.

(16) Establish mugshot identificationcapability. In support of the SexOffender Registry operation, funds maybe used for the purchase of equipmentand development/implementation ofprocedures to include mugshots ofregistrants for use either within the Stateor for transmission to the FBI at such timeas that capability becomes available. Mugshots support community notificationand law enforcement use of the registryas a tool for identification andapprehension of suspects. Statesrequesting funds for this use must justifythe location of the equipment in terms ofgeography, population, traffic, anddemography and ensure that equipmentto be used at the local or county levelinclude the capability of transmittingimages to the registry for use throughoutthe State. All equipment and softwarepurchased or developed with funds underthe award must be compatible with FBIstandards.

(17) Interface with NIBRS. Funds may beused to interface with any State datasystem that is compatible with NIBRS forpurposes of identifying persons convictedof crimes against children, the elderly, orthe disabled; sex offenses; crimesinvolving domestic violence and/or

stalking; and/or identification of recordsinvolving firearm crimes for operational orresearch purposes. NCHIP funds are notavailable, however, to develop the NIBRSdatabase. The FY 2001 appropriationunder CITA included funds to assist Stateand local communities in implementingNIBRS-compatible records managementsystems. NIBRS funds are awardedseparately from NCHIP.

(18) Coordination of records. Where relevantto terrorism control, funds may be used to coordinate State records with recordshoused by INS and to develop protocols forrecord exchange.

(19) Research, evaluation, monitoring, andaudits. Costs associated with research orevaluation efforts are allowable to theextent that they are directly associated witha project approved in the application. Costs associated with monitoring Statecompliance with legislative or programmaticgoals through ongoing or periodic audits orother procedures are allowable andencouraged. The purchase of equipmentsuch as modems and the necessarycommunications and data software forstoring and transmitting evaluative databetween States and to BJS or otherdesignated Federal agencies is anallowable expense.

(20) Conversion of juvenile records to theadult system. Federal regulations allowthe FBI to accept juvenile records ifsubmitted by the State or local arrestingagency. Expenditures to interface juvenileand adult records are allowable ifconsistent with relevant State law andundertaken to further the goals of theNCHIP program.


(21) Missing dispositions backlogreduction. These costs are allowable toimprove the level of disposition reportingbut only where limited to records withactivity within the past 5 years. Statesmust also propose a strategy to preventfuture backlogs from developing.

(22) Equipment upgrades. Upgrade costsare allowable where related to improvingavailability of data and where appropriategiven the level of data completeness,participation in III, etc. Replacementcosts will be considered, but States areencouraged to contribute some portion ofthe total costs.

(23) Training, participation in seminars andmeetings. Limited funds may be used tocover costs of training and participation inState, regional, or national seminars orconferences (including travel, wherenecessary).

(24) Reducing cost of background checks.States may use funds to develop andimplement technologies that lower costsof conducting background checks. Thesefunds may also be used to pay all or partof the State's cost of conductingbackground checks on persons who areemployed by or volunteer with a public,not-for-profit, or other voluntaryorganization to reduce the amount of feescharged for such background checks,consistent with 41 U.S.C. 5119 (b).

(25) Adoption and implementation of theNational Crime Prevention and PrivacyCompact. The National Crime Preventionand Privacy Compact was enacted as TitleII of CITA. Funds may be used to covercosts associated with State review andenactment of the Compact and withdevelopment and implementation ofprocedures (including purchase ofequipment and development of software)necessary to facilitate operations pursuantto Compact protocols, including effortsrelating to participation in the FBI’s NationalFingerprint File (NFF).


Appendix

Application and administrative requirements


Appendix

Application and administrative requirements

Application content

All applicants must submit:

Standard Form 424, Application for FederalAssistance

Budget Detail Worksheet (replaced the SF424A, Budget Information)

OJP Form 4000/3 (Rev. 1-93), Assurances

OJP Form 4061/6 Certification RegardingLobbying; Debarment, Suspension, and OtherResponsibility Matters; and Drug-FreeWorkplace Requirements

Certifications regarding court participation,participation in III, initiation of an integrated system strategy.

Applicants are requested to submit an original and two copies of the application and certifications to the following address:

Application CoordinatorBureau of Justice Statistics 810 Seventh Street, NW Washington, DC 20531 Telephone: (202) 616-3497Fax phone: (202) 307-5846

Standard Form 424 (SF-424). The SF-424, aone-page sheet with 18 items, serves as acover sheet for the entire application. Thisform is required for every application forFederal assistance. NO APPLICATION CANBE ACCEPTED WITHOUT A COMPLETED,SIGNED ORIGINAL SF-424. Directions to

complete each item are included on the back ofthe form.

Budget Detail Worksheet. Applications mustprovide a detailed justification for all costs,including the basis for computation of these costs. For example, the detailed budget would includethe salaries of staff involved in the project and theportion of those salaries to be paid from theaward; fringe benefits paid to each staff person;travel costs related to the project; equipment to bepurchased with the award funds; and suppliesrequired to complete the project.

Budget narrative. The budget narrative shoulddetail costs included in each budget category forthe Federal and the non-Federal (in-kind andcash) share. The purpose of the budget narrativeis to relate items budgeted to project activities andto provide justification and explanation for budgetitems, including criteria and data used to arrive atthe estimates for each budget category. Thebudget narrative should also indicate amounts tobe made available to subrecipient agencies (underContractual/Contracts category) other than thedirect award recipient. The following informationis provided to assist the applicant in developingthe budget narrative:

a. Personnel category. List each position by title(and name of employee if available), show annualsalary rate and percentage of time to be devotedto the project by the employee. Compensationpaid for employees engaged in federally assistedactivities must be consistent with that paid forsimilar work in other activities of the applicant.

b. Fringe benefits category. Indicate each type ofbenefit included and explain how the total costallowable for employees assigned to the project iscomputed.

c. Travel category. Itemize travel expenses ofproject personnel by purpose (e.g., faculty totraining site, field interviews, advisory group


meetings, etc.) and show basis or computation(e.g., "Five trips for x purpose at $80 averagecost $50 transportation and two days per diemat $15" or "Six people to 3-day meeting at $70transportation and $45 subsistence.") Intraining projects where travel and subsistencefor trainees is included, this should beseparately listed indicating the number oftrainees and the unit costs involved.

(1) Identify the tentative location of all trainingsessions, meetings, and other travel.

(2) Travel costs are allowable as expenses byemployees who are in travel status on officialbusiness. These costs must be in accordance with the Federal or an organizationally-approved travel policy.

(3) Recipients may follow their ownestablished travel rates. If a recipient does nothave an established travel policy, the recipientmust abide by the Federal travel policy. Subrecipients of States must follow theirState's established travel policy. If a Statedoes not have an established travel policy, thesubrecipient must abide by the Federal travelrates.

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 forcomputation. Provide unit or monthlyestimates.

f. Contractual category. State the selectionbasis for any contract, subcontract, prospectivecontract or prospective subcontract (includingconstruction services and equipment). Please note, applications that include noncompetitivecontracts for the provision of specific services

must contain a sole source justification for anyprocurement in excess of $100,000.

For individuals to be reimbursed for personalservices on a fee basis, list by name or type ofconsultant or service, the proposed fee (by day,week, or hour) and the amounts of time to bedevoted to such services. For constructioncontracts and organization (including professionalassociations and education institutions performingprofessional services), indicate the type of serviceto be performed and the estimated contract costdata.

g. Construction category. Describe constructionor renovation which will be accomplished usingfunds awarded and the method used to calculatecost.

h. Other category. Include under "other" suchitems as rent, reproduction, telephone, andjanitorial or security services. List items by majortype with basis of computation shown. (Providesquare footage and cost per square foot for rent. Provide local and long distance telephone chargesseparately.)

I. Indirect charges category. The Agency mayaccept an indirect cost rate previously approvedfor an applicant by a Federal agency. Applicantsmust enclose a copy of the approved rateagreement with the grant application.

j. Program income. If applicable, provide adetailed estimate of the amount of programincome to be generated during the grant periodand its proposed application to reduce the cost ofthe project or to increase the scope of the project). Also, describe the source of program income,listing the rental rates to be obtained, sale pricesof publications supported by grant funds, andregistration fees charged for particular sessions. Ifscholarships (covering, for example, registrationfees) are awarded by the organization to certainconference attendees, the application should


identify the percentage of all attendees that areprojected as "scholarship" cases and theprecise criteria for their selection.

Program narrative. All applications mustinclude a program narrative that fully describes the expected design and implementation of theproposed program.

The narrative should include a time line ofactivities indicating, for each proposed activity, the projected duration of the activity, expectedcompletion date, and any products expected. The application should include a description of the roles and responsibilities of keyorganizational and/or functional componentsinvolved in project activities; and a list of keypersonnel responsible for managing andimplementing the major elements of the program.

Assurances. OJP Form 4000/3 (Rev 193)must be included in the application submission. 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 theregulations cited in OJP Form, 4061/6 todetermine the certification to which they are required to attest. A copy of OJP Form 4061/6 can be obtained from the BJS ApplicationCoordinator. Applicants should also review theinstructions for certification included in theregulations before completing this form.

Signature of this form provides for compliancewith certification requirements under 28 C.F.R.Part 69, "New Restrictions on Lobbying," and28 C.F.R. Part 67, "Government-wideDebarment and Suspension (Nonprocurement)

and Government-wide Requirements forDrug-Free Workplace (Grants)." The certificationsshall be treated as a material representation offact upon which reliance will be placed when theU.S. Department of Justice determines to awardthe covered transaction, grant, or cooperativeagreement.

Reporting requirements

Semi-annual progress reports. Recipients arerequired to submit semiannual progress reports. The progress reports describe activities during thereporting period and the status or accomplishmentof objectives as set forth in the approved awarddocuments and/or subsequently approved projecttime line. Progress reports must be submittedwithin 30 days after the end of the reportingperiods, which are June 30 and December 31 forthe life of the award.

A final report which provides a summary ofprogress toward achieving the goals of the grant,major projects activities, significant results, andany products developed is due 120 days after theend of the grant.

Financial status reports. Financial statusreports (SF 269A) are due quarterly on the 45thday following the end of each calendar quarter. Areport must be submitted every full quarter that theaward is active. The final report is due 120 daysafter the end date of the award.

Fund drawdowns and future awards may bewithheld if progress and financial status reportsare delinquent. An original and two copies of allreports must be sent to the —

Control Desk, Comptroller’s Office OJP - U.S. Department of Justice 810 7th Street, NW, Room 5303 Washington, DC 20531


Single audit report. On June 30, 1997, the Office of Management and Budget issuedCircular A-133, "Audits of States, LocalGovernments, and Non-Profit Organizations,"which establishes regulations to implement theSingle Audit Act of 1996. This Circular A-133outlines the requirements for organizationalaudits which apply to BJS grantees.

Recipients which expend $300,000 or more ofFederal funds during the fiscal year arerequired to submit an organization-widefinancial and compliance audit report. Theaudit must be preformed in accordance withthe U.S. General Accounting OfficeGovernment Auditing Standards.

The audit report will be due nine (9) monthsafter the end of the recipient's fiscal year. Thecompleted audit reports for State and localgovernments, institutions of higher learning,and non-profit institutions should be mailed tothe Federal Audit Clearinghouse, Bureau of theCensus, 1201 East 10th Street, Jeffersonville, IN 47132. In addition, a copy of the transmittal letter should be mailed to the Office of theComptroller, Office of Justice Programs,Control Desk, at the above address.

Civil rights obligations

All applicants for Federal financial assistancemust sign Certified Assurances that they are incompliance with the Federal laws andregulations which prohibit discrimination in anyprogram or activity that receives such Federalfunds. Section 809(c), Omnibus Crime Control& Safe Streets Act of 1968, provides that —

No person in any State shall on the ground ofrace, color, religion, national origin, or sex beexcluded from participation in, be denied the

benefits of, or be subjected to discriminationunder, or denied employment in connection withany program or activity funded in whole or in partwith funds made available under this title.

Section 504 of the Rehabilitation Act of 1973, andTitle II of the Americans With Disabilities Actprohibit discrimination on the basis of disability.

The applicant agency must discuss how it willensure nondiscriminatory practices as they relateto —

(1) Delivery of services or benefits to ensure thatindividuals will not be denied access to services orbenefits under the program or activity on the basisof race, color, religion, national origin, gender,age, or disability;

(2) Employment practices to ensure that itspersonnel in the program or activity are selectedfor employment without regard to race, color,religion, national origin, gender, age, or disability;and

(3) Program participation to ensure members ofany planning, steering or advisory board, which isan integral part of the program or activity, are notexcluded from participation on the basis of race,color, religion, national origin, gender, age ordisability; and to encourage the selection of suchmembers who are reflective of the diversity in thecommunity to be served.

Intergovernmental review of Federal programs

Federal Executive Order 12372,"Intergovernmental Review of Federal Programs,"allows States to establish a process for reviewingFederal programs in the State, to choose whichprograms they wish to review, to conduct suchreviews, and to make their views known to the


funding Federal agency through a State "singlepoint of contact."

If the State has established a "single point ofcontact," and if the State has selected thisprogram to be included in its review process,the applicant must send a copy of its letter orapplication to the State "single point of contact"at the same time that it is submitted to BJS. The letter or application submitted to BJS mustindicate that this has been done. The Statemust complete its review within 60 days. Thereview period will begin on the date that theletter or application is officially received byBJS. If BJS does not receive comments fromthe State's "single point of contact" by the endof the review period, this will be interpreted asa "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 historyimprovement programs in its review process, this must be stated in the letter or application.

2. DATE SUBMITTED

3. DATE RECEIVED BY STATE

4. DATE RECEIVED BY FEDERAL AGENCY

Applicant Identifier

State Application Identifier

Federal Identifier

OMB Approval No. 0348-0043

Preapplication Construction

Non-Construction

1. TYPE OF SUBMISSION:

Application Construction

Non-Construction

APPLICATION FORFEDERAL ASSISTANCE

5. APPLICANT INFORMATION

Legal Name: Organizational Unit:

Address (give city, county, state, and zip code): Name and telephone number of the person to be contacted on matters involvingthis application (give area code)

6. EMPLOYER IDENTIFICATION NUMBER (EIN): 7. TYPE OF APPLICANT: (enter appropriate letter in box)

9. NAME OF FEDERAL AGENCY:

11. DESCRIPTIVE TITLE OF APPLICANT’S PROJECT:

8. TYPE OF APPLICATION:

New Continuation Revision

If Revision, enter appropriate letter(s) in box(es):

A. Increase Award B. Decrease Award C. Increase DurationD. Decrease Duration Other (specify):

10. CATALOG OF FEDERAL DOMESTIC ASSISTANCE NUMBER:

TITLE:

14. CONGRESSIONAL DISTRICTS OF:

Start Date Ending Date a. Applicant b. Project

13. PROPOSED PROJECT:

15. ESTIMATED FUNDING: 16. IS APPLICATION SUBJECT TO REVIEW BY STATE EXECUTIVE ORDER 12372 PROCESS?

12. AREAS AFFECTED BY PROJECT (cities, counties, states, etc.):

a. Federal

b. Applicant

c. State

d. Local

e. Other

f. Program Income

g. TOTAL

$ .00

$ .00

$ .00

$ .00

$ .00

$ .00

$ .00

17. IS THE APPLICANT DELINQUENT ON ANY FEDERAL DEBT?

Yes If “Yes,” attach an explanation. No

18. TO THE BEST OF MY KNOWLEDGE AND BELIEF, ALL DATA IN THIS APPLICATION/PREAPPLICATION ARE TRUE AND CORRECT, THE DOCUMENT HAS BEEN DULY

AUTHORIZED BY THE GOVERNING BODY OF THE APPLICANT AND THE APPLICANT WILL COMPLY WITH THE ATTACHED ASSURANCES IF THE ASSISTANCE IS AWARDED

b. Title c. Telephone numbera. Typed Name of Authorized Representative

d. Signature of Authorized Representative e. Date Signed

Standard Form 424 (REV 4-88)Prescribed by OMB Circular A-102

……

……

……

…

A. State H. Independent School Dist.

B. County I. State Controlled Institution of Higher Learning

C. Municipal J. Private University

D. Township K. Indian Tribe

E. Interstate L. Individual

F. Intermunicipal M. Profit Organization

G. Special District N. Other (Specify):

……

……

……

Previous Editions Not Usable

a. YES. THIS PREAPPLICATION/APPLICATION WAS MADE AVAILABLE TO THE STATE EXECUTIVE ORDER 12372 PROCESS FOR REVIEW ON:

DATE

b NO. PROGRAM IS NOT COVERED BY E.O. 12372

OR PROGRAM HAS NOT BEEN SELECTED BY STATE FOR REVIEW

Item Instructions

1 Type of Submission: If this proposal is not for construction or building purposes, check “Non-Construction”.

2 Date Submitted: Indicate the date you sent the application to OJP. The “Application Identifier” is the numberassigned by your jurisdiction, if any. If your jurisdiction does not assign an identifier number, leave this space blank.

3 Date Received by State: Leave blank. This block is completed by the State single point of contact, if applicable.

4 Date Received by Federal Agency: This item will be completed by OJP.

5 Applicant Information: The “Legal Name” is the unit of government of the parent organization. For example,the primary or parent organization of a law enforcement agency is the name of the city or township. Thus the city ortownship should be entered into the Legal Name box and the name of the law enforcement agency would be entered intothe Organizational Unit box. Designate one person as the contact, and include their telephone number.

6 Employer Identification Number: Each employer receives an employer identification number from the InternalRevenue Service. Generally, this number can be easily obtained from your agency’s accountant or comptroller.

7 Type of Applicant: Enter the appropriate letter in this space. If the applicant is representing a consortium ofagencies, specify by checking Block N and entering “consortium”.

8 Type of Application: Check either “new” or “continuation”. Check new if this will be your first award for thispurpose described in the application, even if the applicant has received prior awards for other purposes. Check“continuation”, if the project will continue activities of a project, that was begun under a prior award.

9 Name of Federal Agency: Type in the name of the awarding agency, such as “Bureau of Justice Assistance”.

10 Catalog of Federal Domestic Assistance Number: This would be contained in the program announcement.An example would be 16.____.

11 Descriptive Title of Applicants Project: Type in the: (1) title of the program as it appears in the solicitationor announcement; (2) name of the cognizant Federal agency, ex. U. S. Department of Education; and (3) applicant’sfiscal year, i.e. twelve month audit period, ex: 10/1/95 - 9/30/96.

12 Areas Affected by Project: Identify the geographic area(s) of the project. Indicate “Statewide” or “National”, ifapplicable.

13 Proposed Project Dates: Fill in the proposed begin and end dates of the project.

14 Congressional Districts: Fill in the Congressional Districts in which the project will be located aswell as the Congressional District(s) the project will serve. Indicate “Statewide” or “National”, if applicable.

15 Estimated Funding: In line “a,” enter the Federal funds requested, not to exceed the dollar amount allocated inthe program announcement. Indicate any other resources that will available to the project and the source of those fundson lines “b-f,” as appropriate.

16 State Executive Order 12372: Some states require you to submit your application to a State “Single Point ofContact” (SPOC) to coordinate applications for Federal funds. If your State requires a copy of your application, indicatethe date submitted. If a copy is not required, indicate the reason. (Refer to the “Administrative Requirements” sectionof the program announcement, for more information.) The SPOC is not responsible for forwarding your application.

17 Delinquent Federal Debt: This question applies to the applicant organization. Categories of debt includedelinquent audit allowances, loans, and taxes.

18 Authorized Representative: Type the name of the person legally authorized to enter into agreements on behalf ofyour agency. This signature on the original application must be signed in blue ink and/or stamped as “original” to helpidentify the original.

Instructions for Completion of the Application for Federal Assistance (SF 424)

The Application for Federal Assistance is a standard form used by most Federal agencies. This form contains 18 different items,which are to be completed before submission. All applications should include a completed and signed SF 424.

Rev. 5/96

OMB Approval No. 1121-0188Expires 5-98 (Rev. 12/97)

Budget Detail Worksheet

Purpose: The Budget Detail Worksheet may be used as a guide to assist you in the preparation ofthe budget and budget narrative. You may submit the budget and budget narrative using this formor in the format of your choice (plain sheets, your own form, or a variation of this form). However,all required information (including the budget narrative) must be provided. Any category of expense not applicable to your budget may be deleted.

A. Personnel - List each position by title and name of employee, if available. Show the annualsalary rate and the percentage of time to be devoted to the project. Compensation paid for employeesengaged in grant activities must be consistent with that paid for similar work within the applicant organization.

Name/Position Computation Cost

TOTAL __________

B. Fringe Benefits - Fringe benefits should be based on actual known costs or an establishedformula. Fringe benefits are for the personnel listed in budget category (A) and only for thepercentage of time devoted to the project. Fringe benefits on overtime hours are limited to FICA,Workman’s Compensation, and Unemployment Compensation.


TOTAL __________

Total Personnel & Fringe Benefits __________

C. Travel - Itemize travel expenses of project personnel by purpose (e.g., staff to training, fieldinterviews, advisory group meeting, etc.). Show the basis of computation (e.g., six people to 3-day training at $X airfare, $X lodging, $X subsistence). In training projects, travel and meals fortrainees should be listed separately. Show the number of trainees and unit costs involved. Identify the location of travel, if known. Indicate source of Travel Policies applied, Applicant orFederal Travel Regulations. Purpose of Travel Location Item Computation Cost

TOTAL ________

D. Equipment - List non-expendable items that are to be purchased. (Note: Organization’s own capitalization policy for classification of equipment should be used). Expendable itemsshould be included in the “Supplies” category. Applicants should analyze the cost benefits ofpurchasing versus leasing equipment, especially high cost items and those subject to rapidtechnical advances. Rented or leased equipment costs should be listed in the “Contractual”category. Explain how the equipment is necessary for the success of the project. Attach anarrative describing the procurement method to be used.

Item Computation Cost

TOTAL ________

E. Supplies - List items by type (office supplies, postage, training materials, copying paper, and other expendable items such as books, hand held tape recorders) and show the basis forcomputation. Generally, supplies include any materials that are expendable or consumed duringthe course of the project.

Supply Items Computation Cost

TOTAL _____________

F. Construction - As a rule, construction costs are not allowable. In some cases, minor repairsor renovations may be allowable. Consult with the program office before budgeting funds in thiscategory.

Purpose Description of Work Cost

TOTAL _____________

G. Consultants/Contracts - Indicate whether applicant’s formal, written Procurement Policy orthe Federal Acquisition Regulations are followed.

Consultant Fees: For each consultant enter the name, if known, service to be provided, hourly ordaily fee (8-hour day), and estimated time on the project. Consultant fees in excess of $450 perday require additional justification and prior approval from OJP.

Name of Consultant Service Provided Computation Cost

Subtotal __________

Consultant Expenses: List all expenses to be paid from the grant to the individual consultant inaddition to their fees (i.e., travel, meals, lodging, etc.)

Item Location Computation Cost

Subtotal __________

Contracts: Provide a description of the product or services to be procured by contract and anestimate of the cost. Applicants are encouraged to promote free and open competition inawarding contracts. A separate justification must be provided for sole source contracts in excessof $100,000.

Item Cost

Subtotal___________

TOTAL__________

H. Other Costs - List items (e.g., rent, reproduction, telephone, janitorial or security services,and investigative or confidential funds) by major type and the basis of the computation. Forexample, provide the square footage and the cost per square foot for rent, and provide a monthlyrental cost and how many months to rent.

Description Computation Cost

TOTAL __________

I. Indirect Costs - Indirect costs are allowed only if the applicant has a Federally approvedindirect cost rate. A copy of the rate approval, ( a fully executed, negotiated agreement), must beattached. If the applicant does not have an approved rate, one can be requested by contacting theapplicant’s cognizant Federal agency, which will review all documentation and approve a rate forthe applicant organization, or if the applicant’s accounting system permits, costs may beallocated in the direct costs categories.


TOTAL _________

Budget Summary - When you have completed the budget worksheet, transfer the totals for eachcategory to the spaces below. Compute the total direct costs and the total project costs. Indicatethe amount of Federal requested and the amount of non-Federal funds that will support theproject.

Budget Category Amount

A. Personnel

B. Fringe Benefits

C. Travel

D. Equipment

E. Supplies

F. Construction

G. Consultants/Contracts

H. Other

Total Direct Costs

I. Indirect Costs

TOTAL PROJECT COSTS

Federal Request

Non-Federal Amount

OMB Approval No. 1121-0188Expires 5-98 (Rev. 12/97)

Budget Detail Worksheet

Purpose: The Budget Detail Worksheet may be used as a guide to assist you in the preparation ofthe budget and budget narrative. You may submit the budget and budget narrative using this formor in the format of your choice (plain sheets, your own form, or a variation of this form). However,all required information (including the budget narrative) must be provided. Any category of expense not applicable to your budget may be deleted.

(Example assumes a one year budget period and 25% cash match requirement)

A. Personnel - List each position by title and name of employee, if available. Show the annualsalary rate and the percentage of time to be devoted to the project. Compensation paid for employeesengaged in grant activities must be consistent with that paid for similar work within the applicantorganization.


John Smith, Investigator ($50,000 x 100%) $ 50,0002 Investigators ($50,000 x 100% x 2) $100,000Secretary ($30,000 x 50%) $ 15,000

$165,000

Cost of living increase ($165,000 x 2% x .5yr.) $ 1,650Overtime per investigator ($37.50/hr x 100 hrs. x 3) $ 11,250

The three investigators will be assigned exclusively to homicide investigations. A 2% cost of living adjustment is scheduled for all full-time personnel 6-months prior to the end of the grant. Overtime will be needed during some investigations. A half-time secretary will prepare reports and provide other support to the unit.

TOTAL $177,900

B. Fringe Benefits - Fringe benefits should be based on actual known costs or an establishedformula. Fringe benefits are for the personnel listed in budget category (A) and only for thepercentage of time devoted to the project. Fringe benefits on overtime hours are limited to FICA,Workman’s Compensation, and Unemployment Compensation.


Employer’s FICA ($177,900 x 7.65%) $ 13,609Retirement * ($166,650 x 6%) $ 9,999Uniform Allowance ($50 mo. x 12 mo. x 3) $ 1,800Health Insurance * ($166,650 x 12%) $ 19,998Workman’s Compensation ($177,900 x 1%) $ l,779Unemployment Compensation ($177,900 x 1%) $ 1,779

* ($177,900 less $11,250) TOTAL $ 48,964

Total Personnel & Fringe Benefits $226,864

C.Travel - Itemize travel expenses of project personnel by purpose (e.g., staff to training, fieldinterviews, advisory group meeting, etc.). Show the basis of computation (e.g., six people to 3-day training at $X airfare, $X lodging, $X subsistence). In training projects, travel and meals for trainees should be listed separately. Show the number of trainees and unit costs involved. Identify the location of travel, if known. Indicate source of Travel Policies pplied, Applicant or Federal Travel Regulations.

Purpose of Travel Location Item Computation Cost

Training Boston Airfare ($l50 x 2 people x 2 trips) $ 600Hotel ($75/night x 2 nights x 2

people x 2 trips) $ 600Meals ($35/day x 3 days x 2 people

x 2 trips) $ 420

Investigations New York Airfare ($600 average x 7) $4,200City Hotel & ($100/day average x 7 x 3 $2,100

Meals days)

Two of the investigators will attend training on forensic evidence gathering in Boston in October and January. The investigators may take up to seven trips to New York City to follow up investigative leads. Travel estimates are based upon applicant’s formal written travel policy.

TOTAL $7,920

D. Equipment - List non-expendable items that are to be purchased. (Note: Organization’s owncapitalization policy for classification of equipment should be used). Expendable items should beincluded in the “Supplies” category. Applicants should analyze the cost benefits of purchasingversus leasing equipment, especially high cost items and those subject to rapid technical advances. Rented or leased equipment costs should be listed in the “Contractual” category. Explain how the equipment is necessary for the success of the project. Attach a narrative describing the procurement method to be used.

Item Computation Cost

3 - 486 Computer w/CD ROM ($2,000 x 3 ) $6,000Video Camera 1,000

The computers will be used by the investigators to analyze case and intelligence information. The camera will be used for investigative and crime scene work.

TOTAL $7,000

E. Supplies - List items by type (office supplies, postage, training materials, copying paper, andother expendable items such as books, hand held tape recorders) and show the basis for

computation. Generally, supplies include any materials that are expendable or consumed during the course of the project.

Supply Items Computation Cost Office Supplies ($50/mo x 12 mo) $ 600Postage ($20/mo x 12 mo) 240Training Materials ($2/set x 500 sets) 1,000

Office supplies and postage are needed for general operation of the program. Training materials willbe developed and used by the investigators to train patrol officers how to preserve crime scene evidence.

TOTAL $l,840

F. Construction - As a rule, construction costs are not allowable. In some cases, minor repairsor renovations may be allowable. Consult with the program office before budgeting funds in thiscategory.

Purpose Description of Work Cost Renovation Add walls $5,000

Build work tables 3,000Build evidence storage units 2,000

TOTAL $10,000

The renovations are needed to upgrade the forensic lab used to analyze evidence for homicide cases.

G. Consultants/Contracts - Indicate whether applicant’s formal, written Procurement Policy or the Federal Acquisition Regulations are followed.

Consultant Fees: For each consultant enter the name, if known, service to be provided, hourly ordaily fee (8-hour day), and estimated time on the project. Consultant fees in excess of $450 per day require additional justification and prior approval from OJP.

Name of Consultant Service Provided Computation Cost John Doe Forensic Specialist ($l50/day x 30 days $4,500

John Doe, Forensic Specialist, will be hired, as needed, to assist with the analysis of evidence inhomicide cases.

Subtotal $4,500

Consultant Expenses: List all expenses to be paid from the grant to the individual consultant inaddition to their fees (i.e., travel, meals, lodging, etc.)

Item Location Computation Cost Airfare Miami ($400 x 6 trips) $2,400Hotel and Meals ($l00/day x 30 days) 3,000

Joe Doe is expected to make up to 6 trips to Miami to consult on homicide cases.

Subtotal $5,400

Contracts: Provide a description of the product or services to be procured by contract and anestimate of the cost. Applicants are encouraged to promote free and open competition in awarding contracts. A separate justification must be provided for sole source contracts in excess of $100,000.

Item Cost Intelligence System Development $102,000

The State University will design an intelligence system to be used in homicide investigations. A sole source justification is attached. Procurement Policy is based on the Federal AcquisitionRegulation.

Subtotal $102,000

TOTAL $111,900

H. Other Costs - List items (e.g., rent, reproduction, telephone, janitorial or security services, and investigative or confidential funds) by major type and the basis of the computation. Forexample, provide the square footage and the cost per square foot for rent, and provide a monthly

rental cost and how many months to rent.

Description Computation Cost Rent (700 sq. ft. x $15/sq. ft.) $10,500 ($875 mo. x 12 mo.)

This rent will pay for space for the new homicide unit. No space is currently available in city owned buildings.

Telephone ($100/mo. x 12) $ l,200Printing/Reproduction ($l50/mo. x 12) 1,800

TOTAL $13,500

I. Indirect Costs - Indirect costs are allowed only if the applicant has a Federally approved indirect cost rate. A copy of the rate approval, ( a fully executed, negotiated agreement), must be attached. If the applicant does not have an approved rate, one can be requested by contacting the applicant’s cognizant Federal agency, which will review all documentation and approve a rate for the applicant organization, or if the applicant’s accounting system permits, costs may be allocated in the direct costs categories.


10% of personnel and fringe ($226,864 x 10%) $22,686benefits

The indirect cost rate was approved by the Department of Transportation, the applicant’s cognizant Federal agency on January l, 1994. ( A copy of the fully executed, negotiated agreement is attached.)

TOTAL $22,686

Budget Summary - When you have completed the budget worksheet, transfer the totals for eachcategory to the spaces below. Compute the total direct costs and the total project costs. Indicate the amount of Federal requested and the amount of non-Federal funds that will support the project.

Budget Category Amount

A. Personnel $177,900

B. Fringe Benefits 48,964

C. Travel 7,920

D. Equipment 7,000

E. Supplies 1,840

F. Construction 10,000

G. Consultants/Contracts 111,900

H. Other 13,500

Total Direct Costs 379,024

I. Indirect Costs 22,686

TOTAL PROJECT COSTS 401,710

Federal Request $301,283

Non-Federal Amount 100,427

1. It possesses legal authority to apply for the grant; that aresolution, motion or similar action has been duly adopted orpassed as an official act of the applicant’s governing body,authorizing the filing of the application, including all under-standings and assurances contained therein, and directingand authorizing the person identified as the official represen-tative of the applicant to act in connection with the applicationand to provide such additional information as may be re-quired.

2. It will comply with requirements of the provisions of theUniform Relocation Assistance and Real Property Acquisi-tions Act of 1970 P.L. 91-646) which provides for fair andequitable treatment of persons displaced as a result of Fed-eral and federally-assisted programs.

3. It will comply with provisions of Federal law which limit certainpolitical activities of employees of a State or local unit ofgovernment whose principal employment is in connectionwith an activity financed in whole or in part by Federal grants.(5 USC 1501, et seq.)

4. It will comply with the minimum wage and maximum hoursprovisions of the Federal Fair Labor Standards Act if appli-cable.

5. It will establish safeguards to prohibit employees from usingtheir positions for a purpose that is or give the appearance ofbeing motivated by a desire for private gain for themselves orothers, particularly those with whom they have family, busi-ness, or other ties.

6. It will give the sponsoring agency or the Comptroller General,through any authorized representative, access to and the rightto examine all records, books, papers, or documents related tothe grant.

7. It will comply with all requirements imposed by the FederalSponsoring agency concerning special requirements of law,program requirements, and other administrative requirements.

8. It will insure that the facilities under its ownership, lease orsupervision which shall be utilized in the accomplishment ofthe project are not listed in the Environmental protectionAgency’s (EPA-list of Violating Facilities and that it will notifythe Federal grantor agency of the receipt of any communica-tion from the Director of the EPA Office of Federal Activitiesindicating that a facility to be used in the project is underconsideration for listing by the EPA.

9. It will comply with the flood insurance purchase requirementsof Section 102(a) of the Flood Disaster Protection Act of1973, Public Law 93-234, 87 Stat. 975, approved December31, 1976. Section 102(a) requires, on and after March 2,1975, the purchase of flood insurance in communities wheresuch insurance is available as a condition for the receipt ofany Federal financial assistance for construction or acquisi-tion purposes for use in any area that had been identified bythe Secretary of the Department of Housing and Urban Devel-opment as an area having special flood hazards. The phrase“Federal financial assistance” includes any form of loan,grant, guaranty, insurance payment, rebate, subsidy, disas-ter assistance loan or grant, or any other form of direct orindirect Federal assistance.

10. It will assist the Federal grantor agency in its compliance withSection 106 of the National Historic Preservation Act of 1966as amended (16 USC 470), Executive Order 11593, and theArcheological and Historical Preservation Act of 1966 (16USC 569a-1 et seq.) by (a) consulting with the State HistoricPreservation Officer on the conduct of investigations, asnecessary, to identify properties listed in or eligible for inclu-sion in the National Register of Historic Places that aresubject to adverse effects (see 36 CFR Part 800.8) by theactivity, and notifying the Federal grantor agency of theexistence of any such properties, and by (b) complying withall requirements established by the Federal grantor agency toavoid or mitigate adverse effects upon such properties.

11. It will comply, and assure the compliance of all its subgranteesand contractors, with the applicable provisions of Title I of theOmnibus Crime Control and Safe Streets Act of 1968, asamended, the Juvenile Justice and Delinquency PreventionAct, or the Victims of Crime Act, as appropriate; the provi-sions of the current edition of the Office of Justice ProgramsFinancial and Administrative Guide for Grants, M7100.1; andall other applicable Federal laws, orders, circulars, or regula-tions.

12. It will comply with the provisions of 28 CFR applicable to grantsand cooperative agreements including Part 18, AdministrativeReview Procedure; Part 20, Criminal Justice Information Sys-tems; Part 22, Confidentiality of Identifiable Research andStatistical Information; Part 23, Criminal Intelligence SystemsOperating Policies; Part 30, Intergovernmental Review of De-partment of Justice Programs and Activities; Part 42, Nondis-crimination/Equal Employment Opportunity Policies and Pro-cedures; Part 61, Procedures for Implementing the NationalEnvironmental Policy Act; Part 63, Floodplain Managementand Wetland Protection Procedures; and Federal laws or regu-lations applicable to Federal Assistance Programs.

13. It will comply, and all its contractors will comply, with thenondiscrimination requirements of the Omnibus Crime Con-trol and Safe Streets Act of 1968, as amended, 42 USC3789(d), or Victims of Crime Act (as appropriate); Title VI ofthe Civil Rights Act of 1964, as amended; Section 504 of theRehabilitation Act of 1973, as amended; Subtitle A, Title II ofthe Americans With Disabilities Act (ADA) (1990); Title IX ofthe Education Amendments of 1972; the Age DiscriminationAct of 1975; Department of Justice Non-Discrimination Regu-lations, 28 CFR Part 42, Subparts C, D, E, and G; andDepartment of Justice regulations on disability discrimina-tion, 28 CFR Part 35 and Part 39.

14. In the event a Federal or State court or Federal or Stateadministrative agency makes a finding of discrimination aftera due process hearing on the grounds of race, color, religion,national origin, sex, or disability against a recipient of funds,the recipient will forward a copy of the finding to the Office forCivil Rights, Office of Justice Programs.

15. It will provide an Equal Employment Opportunity Program ifrequired to maintain one, where the application is for $500,000or more.

16. It will comply with the provisions of the Coastal BarrierResources Act (P.L. 97-348) dated October 19, 1982 (16 USC3501 et seq.) which prohibits the expenditure of most newFederal funds within the units of the Coastal Barrier Re-sources System.

Signature Date

OJP FORM 4000/3 (Rev. 1-93) PREVIOUS EDITIONS ARE OBSOLETE.ATTACHMENT TO SF-424.

EXPIRES: 1/31/96OMB APPROVAL NO. 1121-0140

ASSURANCES

The Applicant hereby assures and certifies compliance with all Federal statutes, regulations, policies, guidelines and requirements,including OMB Circulars No. A-21, A-110, A-122, A-128, A-87; E.O. 12372 and Uniform Administrative Requirements for Grants andCooperative Agreements—28 CFR, Part 66, Common Rule, that govern the application, acceptance and use of Federal funds for thisfederally-assisted project. Also the Applicant assures and certifies that:

Applicants should refer to the regulations cited below to determine the cer tification to which they are required toattest. Applicants should also review the instructions for cer tification included in the regulations before completing thisform. Signature of this form provides for compliance with cer tification requirements under 28 CFR Par t 69, “NewRestr ictions on Lobbying” and 28 CFR Par t 67, “Government-wide Debarment and Suspension (Nonpro-curement) andGovernment-wide Requirements for Drug-Free Workplace (Grants).” The cer tifications shall be treated as a materialrepresentation of fact upon which reliance will be placed when the Department of Justice determines to award thecovered transaction, grant, or cooperative agreement.

U.S. DEPARTMENT OF JUSTICEOFFICE OF JUSTICE PROGRAMSOFFICE OF THE COMPTROLLER

CERTIFICATIONS REGARDING LOBBYING; DEBARMENT, SUSPENSION ANDOTHER RESPONSIBILITY MATTERS; AND DRUG-FREE WORKPLACE REQUIREMENTS

OJP FORM 4061/6 (3-91) REPLACES OJP FORMS 4061/2, 4061/3 AND 4061/4 WHICH ARE OBSOLETE.

DEP

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1. LOBBYING

As required by Section 1352, Title 31 of the U.S. Code, andimplemented at 28 CFR Part 69, for persons entering into agrant or cooperative agreement over $100,000, as defined at28 CFR Part 69, the applicant certifies that:

(a) No Federal appropriated funds have been paid or will bepaid, by or on behalf of the undersigned, to any person for in-fluencing or attempting to influence an officer or employee of anyagency, a Member of Congress, an officer or employee ofCongress, or an employee of a Member of Congress in con-nection with the making of any Federal grant, the entering intoof any cooperative agreement, and the extension, continuation,renewal, amendment, or modification of any Federal grant orcooperative agreement;

(b) If any funds other than Federal appropriated funds havebeen paid or will be paid to any person for influencing or at-tempting to influence an officer or employee of any agency, aMember of Congress, an officer or employee of Congress, oran employee of a Member of Congress in connection with thisFederal grant or cooperative agreement, the undersigned shallcomplete and submit Standard Form - LLL, “Disclosure ofLobbying Activities,” in accordance with its instructions;

(c) The undersigned shall require that the language of this cer-tification be included in the award documents for all subawardsat all tiers (including subgrants, contracts under grants andcooperative agreements, and subcontracts) and that all sub-recipients shall certify and disclose accordingly.

2. DEBARMENT, SUSPENSION, AND OTHERRESPONSIBILITY MATTERS(DIRECT RECIPIENT)

As required by Executive Order 12549, Debarment andSuspension, and implemented at 28 CFR Part 67, for prospec-tive participants in primary covered transactions, as defined at28 CFR Part 67, Section 67.510—

A. The applicant certifies that it and its principals:

(a) Are not presently debarred, suspended, proposed for debar-ment, declared ineligible, sentenced to a denial of Federalbenefits by a State or Federal court, or voluntarily excludedfrom covered transactions by any Federal departmentor agency;

(b) Have not within a three-year period preceding this applica-tion been convicted of or had a civil judgment rendered againstthem for commission of fraud or a criminal offense in connec-tion with obtaining, attempting to obtain, or performing a

3. DRUG-FREE WORKPLACE(GRANTEES OTHER THAN INDIVIDUALS)

As required by the Drug-Free Workplace Act of 1988, andimplemented at 28 CFR Part 67, Subpart F, for grantees, asdefined at 28 CFR Part 67 Sections 67.615 and 67.620—

A. The applicant certifies that it will or will continue to providea drug-free workplace by:

(a) Publishing a statement notifying employees that the unlawful manufacture, distribution, dispensing, possession, oruse of a controlled substance is prohibited in the grantee’sworkplace and specifying the actions that will be taken againstemployees for violation of such prohibition;

(b) Establishing an on-going drug-free awareness program toinform employees about—

(1) The dangers of drug abuse in the workplace;

(2) The grantee’s policy of maintaining a drug-free workplace;

(3) Any available drug counseling, rehabilitation, and employeeassistance programs; and

(4) The penalties that may be imposed upon employees fordrug abuse violations occurring in the workplace;

(c) Making it a requirement that each employee to be engagedin the performance of the grant be given a copy of the state-ment required by paragraph (a);

(d) Notifying the employee in the statement required by para-graph (a) that, as a condition of employment under the grant,the employee will—

public (Federal, State, or local) transaction or contract under apublic transaction; violation of Federal or State antitrust statutesor commission of embezzlement, theft, forgery,bribery, falsification or destruction of records, making falsestatements, or receiving stolen property;

(c) Are not presently indicted for or otherwise criminally orcivilly charged by a governmental entity (Federal, State, orlocal) with commission of any of the offenses enumerated inparagraph (1)(b) of this certification; and

(d) Have not within a three-year period preceding this applica-tion had one or more public transactions (Federal, State, orlocal) terminated for cause or default; and

B. Where the applicant is unable to certify to any of thestatements in this certification, he or she shall attach anexplanation to this application.

(1) Abide by the terms of the statement; and

(2) Notify the employer in writing of his or her conviction for aviolation of a criminal drug statute occurring in the workplaceno later than five calendar days after such conviction;

(e) Notifying the agency, in writing, within 10 calendar daysafter receiving notice under subparagraph (d)(2) from anemployee or otherwise receiving actual notice of such convic-tion.Employers of convicted employees must provide notice, includingposition title, to: Department of Justice, Office ofJustice Programs, ATTN: Control Desk, 633 Indiana Avenue,N.W., Washington, D.C. 20531. Notice shall include the iden-tification number(s) of each affected grant;

(f) Taking one of the following actions, within 30 calendardays of receiving notice under subparagraph (d)(2), withrespect to any employee who is so convicted—

(1) Taking appropriate personnel action against such anemployee, up to and including termination, consistent with therequirements of the Rehabilitation Act of 1973, as amended; or

(2) Requiring such employee to participate satisfactorily in adrug abuse assistance or rehabilitation program approved forsuch purposes by a Federal, State, or local health, law enforce-ment, or other appropriate agency;

(g) Making a good faith effort to continue to maintain a drug-free workplace through implementation of paragraphs (a), (b),(c), (d), (e), and (f).

B. The grantee may insert in the space provided below thesite(s) for the performance of work done in connection withthe specific grant:

Place of Performance (Street address, city, county, state, zipcode)

Check if there are workplaces on file that are not indentifiedhere.

Section 67, 630 of the regulations provides that a grantee thatis a State may elect to make one certification in each Federalfiscal year. A copy of which should be included with each ap-plication for Department of Justice funding. States and Stateagencies may elect to use OJP Form 4061/7.

Check if the State has elected to complete OJP Form4061/7.

DRUG-FREE WORKPLACE(GRANTEES WHO ARE INDIVIDUALS)

As required by the Drug-Free Workplace Act of 1988, andimplemented at 28 CFR Part 67, Subpart F, for grantees, asdefined at 28 CFR Part 67; Sections 67.615 and 67.620—

A. As a condition of the grant, I certify that I will not engagein the unlawful manufacture, distribution, dispensing, posses-sion, or use of a controlled substance in conducting anyactivity with the grant; and

B. If convicted of a criminal drug offense resulting from aviolation occurring during the conduct of any grant activity, Iwill report the conviction, in writing, within 10 calendar daysof the conviction, to: Department of Justice, Office of JusticePrograms, ATTN: Control Desk, 633 Indiana Avenue, N.W.,Washington, D.C. 20531.

As the duly authorized representative of the applicant, I hereby certify that the applicant will comply with the above certifications.

1. Grantee Name and Address:

2. Application Number and/or Project Name 3. Grantee IRS/Vendor Number

4. Typed Name and Title of Authorized Representative

5. Signature 6. Date

*U.S. Government Printing Office: 1996 - 405-037/40014

Documents

National Criminal History Improvement Program … Criminal History Improvement Program U.S. Department of Justice Office of Justice Programs Fiscal Year 2002 Program Announcement Bureau