The Bureau of Justice Statistics (BJS) is publishing this notice to announce the continuation of the National Criminal History Improvement Program (NCHIP) in Fiscal Year 2003, identify the program priorities, and provide information on application requirements.

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Electronic Submission of NCHIP Application

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

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

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Message from the Director, BJS

I am pleased to have the opportunity to provide you with my thoughts for the upcoming year. First of all, I want to pass along my appreciation for your unflagging willingness to provide us data on quality and content of record systems. We have conducted repeated surveys to learn about various aspects of the record holdings in your State, the ability to share information across States, and the accessibility of other records systems on mental health, sex offenders, and stalkers. Particularly exciting has been our work on establishing the Record Quality Index (RQI). To date, 34 States have completed all RQI data submissions and another 10 have made partial submission and are moving rapidly toward completion. The Index will provide a level of insight into strengths and weaknesses of the records systems and background check capabilities within a State and provide a clear set of opportunities to address Federal funds to very specific records problems and needs. Good performance measurement will take us to the next level of specificity in order to achieve a more comprehensive and accurate and complete check each time a background check is conducted.

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

As in previous years, BJS has utilized data from the States as a tool for directing the allocation of funds to priority areas. BJS has identified the following key priorities and urges the States to consider these in planning their 2003 NCHIP activities -

full participation in the III System;
full participation in the National Protection Order File and the National Sex Offender Registry;
automating and updating with disposition information older criminal history records;
improving communication of dispositions and other case outcomes from courts and prosecutors to the repositories housing criminal history records;
incorporating mental health records into background check systems;
supporting improvements which facilitate the identification of those records containing convictions for misdemeanor domestic violence;
implementing the National Crime Prevention and Privacy Compact which governs the interstate exchange of criminal records which are needed for noncriminal justice purposes; and
implementing new record-keeping requirements for checks conducted by the NICS.

I strongly encourage you to use the NCHIP funds to meet these priorities or facilitate the transmittal of relevant records to the Denied Persons File in the NICS Index--it can be used for proactively identifying persons prohibited from purchasing a firearm because of a history of domestic violence or mental health problems or whose records are not fingerprint-supported--it can help avoid many, many hours of unneeded research of records.

I also want to continue to emphasize the need for courts and prosecutors to be major players in the development of and improvements to criminal records systems. We are learning more and more each day about the distinct advantages of livescan right in the courtroom for insuring the timely and accurate transmittal of disposition information. We are learning more and more about the need to insure that non-prosecution outcomes are properly tagged to open arrest transactions. Since we know that large numbers of those arrested are not prosecuted, it is imperative that such information make it into the repository and be properly linked to the arrest charge.

In addition, it is important to stress the immense utility of the FBI's NIBRS system. If incident-level crime data could be linked to perpetrators, the criminal record could become not just a chronology of justice system transactions and outcomes, but a biography of the communal harm left behind by the offender. Such information would be of tremendous value in making pretrial release decisions, preparing pre-sentence reports, assessing the appropriateness of aggravated sanctions, and helping to better understand the sentencing outcome and the role of prior record in judicial sentencing decisions. I would encourage all of you to learn more about NIBRS to enable you to build a crosswalk between records of crime and criminal records.

As always, BJS staff are available to assist you in planning for the upcoming year and preparing your application. Please feel free to contact me with any comments or suggestions on NCHIP at Larry.Greenfeld@usdoj.gov.

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

Lawrence A. Greenfeld
Director
Bureau of Justice Statistics

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Program goals

The goal of the NCHIP grant program is to improve the Nation's safety and security by enhancing the quality, completeness, and accessibility of criminal history record information and by insuring the nationwide implementation of criminal justice and noncriminal justice background check systems. Achieving this goal is contingent upon accomplishing four objectives:

providing direct financial and technical assistance to the States to improve their criminal records systems and other related systems to support background checks;
ensuring the infrastructure is developed to connect each State's records systems to FBI records systems and, in turn, to connect each State's background check databases to one another;
providing the training and technical assistance to States needed to insure that records systems are developed and managed to conform to FBI standards and the most appropriate technologies and that States adhere to the highest standards of practice with respect to privacy and confidentiality; and,
assessing and measuring through systematic evaluation and standardized performance measurement and statistics, the extent of progress in implementing improvements in State-level and national records holdings and background check systems.

The NCHIP program serves as an umbrella for various records improvements activities and funding streams each of which has unique goals and objectives. BJS strongly encourages States, as a basic principle of this program, to ensure the integrated functioning of records improvements initiatives, regardless of the funding source.

Authorizing legislation

In 2003 the appropriation for the NCHIP program was made pursuant to the Crime Identification Technology Act of 1998, and the procedures for applying for NCHIP grants reflect the provisions of that Act. In particular, State matching funds are required for NCHIP applications. The NCHIP program implements the grant provisions of --

the Crime Identification Technology Act of 1998 (CITA), Pub. L. No. 105-251, 112 Stat. 1871 (1998), codified at 42 USC Section 14601 et seq.;
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. Section 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. Section 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. Section 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, Pub. L. No. 103-322, 108 Stat. 2038, Megan's Law, Pub.L. No. 104-145, 110 Stat. 1345, and the Pam Lychner Sexual Offender Tracking and Identification Act of 1996, Pub. L. No. 104-236, 110 Stat. 3093; and
the Victims of Trafficking and Violence Protection Act of 2000, Pub. L. No. 106-386, 114 Stat. 1464 (2000) and related laws pertaining to the identification, collection, analysis and interstate exchange of records relating to domestic violence and stalking (including protection orders).

Program history

The NCHIP program was initiated in 1995 and has encompassed evolving efforts to support State activities for the establishment of records systems and the collection and use of criminal history and related records. Since 1995 direct awards under the basic NCHIP (including awards to "priority" States and awards under the Advanced State Award program (ASAP)) totaled over $438 million. In addition, $6 million was transferred to the FBI for implementation of the National Instant Criminal Background Check System (NICS) and nearly $18 million was awarded to provide direct technical assistance to States, to evaluate the program, and to collect statistics and research data on presale firearm checks.

The National Sex Offender Registry Assistance Program (NSOR-AP) was added to NCHIP in FY 1998, with a $25 million appropriation having the goal of assisting States in upgrading sex offender registries consistent with Federal and State standards and providing data to the FBI's National Sex Offender Registry. Starting in FY 1999, funding for State sex offender registries has been covered under the general NCHIP.

As part of the Violent Crime Control Act, the Violence Against Women Act of 1994 authorized a total of $6 million for fiscal years 1996 through 1998 to improve processes for entering data on stalking and domestic violence into local, State, and national databases. The funds were incorporated into, and awarded under, the NCHIP program during those years. This program was re-authorized by the Violence Against Women Act of 2000 (Pub. L. No. 106-386, Section 8) at $3 million per year for fiscal years 2001 through 2005 and funding was re-instituted in FY 2002.

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

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Accomplishments

NCHIP has provided support to States for --

Record improvement and support for courts. All States have received funds under NCHIP to upgrade the quality of criminal history record systems. Funds have been awarded for acquisition of advanced equipment, development of software, and conversion of manual records to an automated format which permits instant access and linkage. Automated criminal records permit immediate access for law enforcement and other purposes such as background checks. BJS conducts surveys of criminal record holdings within the States every two years. The 2001 BJS survey indicated that States held approximately 64 million records on individuals. About 9 out of 10 of these records were automated and 3 out of 4 automated records were accessible for conducting presale firearms and other background checks. Trend data from prior surveys show that record quality and access to records has substantially increased as a consequence of NCHIP. Since the inception of NCHIP, the number of criminal history records held nationwide grew 29% while the number of automated records increased 35%. Over the same period, the number of records available for sharing under the FBI's Interstate Identification Index (III) climbed 75%.
Participation in the Interstate Identification Index (III). To ensure compatibility, all record enhancements funded under NCHIP are required to conform to FBI standards for III participation. III participation is critical since it constitutes the primary system through which the FBI accesses state-held data for NICS checks. In 1989 only 20 States were members of the FBI's III system which permits instant access to out-of-state data. By yearend 1993, 26 States were participants. As of March 2003, 47 States are members of III meeting the rigorous standards of the FBI for participation.
Automation of records and fingerprint data. Funds have been used by States to establish automated fingerprint identification systems (AFIS) and to purchase livescan equipment for State and local agencies. AFIS systems enable States to conduct automated searches for records based on fingerprint characteristics and to interface with the FBI's Integrated Automated Fingerprint Identification Systems (IAFIS). As of March 2003, 47 States, the District of Columbia, and 3 territories (American Samoa, Guam, and the U.S. Virgin Islands) participate in IAFIS, which became operational in July 1999. In addition to ensuring that records are properly matched to the correct offender, AFIS minimizes the time and manpower required for searching fingerprint databases, which facilitates matching of latent prints obtained at a crime scene. Livescan equipment permits law enforcement to take fingerprints without use of inkpads or other similar procedures and to electronically transfer fingerprints to the State's AFIS for comparison and matching against State- and FBI-held prints. Almost all States have received NCHIP funds to use in connection with fingerprint automation systems.
National instant background check. The Brady Act requires that a background check be conducted using the FBI's NICS to identify potential purchasers who are prohibited from purchasing firearms. The effectiveness of the system is dependent on the extent to which complete records are available in response to system inquiries. NCHIP funds have been used to increase the number of records which are accessible to the system and to fund the development of court systems to ensure that records include final dispositions.

The NICS is now supporting nearly 8 million checks annually at the presale stage of firearms purchases. From the inception of the Brady Act on March 1, 1994 to December 31, 2002, nearly 46 million applications for firearm transfers were subject to background checks. Approximately 976,000, or 2.1% of all applications, were rejected, primarily for the presence of a prior felony conviction history but also, in a growing proportion of checks, for non-felony prohibiting background factors enumerated in the 1968 Gun Control Act as amended. State and local agencies maintain a significant role in background checks, having conducted checks on almost half of the applications for firearm transfers or permits in 2002, while the FBI was responsible for the remainder. NCHIP funds have facilitated the integration of databases within States - the number of rejections for reasons other than felony convictions increased 294% from the first year of the Brady Act to 2002.
Sex Offender Registry. Beginning in FY 1998, NCHIP funds have been provided to assist States in developing and enhancing the operation of State sex offender registries that include information on convicted sex offenders. These funds have been used for purchase of equipment, training, and development of procedures required to ensure that released offenders are registered with proper authorities and that State systems are capable of interfacing with the FBI's National Sex Offender Registry system. The FBI's permanent National Sex Offender Registry became operational in July 1999. As of March 2003, all 50 States, the District of Columbia, Guam, Puerto Rico, and the U.S. Virgin Islands were contributing to the system which has more than 329,000 records.
Domestic violence records/protection orders. NCHIP has put special emphasis on ensuring that domestic violence-related offenses are included in criminal records. The Federal Gun Control Act as amended prohibits sales of firearms to persons subject to a qualifying domestic violence related protection order or convicted of a qualifying domestic violence misdemeanor. Funds have specifically been awarded for development of State protection order files that are compatible with the FBI's national file so as to permit interstate enforcement of protection orders and the denial of firearm transfers to prohibited persons subject to a protection order. As of March 2003, 45 States, the District of Columbia, and the U.S. Virgin Islands submit data to the National Crime Information Center (NCIC) Protection Order File, which became operational in May 1997 and includes nearly 846,000 records of protection orders.

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Program priorities

(1) Commitment to establishing the infrastructure to support full implementation of the National Instant Criminal Background Check System (NICS), including commitment to full participation in the Interstate Identification Index (III)

Consistent with the Brady Act, the FBI's NICS became operational in November 1998 and provides instant background checks to determine if a potential firearm purchaser is a convicted felon or otherwise prohibited from purchasing a firearm under Federal or State statute. The effectiveness of NICS depends on the extent to which the most accurate and complete records of Federal and State criminal offenses and records in other prohibiting categories are instantly available in response to inquiries from firearms dealers.

To ensure that checks are made against the most current and complete records, the NICS configuration 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 benefits which accrue from States serving as POC's and encourages States to serve in this role by allowing funds to be used to cover costs associated with establishment of the capability to serve as a POC.

Since inception, and as currently authorized under CITA, NCHIP is designed to assist States in developing the infrastructure which will support operation of the NICS. Accordingly, the program does not cover operating costs associated with NICS participation. States are encouraged, however, to use NCHIP funds to develop systemic solutions to minimize delays in instant responses to NICS inquiries (for details, see Allowable costs section below). Use of funds to enhance the database by including missing dispositions would, for example, be appropriate in pursuing this priority funding topic as described in the following section, Commitment to support court efforts.

The underlying system supporting FBI responses to NICS inquiries is the III. At present, 47 States participate in the system. Full participation in III is a key goal of NCHIP, and States which are not participating must include in their NCHIP applications a discussion of their III status and plan for future participation.

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(2) Commitment to support court efforts relating to 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 a conviction rather than a simple arrest. In addition, immediate access to protection orders on an interstate basis is vital for protection of victims of domestic violence.

For this reason, all applications are required to demonstrate that court needs have been considered. If no funds for upgrading court systems capable of providing disposition data are requested, applicants must include a letter from the State court administrator or Chief Justice indicating that the courts have been consulted in connection with the application. The category of allowable costs has been expanded to cover costs of implementing all court system enhancements which will result in improved disposition availability and linkage with the State criminal history record system.

In addition, all States must specifically discuss the technical and policy issues which limit the State's ability to provide disposition data in response to NICS inquiries within the required NICS timeframe. The application should also describe procedures which will be followed to ameliorate this problem both in the long term and within the current grant period and the extent to which NCHIP funds will be used for this purpose, including, where appropriate, the allocation of some portion of NCHIP funds to court or county clerks, or other relevant agencies, to cover costs of accessing dispositions and adding such dispositions to the State automated database. (For further guidance, refer to sections, Allowable costs and Application requirements, below.)

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(3) Including mental health records in background check systems

The 1968 Gun Control Act as amended indicates that persons who are adjudicated as mentally defective or have been involuntarily committed to a mental institution are ineligible to purchase a firearm. Some POC States include a check of such records during the course of a presale background check.

NCHIP encourages applicants to consider incorporating mental health data checks into their own background check systems. NCHIP also encourages applicants to transmit such records, or a notice of the existence of such records, to the FBI NICS Index. This will ensure that prohibiting mental health records are available when the FBI is conducting background checks regardless of the State in which the record originated.

BJS recognizes the privacy implications associated with access to mental health records and is willing to assist States in developing solutions that address privacy and confidentiality concerns.

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(4) Facilitating NICS checks

Denied persons files

Another potential area for funding is the development and transmittal of records to the NICS Index Denied Persons File. The Denied Persons File is a file of federally disqualifying records that are not otherwise entered into NCIC, III, or the NICS Index. This includes misdemeanor crimes of domestic violence, warrants that do not meet the criteria for entry into NCIC, active protection orders not available in NCIC, and non-fingerprint supported criminal history records. If under State law, a criminal justice agency is prohibited from providing mental health records to the NICS mental health file, NCHIP funds may be used to enter the names of persons prohibited under the mental health prohibition into the Denied Persons File. This file is an important resource for improving both the timeliness of NICS checks and the efficiency that comes from avoiding unneeded record research.

Addressing "open arrests" in older records

Researching open arrests has become a very time-consuming and burdensome activity for localities. A more coordinated approach to building the national identification infrastructure will help rectify this problem. The FBI conducted a study of a week's worth of failed instant checks to learn more about the characteristics of the problem of open arrests. The study demonstrated that about three-quarters of the problem records had the last arrest prior to the initiation of NCHIP and more than half had the last arrest occurring before 1984. In other words, open arrest problems are most often occurring when an older record is being checked. Better development and use of denied persons files should avert recurring checks of the same person.

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(5) Developing record systems for protection order files and records of domestic violence

The Federal Gun Control Act prohibits sales of firearms to persons subject to a qualifying protection order related to domestic violence and persons convicted of a qualifying domestic violence misdemeanor. Complete records in each of these categories must promptly be made accessible to the POC and the FBI to ensure that NICS checks identify persons covered by these prohibitions. The time-sensitivity and differences of protection orders issued by different courts increase the complexity of developing a protection order system which is complete and up-to-date.

Establishment of accessible files of domestic violence related misdemeanors is also difficult since misdemeanor data have not traditionally been maintained at the State-level and domestic violence related offenses may be difficult to distinguish from misdemeanors classified as assaults. In light of the complexity associated with efforts in this area, and the importance of these data to protecting public safety, NCHIP strongly encourages States to focus on the development of these record systems and to ensure that such systems meet the needs of those agencies which have been charged with responsibility relating to domestic violence.

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(6) Strengthening records to improve national security standards and avert terrorism

The need to ensure the security of government facilities and records has put substantial strain on the manpower and resources of most States. As the Nation develops strategies to prevent future terrorist events, it is clear that access to accurate and complete records and the availability of automated fingerprint identification systems are critical to support the wide variety of background checks necessary to protect public safety.

NCHIP will focus on initiatives, using criminal records, to support anti-terrorism. Concerns about the adequacy of redundant and backup records systems, building better ties between immigration and criminal records, and better coordination with homeland defense and emergency management agencies within the States are all matters on which States may wish to focus interest. However, it is important to reiterate that all of these efforts must center on the development of better records systems or towards the improvement of accessibility or utility of records systems.

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(7) Promoting enhanced access to criminal records for noncriminal justice purposes, including implementation of the National Crime Prevention and Privacy Compact

The demand for criminal record background checks on persons seeking positions involving national security, fiscal responsibility, and responsibility for children, the elderly, the disabled and other vulnerable populations has increased markedly in recent years, reflecting changes in technology and the increased dependence on available information wherever it may be held. In keeping with the provisions of CITA, NCHIP recognizes the need to facilitate such background checks, consistent with applicable limitations of State and Federal law and policy.

To support the accessibility of information on an interstate basis, the Interstate Crime Control and Privacy Compact was enacted in 1998 as part of CITA. As of January 2003, 21 States have enacted the compact. Seven States (as of March 2003) have started implementation of the National Fingerprint File (NFF) which constitutes the technological basis for implementation of the Compact.

The Compact provides the framework for exchange of criminal record data, using the III system, in response to fingerprint-based inquiries for noncriminal justice purposes. NCHIP supports State efforts to establish the technology and policies necessary for participation in the Compact and encourages States to consider protocols, including funding for necessary equipment, training, and outreach, to assist organizations engaged in activities involving vulnerable populations to meet the requirements for interstate background checks.

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(8) Implementing new record-keeping requirements for checks conducted by the National Instant Criminal Background Check System

The Consolidated Appropriations Act of 2003 (Pub. L. No. 108-199), Section 617, requires the National Instant Criminal Background Check System (NICS) to destroy "any identifying information submitted by or on behalf of any person who has been determined not to be prohibited from possessing or receiving a firearm no more than 24 hours after the system advises a Federal firearms licensee that possession or receipt of a firearm by the prospective transferee" would not violate Federal or State law. The law requires the implementation of this provision by July 21, 2003, 180 days after January 23, 2003, the day the bill was signed into law.

The FBI is consulting with State agencies that act as a Point of Contact (POC) for the NICS about changes in requirements for POC participation in the system that will be necessary to comply with this new legal requirement. Specifically, the FBI anticipates that implementation of this new requirement will necessitate that State POC's provide additional information to the FBI on the status of POC transactions. State POC's may apply for NCHIP funds to cover expenses for necessary changes in programming or operations to enable the NICS to comply with this provision of Pub. L. No. 108-199. BJS will ensure the timely processing of applications by States seeking funds for this purpose.

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Appropriation

The NCHIP appropriation under CITA is $29.7 million, with an additional $2.95 million appropriated for the purposes described in the Violence Against Women Act of 1994 and the Violence Against Women Act of 2000. Consistent with the legislative goal of CITA, and with the ongoing NCHIP policy, NCHIP allows States to determine task areas they expect will most improve operations of the criminal justice system and will result in maximum benefits to the citizens of the applicant State.

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Eligibility requirements

An award will be made to each eligible applicant State with funds from the FY 2003 appropriation. The NCHIP application must be submitted by the agency designated by the Governor to administer the NCHIP program. States may choose to submit applications as part of a multi-state consortium or other entity. In such cases, please contact your BJS program manager for further information.

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Review criteria

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

the extent to which funds will support/enhance participation in NICS, III, the National Sex Offender Registry, the NCIC Protection Order File, the National Crime Prevention and Privacy Compact, and other related Federal and State systems;
the extent to which improvements in the State system, by virtue of record numbers, levels of technical development, or operating procedures, will have a major impact on availability of records throughout the national system;
the proposed use or enhancement of innovative procedures which may be of value to other jurisdictions;
the technical feasibility of the proposal and the extent to which the proposal appears reasonable in light of the State's current level of system development and statutory framework;
the total amount already awarded under previous NCHIP and NSOR-AP program announcements;
the extent to which the State has fulfilled goals of previous NCHIP awards, including NSOR-AP awards, expended funds in previous awards, and demonstrated a commitment to criminal history record improvement through activities under the program;
State commitment to the national record system as evidenced by membership in III and participation in the FBI's NFF, and the current status of development of its criminal history records and the National Sex Offender Registry;
reasonableness of the budget;
evidence of State progress in meeting record improvement and background check goals as measured in terms of audits, and meeting data collection goals relating to presale firearm checks and background checks on persons seeking positions involving children, the elderly, and the disabled;
appropriate focus on criminal history data improvement regarding protection orders and crimes against children, the elderly, and the disabled;
nature of the proposed expenditures;
the extent to which the application recognizes the role of the courts in ensuring complete records; and
the reasonableness of the relationship between the proposed activities and the current status of the State system, in terms of technical development, legislation, current fiscal demands, and future operating costs.

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Allowable costs

Allowable expenses are detailed below. All expenses are allowable only to the extent that they directly relate to programs described in the application's program narrative.

(1) Participation in III. This is a key goal. Covered costs include, but are not limited to, costs associated with automation of the database, synchronization of records between the State and the FBI, and development of necessary software and hardware enabling electronic access on an intrastate or interstate basis.

National Criminal History Improvement ProgramFiscal Year 2003 Program Announcement