oppBJS-2018-13842-cfda16.554-instructions..pdf

OMB No. 1121-0329 Approval Expires 11/30/2020 U.S. Department of Justice Office of Justice Programs Bureau of Justice Statistics

The U.S. Department of Justice (DOJ), Office of Justice Programs (OJP), Bureau of Justice Statistics (BJS) is seeking applications for the FY 2018 National Criminal History Improvement Program (NCHIP). This program furthers the Department’s mission to enhance the crime fighting and criminal justice capabilities of state and tribal governments by improving the accuracy, utility, and interstate accessibility of criminal history records; and enhancing records of protective orders, automated identification systems, and other state systems supporting national records systems and their use for name and fingerprint-based criminal history background checks. For the purpose of this solicitation, “state” includes the District of Columbia and U.S. territories.

FY 2018 National Criminal History Improvement Program (NCHIP)

Applications Due: May 14, 2018

Eligibility

Eligible applicants are limited to the agency designated by the governor in each state to administer the National Criminal History Improvement Program (NCHIP) program and federally recognized Indian tribal governments (as determined by the Secretary of the Interior).

All recipients and sub recipients (including any for-profit organization) must forgo any profit or management fee.

BJS welcomes applications under which two or more entities would carry out the federal award;

however, only one entity may be the applicant. Any others must be proposed as sub recipients (subgrantees).1 The applicant must be the entity that would have primary responsibility for carrying out the award, including administering the funding and managing the entire project.

Under this solicitation, only one application by any particular applicant entity will be considered.

An entity may, however, be proposed as a subrecipient (subgrantee) in more than one application.

For additional eligibility information, see Section C. Eligibility Information.

Deadline

Applicants must register with Grants.gov at https://www.grants.gov/web/grants/register.html prior to submitting an application. All applications are due by 11:59 time p.m. eastern time on May 14, 2018.

1 For additional information on subawards, see “Budget and Associated Documentation” under Section D. Application and Submission Information.

https://www.usdoj.gov/ https://www.ojp.usdoj.gov/ https://www.bjs.gov/ https://www.bjs.gov/ https://www.grants.gov/web/grants/register.html

BJS-2018-13842

To be considered timely, an application must be submitted by the application deadline using Grants.gov, and the applicant must have received a validation message from Grants.gov that indicates successful and timely submission. OJP urges applicants to submit applications at least 72 hours prior to the application due date to allow time for the applicant to receive validation messages or rejection notifications from Grants.gov and to correct in a timely fashion any problems that may have caused a rejection notification.

OJP encourages all applicants to read this Important Notice: Applying for Grants in Grants.gov.

For additional information, see How to Apply in Section D. Application and Submission Information.

Contact Information

For technical assistance with submitting an application, contact the Grants.gov Customer Support Hotline at 800-518-4726, 606-545-5035, at https://www.grants.gov/web/grants/support.html, or at support@grants.gov. The Grants.gov Support Hotline operates 24 hours per day, 7 days per week, except on federal holidays.

An applicant that experiences unforeseen Grants.gov technical issues beyond its control that prevent it from submitting its application by the deadline must email the BJS contact identified below within 24 hours after the application deadline to request approval to submit its application after the deadline. Additional information on reporting technical issues appears under “Experiencing Unforeseen Grants.gov Technical Issues” in the How To Apply section

For assistance with any other requirements of this solicitation, contact Devon B. Adams, Chief, Criminal Justice Data Improvement Program, by telephone at 202-307-0765 or by email at askbjs@usdoj.gov. Include “NCHIP18” in the subject line.

Grants.gov number assigned to this solicitation: BJS-2018-13842

Release date: March 12, 2018 https://ojp.gov/funding/Apply/Grants-govInfo.htm https://www.grants.gov/web/grants/support.html mailto:support@grants.gov mailto:askbjs@usdoj.gov?subject=NCHIP18

Contents A. Program Description

Overview

Program-Specific Information

Goals, Objectives, and Deliverables

Information Regarding Potential Evaluation of Programs and Activities

B. Federal Award Information

Type of Award

Financial Management and System of Internal Controls

Budget Information

Cost Sharing or Matching Requirement (cash or in-kind)

Pre-agreement Costs (also known as Pre-award Costs)

Limitation on Use of Award Funds for Employee Compensation; Waiver

Prior Approval, Planning, and Reporting of Conference/Meeting/Training Costs

Costs Associated with Language Assistance (if applicable)

C. Eligibility Information

D. Application and Submission Information

What an Application Should Include

How to Apply

E. Application Review Information

Review Criteria

Review Process

F. Federal Award Administration Information

Federal Award Notices

Administrative, National Policy, and Other Legal Requirements

General Information about Post-Federal Award Reporting Requirements

G. Federal Awarding Agency Contact(s)

H. Other Information

Freedom of Information Act and Privacy Act (5 U.S.C. 552 and 5 U.S.C. 552a)

Provide Feedback to OJP

Application Checklist

FY 2018 National Criminal History Improvement Program (NCHIP)

(CFDA #16.554)

A. Program Description

Overview 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 (FY) 2018, identify the program priorities, and provide information on application requirements. This year, BJS is prioritizing the use of funds for two purposes: 1) to improve the reporting of dispositions and 2) to improve the reporting of persons prohibited from possessing firearms for reasons related to mental health to the National Instant Criminal Background Check System (NICS).

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

• Providing direct financial and technical assistance to states, state courts and tribes to improve their criminal records systems and other related systems in an effort to support background checks, including NICS checks.

• Ensuring the infrastructure is developed to connect criminal history records systems to the state record repository or appropriate federal agency record system and ensuring records are accessible through the FBI records systems

• Providing the training and technical assistance needed to ensure that records systems are developed and managed to conform to FBI standards and appropriate technologies, while ensuring that contributing agencies adhere to the highest standards of practice with respect to privacy and confidentiality

• Using systematic evaluation and standardized performance measurement and statistics to assess progress made in improving national records holdings and background check systems.

The NCHIP serves as an umbrella for various record improvement activities and funding streams, each of which has unique goals and objectives. As a basic principle of this program, BJS strongly encourages states and tribes to ensure the integrated functioning of record improvement initiatives, regardless of the funding source. Also, BJS urges applicants to match or leverage the federal funds provided with other resources, to the maximum extent possible.

Statutory Authority:

In the past, appropriations for the NCHIP have been made pursuant to the Crime Identification Technology Act of 1998 (34 U.S.C. § 40301), and the procedures for applying for NCHIP grants generally reflect these provisions.

Program-Specific Information

Goals, Objectives, and Deliverables NCHIP was initiated in 1995, and encompasses evolving efforts to support state activities for the establishment of records systems and the collection and use of criminal history and related records. Pursuant to 34 U.S.C. §10132(c)(19), BJS is authorized to “provide for improvements in the accuracy, quality, timeliness, immediate accessibility, and integration of state and tribal criminal history and related records, support the development and enhancement of national systems of criminal history and related records, including the National Instant Criminal Background Check System [(NICS)], National Incident-Based Reporting System [(NIBRS)], and records of the National Crime Information Center [(NCIC)], facilitate state and tribal participation in national records and information systems, and support statistical research for critical analysis of the improvement and utilization of criminal history records.” NCHIP and the NICS Act Record Improvement Program (NARIP) are means by which BJS provides for such improvements.

To date, all states, the District of Columbia, and five U.S. territories have received funds under NCHIP. Federally recognized tribes are also eligible to apply for funds under NCHIP. Further information about the history of NCHIP and its accomplishments are available at https://www.bjs.gov/index.cfm?ty=tp&tid=47. NCHIP has provided support to states in the following areas:

• improving disposition reporting and support for courts

• facilitating participation in the Interstate Identification Index (III)

• improving identification and access to domestic violence records or protection orders

• improving record automation and fingerprint data

• increasing participation in the NICS

• creating, updating, and enhancing sex offender registries.

Issues and Needs to be Addressed

Despite the tremendous progress made toward criminal record improvements, several significant shortcomings remain:

• Many arrest records available through the III—excluding those for the 20 states participating in the National Fingerprint File (NFF)—are missing case outcome information in the FBI’s Criminal History File. Courts and prosecutors must contribute to the development of improvements to criminal records systems to help ensure the timely and accurate transmittal of disposition information, including nonprosecution outcomes, to criminal record repositories. The Global Justice Information Sharing Committee (Global) released new arrest and disposition reporting standards available on the Global Information Sharing Toolkit website. This service provides the ability to report arrests and dispositions and aims to assist with automating a policy response to reporting arrest and disposition information.

• Some entities are still not submitting all available qualifying records to the NICS Indices, particularly prohibiting mental health information.

• Many agencies are not flagging records in criminal history systems to easily identify misdemeanor convictions of domestic violence, which may cause unnecessary delays when NICS or state/local examiners hit on potential records when conducting firearm background checks.

https://www.bjs.gov/index.cfm?ty=tp&tid=47 https://www.it.ojp.gov/GIST/Browse/85/Global-Standards-Package--GSP-

• Some entities are not yet submitting all qualifying records to the NCIC Protection Order File (POF), and the FBI reports continued problems with the appropriate flagging of protection orders regarding the prohibition for firearm purchases.

This year’s NCHIP solicitation continues to focus on assisting states and tribes to find ways to make more records available to NICS, including records in the NCIC, criminal history record information available through the III, and records in the NICS Indices. Therefore, an expected outcome of funded activities is that they result in more records (including improved quality, completeness and timeliness) being available in these systems.

Additionally, applicants are strongly encouraged to develop or update long-range record improvement plans to assess data quality and completeness and identify gaps in record reporting and availability, with the goal of developing strategies to significantly reduce or eliminate these gaps. Such plans should include ongoing research, analysis, data quality auditing, or similar work that may result in quantifiable improvement goals and facilitate performance monitoring. Applicants may wish to contact the NCHIPTA provider, SEARCH Group, Inc., to take advantage of a criminal history analytics tool to assist in evaluating the accuracy and completeness of data within their state repositories.

BJS invites applications from states, territories, and tribes that: 1) propose projects that specifically and directly address one or more of the priority areas identified below; and 2) to the maximum extent possible, propose to match or leverage the NCHIP award with other resources.

FY 2018 Priority Areas - Improving Dispositions and Mental Health Submissions Accessible to NICS

In FY 2018, applicants must focus efforts to improve: 1) availability of dispositions (specifically for felony crimes, and for misdemeanor crimes of domestic violence) through the national system; 2) reporting records of persons prohibited from possessing firearms for mental health reasons to the NICS. Therefore, recipients of funds must agree to use a portion of awarded funds to make such records accessible to NICS unless the state certifies in the application that it—

1) already makes available all dispositions to the national systems and records demonstrating a person is prohibited from possessing firearms for mental health reasons to NICS; or

2) will focus funds on another area that the state demonstrates is a greater information sharing gap.

Priority Areas for Grant Funding

1. Updating and automating case outcomes from courts and prosecutors in state records and the FBI’s Criminal History File

Allowable costs may include activities such as—

a. Implementing or upgrading state, local or tribal court record systems that facilitate immediate identification of disposition records, provided the records are accessible for criminal history record inquiries at the state and national level

b. Implementing improved criminal history information capture procedures, including complete arrest reporting and researching missing dispositions, provided that the captured data are subsequently included in relevant state and federal files

c. Capturing complete data from prosecutors and courts on domestic violence misdemeanor convictions

d. Ensuring that criminal history record information is shared with investigative service providers (ISPs) for national security and other purposes pursuant to Title 5 U.S.C. Sec.

e. Ensuring that records of all criminal events, starting with an arrest or indictment, are included in background check files, through data analysis focused on the completeness of criminal history records

f. Establishing automated interfaces between the record repository and prosecutors, courts, and corrections agencies (i.e., detention, prison, jail, and community supervision), including the development of relevant information exchange package documentation based on the National Information Exchange Model (NIEM)

g. Capturing data on persons convicted of abuse of children, elderly persons, and disabled persons, or stalking and domestic violence offenses (including protection orders and related violations)

h. Submitting disposition information to the FBI via the III Message Key (MKE), Machine Readable Data (MRD) process, or other methods of transmission accepted by the FBI

i. Reducing any backlog of missing court dispositions, provided the dispositions are made available for criminal history inquiries at the state and national level

j. Implementing the standardized RAP sheet format, which relies on NIEM, and assisting states in converting criminal history records to the standard interstate RAP sheet format or developing related electronic interchange capabilities

k. Converting manual or other nonautomated records to electronic records

l. Establishing more effective accuracy and information quality controls, including data analysis capabilities

m. Converting juvenile records to the adult system (federal regulations allow the FBI to accept juvenile records if submitted by the state or local arresting agency)

n. Upgrading equipment to directly improve availability of data where appropriate, given the level of data completeness and participation in national records systems (the ongoing and/or maintenance costs associated with any such equipment are allowable only during the initial 12-month period)

o. Purchasing Livescan equipment for local agencies, where the funds can be justified on the basis of geographic, population, traffic, or other related factors, and only when the jurisdiction has established an Automated Fingerprint Identification System (AFIS) and either has implemented or is implementing procedures to ensure that the AFIS is compatible with FBI Next Generation Identification (NGI) standards (the ongoing and/or maintenance costs associated with any such equipment are allowable only during the initial 12-month period)

p. Ensuring compatibility with federal record systems, such as III, and implementing integrated system strategies that interface all components of the criminal justice system, including law enforcement, prosecutors, courts, and corrections, to the extent that such expenditures improve the availability of criminal record data, at the national level and provided that any systems funded are compatible with FBI standards for national data systems, such as NIBRS, NCIC, NICS, and NGI. However, NCHIP funds may not be used to support studies, analysis, design, or development of integrated systems strategies. Funds should not be used to primarily improve law enforcement investigative capabilities associated with NGI participation (e.g. latent workstation, palm prints, facial recognition, DNA capture).

2. Improving access to information concerning persons prohibited from possessing or receiving a firearm for mental health reasons and transmitting relevant records to the

NICS.

Activities to improve reporting of additional categories of persons prohibited from possessing a firearm under federal law, not already described above, are allowable (but not prioritized).

Allowable costs may include activities such as—

a. identifying and developing access to data on persons prohibited from firearm purchases under the Gun Control Act (18 U.S.C. Section 922), as amended by the Brady Act

b. participating in the FBI’s Identification for Firearms Sales (IFFS) program, which is a system for flagging III records for the immediate and accurate identification of convicted felons

c. enabling the state to serve as a Point of Contact (POC) under the NICS system (including costs of equipment, software, personnel training, and development and implementation of related operating and administrative procedures). However, funds may not be used to cover ongoing costs of presale firearm background checks, but may be used to pay costs associated with capturing dispositions in response to a specific NICS inquiry, provided that the captured data are entered into the automated state and FBI systems, thus serving to upgrade the permanent quality of the records systems

d. instituting programming or operational changes in records management necessary to comply with the requirements for NICS record keeping and reporting the status of transactions

e. establishing electronic interfaces or information exchanges between criminal history records, sex offender registry, and civil POFs to ensure that, consistent with state law, a complete data review is possible in connection with background checks for child care or other authorized purposes. Funds may be used to develop software to establish protocols to permit interfaces between the criminal history record system, the state sex offender registry, and related POFs, including files of civil protection orders.

Additional Area for Grant Funding

Full participation in the III and NFF, including adoption and implementation of the National Crime Prevention and Privacy Compact

Allowable costs may include activities such as—

a. paying reasonable costs associated with the adoption and implementation of the

National Crime Prevention and Privacy Compact, including those associated with state review and enactment of the Compact, and the development and implementation of procedures (including purchase of equipment and development of software) necessary to facilitate operations pursuant to Compact protocols, including those relating to participation in the FBI’s NFF

b. automating criminal record databases

c. synchronizing records between the state and the FBI

d. developing software and hardware necessary to enable electronic access to state records on an intrastate or interstate basis.

The Goals, Objectives, and Deliverables are directly related to the performance measures that demonstrate the results of the work completed, as discussed in Section D. Application and Submission Information, under “Program Narrative.”

Information Regarding Potential Evaluation of Programs and Activities The Department of Justice has prioritized the use of evidence-based programming and deems it critical to continue to build and expand the evidence informing criminal and juvenile justice programs to reach the highest level of rigor possible. Therefore, applicants should note that the Office of Justice Programs may conduct or support an evaluation of the programs and activities funded under this solicitation. Recipients and sub-recipients will be expected to cooperate with program-related assessments or evaluation efforts, including through the collection and provision of information or data requested by OJP (or its designee) for the assessment or evaluation of any activities and/or outcomes of those activities funded under this solicitation.

The information or data requested may be in addition to any other financial or performance data already required under this program.

B. Federal Award Information

FY 2018 NCHIP awards will be new awards rather than supplemental awards, and will be made for a performance period from 12 to 24 months. Because the program builds on long-term NCHIP activity, grantees will have the flexibility to begin funded activities immediately upon receipt of the award or as late as January 1, 2019. All activities must be scheduled to be completed no later than December 31, 2020. FY 2018 projects may overlap with FY 2017 projects or may run consecutively.

BJS is unable to estimate the number of awards to be made or the maximum amount awarded per state. The number and amount of awards is dependent on the extent to which the projects proposed address the program priority areas, the demonstrated level of need, the number of fundable applications, and the amount of available funding. In FY 2017, BJS made 41 awards totaling approximately $32 million.

All awards are subject to the availability of appropriated funds and to any modifications or additional requirements that may be imposed by law.

Type of Award BJS expects to make any award under this solicitation in the form of a cooperative agreement, which is a type of award that provides for Office of Justice Programs (OJP) to have substantial involvement in carrying out award activities. See Administrative, National Policy, and Other Legal Requirements, under Section F. Federal Award Administration Information, for a brief discussion of what may constitute substantial federal involvement.

Financial Management and System of Internal Controls Award recipients and sub recipients (including recipients or sub recipients that are pass-through entities2) must, as described in the Part 200 Uniform Requirements3 as set out at 2 C.F.R.

200.303,—

(a) establish and maintain effective internal control over the Federal award that provides reasonable assurance that [the recipient (and any subrecipient)] is managing the Federal award in compliance with Federal statutes, regulations, and the terms and conditions of the Federal award. These internal controls should be in compliance with guidance in “Standards for Internal Control in the Federal Government” issued by the Comptroller General of the United States and the “Internal Control Integrated Framework”, issued by the Committee of Sponsoring Organizations of the Treadway Commission

(COSO).

(b) comply with Federal statutes, regulations, and the terms and conditions of the Federal awards.

(c) evaluate and monitor [the recipient’s (and any subrecipient’s)] compliance with statutes, regulations, and the terms and conditions of Federal awards.

(d) take prompt action when instances of noncompliance are identified including noncompliance identified in audit findings.

(e) take reasonable measures to safeguard protected personally identifiable information and other information the Federal awarding agency or pass-through entity designates as sensitive or [the recipient (or any subrecipient)] considers sensitive consistent with applicable Federal, state, local, and tribal laws regarding privacy and obligations of confidentiality.

To help ensure that applicants understand the applicable administrative requirements and cost principles, OJP encourages prospective applicants to enroll, at no charge, in the DOJ Grants Financial Management Online Training, available at https://ojpfgm.webfirst.com/. (This training is required for all OJP award recipients.)

2 For purposes of this solicitation, the phrase “pass-through entity” includes any recipient or subrecipient that provides a subaward ("subgrant”) to a subrecipient (subgrantee) to carry out part of the funded award or program. Additional information on proposed subawards is listed under What an Application Should Include, Section 4c of this solicitation.

3 The "Part 200 Uniform Requirements” means the DOJ regulation at 2 C.F.R Part 2800, which adopts (with certain modifications) the provisions of 2 C.F.R. Part 200.

https://ojpfgm.webfirst.com/

Also, applicants should be aware that OJP collects information from applicants on their financial management and systems of internal controls (among other information), which is used to make award decisions. Under Section D. Application and Submission Information, applicants may access and review a questionnaire—the OJP Financial Management and System of Internal Controls Questionnaire—that OJP requires all applicants (other than an individual applying in his/her personal capacity) to download, complete, and submit as part of the application.

Budget Information

Cost Sharing or Matching Requirement (cash or in-kind) Federal funds awarded under this solicitation may not cover more than 90% of the total costs of the project. An applicant must identify the source of the 10% non-federal portion4 of the total project costs and how it will use match funds. If a successful applicant’s proposed match exceeds the required match amount and OJP approves the budget, the total match amount incorporated into the approved budget becomes mandatory and subject to audit. (Matching funds may be used only for purposes that would be allowable for the federal funds.) Recipients may satisfy this match requirement with either cash or in-kind services. See the DOJ Grants Financial Guide at https://ojp.gov/financialguide/doj/PostawardRequirements/chapter3.3b.htm for examples of “in-kind” services. The formula for calculating the match is—

Federal Award Amount = Adjusted (Total) Project Costs Federal Share Percentage

Required Recipient’s Share Percentage × Adjusted Project Cost = Required Match

Example: 90%/10% match requirement: for a federal award amount of $500,000, calculate match as follows:

$500,000 = $555,555 10% × $555,555 = $55,555 match 90%

For additional information on cost sharing and matching, see the DOJ Grants Financial Guide at https://ojp.gov/financialguide/doj/PostawardRequirements/chapter3.3b.htm.

Pre-agreement Costs (also known as Pre-award Costs)

Pre-agreement costs are costs incurred by the applicant prior to the start date of the period of performance of the federal award.

OJP does not typically approve pre-agreement costs; an applicant must request and obtain the prior written approval of OJP for all such costs. All such costs incurred prior to award and prior to approval of the costs are incurred at the sole risk of the applicant. (Generally, no applicant should incur project costs before submitting an application requesting federal funding for those costs.) Should there be extenuating circumstances that make it appropriate for OJP to consider approving pre-agreement costs, the applicant may contact the POC listed on page 2 of this solicitation for the requirements concerning written requests for approval. If approved in advance by OJP, award funds may be used for pre-agreement costs, consistent with the

4 Indian tribes and tribal organizations that otherwise are eligible for an award may be able to apply certain types of funds received from the federal government (e.g., certain funds received under an Indian “self-determination contract”) to satisfy all or part of a required "nonfederal" match.

https://ojp.gov/funding/Apply/Resources/FinancialCapability.pdf https://ojp.gov/funding/Apply/Resources/FinancialCapability.pdf https://ojp.gov/financialguide/doj/PostawardRequirements/chapter3.3b.htm https://ojp.gov/financialguide/doj/PostawardRequirements/chapter3.3b.htm recipient’s approved budget and applicable cost principles. See the section on Costs Requiring Prior Approval in the DOJ Grants Financial Guide at https://ojp.gov/financialguide/DOJ/index.htm for more information.

Limitation on Use of Award Funds for Employee Compensation; Waiver With respect to any award of more than $250,000 made under this solicitation, a recipient may not use federal funds to pay total cash compensation (salary plus cash bonuses) to any employee of the recipient at a rate that exceeds 110% of the maximum annual salary payable to a member of the federal government’s Senior Executive Service (SES) at an agency with a Certified SES Performance Appraisal System for that year.5 The 2018 salary table for SES employees is available at the Office of Personnel Management website at https://www.opm.gov/policy-data-oversight/pay-leave/salaries-wages/salary-tables/18Tables/exec/html/ES.aspx. Note: A recipient may compensate an employee at a greater rate, provided the amount in excess of this compensation limitation is paid with non-federal funds. (Non-federal funds used for any such additional compensation will not be considered matching funds, where match requirements apply.) If only a portion of an employee's time is charged to an OJP award, the maximum allowable compensation is equal to the percentage of time worked times the maximum salary limitation.

The Director of BJS may exercise discretion to waive, on an individual basis, this limitation on compensation rates allowable under an award. An applicant that requests a waiver should include a detailed justification in the budget narrative of its application. An applicant that does not submit a waiver request and justification with its application should anticipate that OJP will require the applicant to adjust and resubmit the budget.

The justification should address, in the context of the work the individual would do under the award, the particular qualifications and expertise of the individual, the uniqueness of a service the individual will provide, the individual’s specific knowledge of the proposed program or project, and a statement that explains whether and how the individual’s salary under the award would be commensurate with the regular and customary rate for an individual with his/her qualifications and expertise, and for the work he/she would do under the award.

Prior Approval, Planning, and Reporting of Conference/Meeting/Training Costs OJP strongly encourages every applicant that proposes to use award funds for any conference-, meeting-, or training-related activity (or similar event) to review carefully—before submitting an application—the OJP and DOJ policy and guidance on approval, planning, and reporting of such events, available at https://www.ojp.gov/financialguide/doj/PostawardRequirements/chapter3.10a.htm. OJP policy and guidance (1) encourage minimization of conference, meeting, and training costs; (2) require prior written approval (which may affect project timelines) of most conference, meeting, and training costs for cooperative agreement recipients, as well as some conference, meeting, and training costs for grant recipients; and (3) set cost limits, which include a general prohibition of all food and beverage costs.

Costs Associated with Language Assistance (if applicable) If an applicant proposes a program or activity that would deliver services or benefits to individuals, the costs of taking reasonable steps to provide meaningful access to those services

5 OJP does not apply this limitation on the use of award funds to the nonprofit organizations listed in Appendix VIII to 2 C.F.R. Part 200.

https://ojp.gov/financialguide/DOJ/index.htm https://www.opm.gov/policy-data-oversight/pay-leave/salaries-wages/salary-tables/18Tables/exec/html/ES.aspx https://www.opm.gov/policy-data-oversight/pay-leave/salaries-wages/salary-tables/18Tables/exec/html/ES.aspx https://www.ojp.gov/financialguide/doj/PostawardRequirements/chapter3.10a.htm or benefits for individuals with limited English proficiency may be allowable. Reasonable steps to provide meaningful access to services or benefits may include interpretation or translation services, where appropriate.

For additional information, see the “Civil Rights Compliance” section under Overview of Legal Requirements Generally Applicable to OJP Grants and Cooperative Agreements - FY 2017 Awards in the OJP Funding Resource Center at https://ojp.gov/funding/index.htm.

C. Eligibility Information

The NCHIP application must be submitted by the agency designated by the governor to administer the NCHIP or a federally recognized Indian tribe. States and tribes may choose to submit applications as part of a multi-state consortium, multi-tribe consortium, or other entity. In such cases, please contact the BJS program manager for further information. Also, as required by Crime Identification Technology Act of 1998 (CITA) under 34 USC 40301(c), to be eligible to receive an NCHIP grant, the application must specifically assure that the state, territory, or tribe:

1. Has the capability to contribute pertinent information to the National Instant Criminal Background Check System (NICS) established under section 103(b) of the Brady Handgun Violence Prevention Act (34 U.S.C. 40901).

2. Is or will be following a comprehensive strategy for information sharing systems to improve the functioning of the criminal justice system, with an emphasis on integration of all criminal justice components, law enforcement, courts, prosecution, corrections, and probation and parole. Further, the strategy must be developed in consultation with appropriate federal, state, or local officials, with emphasis on the recommendation of officials whose duty it is to oversee, plan, and implement integrated information technology systems, and contain—

a. definition and analysis of “integration” in the jurisdictions developing integrated information sharing systems

b. an assessment of the criminal justice resources being devoted to information technology

c. resource needs

d. federal, state, regional, local, and tribal information technology coordination requirements

e. priorities for planning and implementation of information technology systems.

3. Coordinates the programs funded by NCHIP with other federally funded information technology programs, including directly funded local programs.

4. Assures that the individuals who developed the grant application took into consideration the needs of all government branches and specifically sought the advice of the top official of the highest court of the jurisdiction, with respect to the application.

(See “Additional Attachments” on page 25.)

https://ojp.gov/funding/Explore/SolicitationRequirements/index.htm https://ojp.gov/funding/Explore/SolicitationRequirements/index.htm https://ojp.gov/funding/Explore/SolicitationRequirements/index.htm https://ojp.gov/funding/index.htm

For information on cost sharing or matching requirements, see Section B. Federal Award Information.

D. Application and Submission Information

What an Application Should Include

This section describes in detail what an application should include. An applicant should anticipate that if it fails to submit an application that contains all of the specified elements, it may negatively affect the review of its application; and, should a decision be made to make an award, it may result in the inclusion of award conditions that preclude the recipient from accessing or using award funds until the recipient satisfies the conditions and OJP makes the funds available.

Moreover, an applicant should anticipate that an application that OJP determines is nonresponsive to the scope of the solicitation, or that OJP determines does not include the application elements that BJS has designated to be critical, will neither proceed to peer review nor receive further consideration. For this solicitation, BJS has designated the following application elements as critical: Program Narrative, Budget Detail Worksheet, and Budget Narrative.

NOTE: OJP has combined the Budget Detail Worksheet and Budget Narrative in a single document collectively referred to as the Budget Detail Worksheet. See “Budget Information and Associated Documentation” below for more information about the Budget Detail Worksheet and where it can be accessed.

OJP strongly recommends that applicants use appropriately descriptive file names (e.g., “Program Narrative,” “Budget Detail Worksheet,” “Timelines,” “Memoranda of Understanding,” “Résumés”) for all attachments. Also, OJP recommends that applicants include résumés in a single file.

Please review the “Note on File Names and File Types” under How to Apply to be sure applications are submitted in permitted formats.

1. Information to Complete the Application for Federal Assistance (SF-424)

The SF-424 is a required standard form used as a cover sheet for submission of pre-applications, applications, and related information. Grants.gov and the OJP Grants Management System (GMS) take information from the applicant’s profile to populate the fields on this form. When selecting “type of applicant,” if the applicant is a for-profit entity, select “For-Profit Organization” or “Small Business” (as applicable).

To avoid processing delays, an applicant must include an accurate legal name on its SF-

424. On the SF-424, current OJP award recipients, when completing the field for “Legal Name” (box 8a), should use the same legal name that appears on the prior year award document (which is also the legal name stored in OJP’s financial system.) Also, these recipients should enter the Employer Identification Number (EIN) in box 8c exactly as it appears on the prior year award document. An applicant with a current, active award(s) must ensure that its GMS profile is current. If the profile is not current, the applicant should submit a Grant Adjustment Notice updating the information on its GMS profile prior to applying under this solicitation.

A new applicant entity should enter its official legal name in box 8a, its address in box 8d, its EIN in box 8b, and its Data Universal Numbering System (DUNS) number in box 8c of the SF-424. A new applicant entity should attach official legal documents to its application (e.g., articles of incorporation, 501(c)(3) status documentation, organizational letterhead, etc.) to confirm the legal name, address, and EIN entered into the SF-424. OJP will use the System for Award Management (SAM) to confirm the legal name and DUNS number entered in the SF-424; therefore, an applicant should ensure that the information entered in the SF-424 matches its current registration in SAM. See the How to Apply section for more information on SAM and DUNS numbers.

Intergovernmental Review: This solicitation ("funding opportunity") is subject to Executive Order 12372. An applicant may find the names and addresses of State Single Points of Contact (SPOCs) at the following website: https://www.whitehouse.gov/wp-content/uploads/2017/11/Intergovernmental_-Review-_SPOC_01_2018_OFFM.pdf. If the State appears on the SPOC list, the applicant must contact the State SPOC to find out about, and comply with, the State’s process under E.O. 12372. In completing the SF-424, an applicant whose State appears on the SPOC list is to make the appropriate selection in response to question 19 once the applicant has complied with its State E.O. 12372 process.

(An applicant whose State does not appear on the SPOC list should answer question 19 by selecting the response that the: “Program is subject to E.O. 12372 but has not been selected by the State for review.”)

2. Project Abstract

Applications should include a high-quality project abstract that summarizes the proposed project in 400 words or fewer. Project abstracts should be—

• Written for a general public audience.

• Submitted as a separate attachment with “Project Abstract” as part of its file name.

• Single-spaced, using a standard 12-point font (such as Times New Roman) with 1-inch margins.

3. Program Narrative

The following sections should be included as part of the program narrative:6

a. Description of the Issue—Background and Identification of Needs

Accomplishments and progress on record improvement goals. Applicants must provide a summary of the major accomplishments achieved with funding under NCHIP. This section should describe, in quantifiable terms if possible, results achieved and advances made since the inception of NCHIP. Accomplishments can be grouped in blocks of years (e.g., 1995–1999; 2000–2009; 2010–present).

Specifically address accomplishments relating to participation in each of the national databases and initiatives (i.e., III, NICS, NCIC Protection Order File, 6 For information on subawards (including the details on proposed subawards that should be included in the application), see "Budget and Associated Documentation" under Section D. Application and Submission Information.

https://www.archives.gov/federal-register/codification/executive-order/12372.html https://www.archives.gov/federal-register/codification/executive-order/12372.html https://www.whitehouse.gov/wp-content/uploads/2017/11/Intergovernmental_-Review-_SPOC_01_2018_OFFM.pdf https://www.whitehouse.gov/wp-content/uploads/2017/11/Intergovernmental_-Review-_SPOC_01_2018_OFFM.pdf mental health records, and Livescan/AFIS capability). Where relevant, reference should be made to surveys and data quality audits. This section should also include any evaluative efforts undertaken to identify the key areas of weakness in the state's criminal record system since submission of previous NCHIP applications. Tribal applicants should discuss progress related to record automation and improvement funded by other federal sources that are applicable to the above areas.

Current status in specific subject areas. Describe the status of the applicant’s participation in each of the following subject areas in your application and include the current number of records in each system, where applicable.

• Dispositions available to III (including felonies and domestic violence misdemeanor convictions). All applicants should discuss the percentage of state records with final dispositions or case outcomes linked to arrests and available at the time of a firearm background check. Applicants should provide information on efforts to improve reporting and availability at the national level.

The application should also discuss the extent to which dispositions requested in connection with a NICS inquiry have not been provided within the required timeframe and must identify any problems that are delaying instant responses to NICS inquiries and identify proposed solutions to these problems.

• NICS Indices and mental health record availability. All applications should discuss the extent to which the applicant provides information to the FBI's NICS Indices. Applicants that do not submit information to this file should describe the prohibiting factors and any plans to overcome them. [Note: HIPAA is not considered to be a prohibiting factor.] Additionally, all applicants should indicate whether mental health records are checked, either by the state POC or the FBI, during a NICS check. Where mental health records are accessible, include the number of records currently available and any plans to improve availability. If mental health records are not currently accessible at the time of a background check, describe factors that limit or prohibit exchange of mental health records.

States that are not currently eligible for funding under the NICS Act Record Improvement Program (NARIP) should discuss plans, if any, to establish a relief from disabilities program and progress toward NARIP eligibility. If a state has no immediate plans to pursue development of a relief program, include a statement outlining the reasons for not pursuing one.

• Protection Order File. All applicants should indicate whether they submit information for inclusion in the FBI’s NCIC POF. Applicants that submit protection orders should indicate the number of active protection orders provided to the FBI.

Applicants that do not submit all active protection orders to NCIC should describe the prohibiting factors and any plans to overcome them.

• Warrants/wanted person records. All applicants should indicate whether they submit records for inclusion in the FBI's NCIC Wanted Persons file. Applicants that submit such records should indicate the number provided to the FBI for the last full calendar year. Applicants that do not submit such records (or do not submit all qualifying records that are maintained at the state or local level) should describe the prohibiting factors and any plans to overcome them.

b. Project Design and Implementation—Description of Tasks to be Funded Under

NCHIP

• Describe the activities to be conducted with NCHIP funds over the project period and specifically address how activities relate to each of the NCHIP priority areas identified under “Priority areas for grant funding” on page 6. Dollar amounts should be included for each funded task. Applications should also provide quantitative measures to assess or describe the impact each project will have on the quality, completeness, and availability of records at the national level.

• Letter from the Courts. In recognition of the importance of court reporting to the development of complete and accurate criminal records, all applications should describe tasks and indicate the level of funds that will be made directly available to the courts. Where no funds are provided for court-directed disposition reporting activities, a certification by the appropriate state or tribal court official declining participation must be included with this section.

c. Capabilities and Competencies—Coordination

The administering NCHIP agency should coordinate efforts with relevant emergency management task forces and agencies to ensure that records development activities are compatible with security measures for preventing acts of terrorism.

To encourage coordination and information sharing among criminal justice systems, all OJP awards that support information technology development are subject to a special condition requiring that a description of the project be submitted to the state Information Technology POC, if one has been designated. A copy of the correspondence can be submitted as part of Additional Attachments (see page 25) or sent directly to BJS prior to fund drawdown.

There is no requirement that the POC concur with the information technology project.

The intent of this condition is to facilitate communication within the state.

Recipients of funds under this solicitation should seek to ensure that any funded activities will be coordinated with related activities supported with OJP funding, including awards under OJP’s Residential Substance Abuse Treatment Program, Drug Court Program, or the Mentally Ill Offender Act Program. Of particular interest are awards under these programs that may involve reportable records that can be shared with state and national record systems. To the extent feasible under state law and regulations, such records should be made available to the state criminal history record repository and federal files managed by the FBI, including III, NCIC, and the NICS Indices.

Tribal applicants should provide documentation that activities proposed for funding will be coordinated with a tribal consortia, the state, or directly with the FBI.

Unexpended funds. The application should describe the specific reasons that previously awarded NCHIP funds remain unexpended (if applicable) and include the current unexpended balance.

Compatibility with other systems. The application should describe the extent to which proposed activities are compatible with NIBRS, NCIC, NICS, NGI, and other applicable statewide or regional criminal justice information sharing standards or plans, including state anti-terrorism.

d. Plan for Collecting the Data Required for this Solicitation’s Performance

Measures

OJP will require each successful applicant to submit regular performance data that demonstrate the results of the work carried out under the award (see General Information about Post-Federal Award Reporting…