oppBJS-2018-13843-cfda16.813-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 funding under the 2018 National Instant Criminal Background Check System (NICS) Act Record Improvement Program (NARIP). The NARIP implements the grant provisions of the NICS Improvement Amendments Act of 2007 (Pub. L.

110-180 (18 U.S.C. § 922 note)), enacted on January 8, 2008, by supporting the improvement of records available to NICS. Eligible states and tribes may receive grant funding to improve the completeness, automation, and transmittal of records to state and federal systems. For the purpose of this solicitation, the term “state” includes the District of Columbia and U.S. territories.

FY 2018 NICS Act Record Improvement Program (NARIP)

Applications Due: May 14, 2018

Eligibility

Eligible applicants are limited to (a) the agency designated by the Governor to administer the National Criminal History Improvement Program (NCHIP), (b) the state or territory central administrative office or similar entity designated by statute or regulation to administer federal grant funds on behalf of the jurisdiction’s court system, or (c) federally recognized Indian tribal governments as determined by the Secretary of the Interior. Additionally, there are two specific conditions associated with eligibility for grants under this program (see “Eligibility” on page 10).

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 subrecipients (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 information on eligibility, 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 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://ojp.gov/ https://www.bjs.gov/ https://www.bjs.gov/ https://www.grants.gov/web/grants/register.html

BJS-2018-13843

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 “NARIP18” in the subject line.

Grants.gov number assigned to this announcement: BJS-2018-13843

Release date: March 12, 2018 http://ojp.gov/funding/Apply/Grants-govInfo.htm https://www.grants.gov/web/grants/support.html mailto:support@grants.gov mailto:askbjs@usdoj.gov?subject=NARIP18

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

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 NICS Act Record Improvement Program (NARIP)

(CFDA #16.813)

A. Program Description

Overview The Bureau of Justice Statistics (BJS) is publishing this notice to announce the continuation of the National Instant Criminal Background Check System (NICS) Act Record Improvement Program (NARIP) in fiscal year (FY) 2018, identify the program priorities, and provide information on application requirements.

Statutory Authority:

The NICS Improvement Amendments Act of 2007 (Pub. L. 110-180), codified at 34 U.S.C.

§40912 (NIAA), was signed into law on January 8, 2008, in the wake of the April 2007 shooting tragedy at Virginia Tech. The Virginia Tech shooter was able to purchase firearms from a Federal Firearms Licensee (FFL) because information about his prohibiting mental health history was not available to the NICS, and the system was therefore unable to deny the transfer of the firearms used in the shootings. The NIAA seeks to address the gap in information available to NICS about such prohibiting mental health adjudications and commitments, and other prohibiting factors. Filling these information gaps will better enable the system to operate as intended to keep guns out of the hands of persons prohibited by federal or state law from receiving or possessing firearms. The automation of records also reduces delays for law-abiding persons to purchase firearms.

The NIAA authorized a grant program to assist states in providing certain information to the NICS and prescribes grant penalties for noncompliance with the NIAA’s record completeness goals. Additionally, pursuant to the Act, there are certain conditions, described under Section C.

Eligibility Information, that a state must satisfy in advance of receiving grants under the Act.

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 [NICS], the National Incident-Based Reporting System [(NIBRS)], and the 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.” The National Criminal History Improvement Program (NCHIP) and the NARIP are two means by which BJS provides for such improvements.

The NARIP is authorized by the NIAA. Among other things, the NIAA provides that grants are to be made in a manner consistent with NCHIP. Therefore, NARIP application procedures parallel the provisions of the Crime Identification Technology Act of 1998 (CITA) (34 U.S.C. § 40301), which guide the NCHIP.

Program-Specific Information

Goals, Objectives, and Deliverables The NIAA has provisions that require states to meet specific goals for completeness of the records submitted to the Attorney General identifying individuals prohibited by federal law from possessing firearms. The records include automated information needed by the NICS to identify felony convictions, felony indictments, fugitives from justice, drug arrests and convictions, prohibiting mental health adjudications and commitments, domestic violence protection orders, and misdemeanor crimes of domestic violence.

The NARIP was developed to improve the completeness, automation, and transmittal of records to state and federal systems used by the NICS. Such records include criminal history records, records of felony convictions, warrants, records of protective orders, convictions for misdemeanors involving domestic violence and stalking, drug arrests and convictions, records of mental health adjudications, and other information that may disqualify an individual from possessing or receiving a firearm under federal law. Helping states, state court systems, and tribes to automate these records will also reduce delays for law-abiding gun purchasers.

FY 2018 Priority Area—Improve Identification and Reporting of Convictions of Domestic Violence to the NICS This year, BJS emphasizes the need for applicants to focus efforts on identifying, flagging, and making immediately accessible to NICS records of persons prohibited from purchasing or possessing firearms for domestic violence convictions. Therefore, recipients 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 to NICS information on all persons prohibited from possessing firearms due to a domestic violence conviction; or

2) will focus funds on another category of qualifying NICS records that the state reasonably argues represents a greater information gap.

State Grants Section 103 of the NIAA provides that the grants “shall be used by the States and Indian tribal governments, in conjunction with units of local government and State and local courts, to establish or upgrade information and identification technologies for firearms eligibility determinations.” In accordance with the NIAA, a grant to a state, territory, or Indian tribe may only be used to—

• Supply accurate and timely information to the Attorney General concerning the identity of persons who have a federally prohibiting mental health adjudication or commitment

• Create electronic systems that provide accurate and up-to-date information directly related to checks under the NICS, including court disposition and corrections records

• Assist states in establishing or enhancing their own capacities to perform NICS background checks

• Supply accurate and timely information to the Attorney General concerning final dispositions of criminal records to databases accessed by NICS

• Supply accurate and timely court orders and records of misdemeanor crimes of domestic violence for inclusion in federal and state law enforcement databases used to conduct NICS background checks

• Collect and analyze data needed to demonstrate levels of state compliance with the

NIAA

• Maintain the required relief from disabilities program in accordance with the NIAA (however, by statute, not less than 3% and no more than 10% of each grant shall be used for this purpose).

State Court Grants

Section 301 of the NIAA provides that grants shall be made to each state or tribal government, consistent with plans for the integration, automation, and accessibility of criminal history records, for use by the court systems to improve automation and transmittal to federal and state repositories of: (1) criminal history dispositions; (2) records relevant to determining whether a person has been convicted of a misdemeanor crime of domestic violence or whether a person is a subject of a prohibiting domestic violence protection order; and (3) prohibiting mental health adjudications and commitments.

Further, the law provides that the amounts granted shall be used by the court system only to implement—

• Assessments, as necessary, of the capabilities of state courts to automate and transmit arrest and conviction records, court orders, and mental health adjudications or commitments to federal and state record repositories

• Policies, systems, and procedures to automate and transmit arrest and conviction records, court orders, and mental health adjudications or commitments to federal and state record repositories.

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 NARIP awards will be new awards, rather than supplemental awards, and will be made for a performance period from 12 to 24 months. Funded activities may begin on or after October 1, 2017. All activities must be scheduled to be completed by December 31, 2020.

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 and the demonstrated level of need. In FY 2017, BJS made 15 awards totaling $11 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 that any award under this solicitation will be made in the form of a cooperative agreement, which is a type of award that provides for 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 subrecipients (including recipients or subrecipients 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.

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.

(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.)

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 This solicitation does not require a match. However, if a successful application proposes a voluntary match amount, and OJP approves the budget, the total match amount incorporated into the approved budget becomes mandatory and subject to audit.

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 point of contact (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 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 https://ojpfgm.webfirst.com/ https://ojp.gov/funding/Apply/Resources/FinancialCapability.pdf https://ojp.gov/funding/Apply/Resources/FinancialCapability.pdf https://ojp.gov/financialguide/DOJ/index.htm

Certified SES Performance Appraisal System for that year.4 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 BJS 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 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.

4 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://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 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

C. Eligibility Information

Applications must be submitted by (a) the agency designated by the Governor in each state to administer the NCHIP, (b) the state or territory central administrative office or similar entity designated by statute or regulation to administer federal grant funds on behalf of the jurisdiction’s court system, or (c) federally recognized Indian tribal governments.

Note: In accordance with the NIAA, there are two specific conditions that each state must satisfy before being eligible to receive grants:

1. First, “each State shall provide the Attorney General with a reasonable estimate, as calculated by a method determined by the Attorney General…of the number of the records” subject to the NIAA completeness requirements. The last round of estimates was collected in 2011. Applicants under this solicitation should confirm with BJS whether this eligibility criteria has been met.

2. Second, “to be eligible for a grant under this [program], a State shall certify, to the satisfaction of the Attorney General, that the State has implemented a relief from disabilities program.” For the purpose of this solicitation, a “relief from disabilities program” is a program that permits persons who have been adjudicated a mental defective or committed to a mental institution to obtain relief from the firearms disabilities imposed by law as a result of such adjudication or commitment. This relief must be based on a finding, in accordance with principles of due process, by a state court, board, commission, or other lawful authority, that the circumstances of the disability and the person’s record and reputation are such that the person will not be likely to act in a manner dangerous to the public safety and that the granting of relief would not be contrary to the public interest. The certification form is available on the Bureau Alcohol, Tobacco, Firearms, and Explosives (ATF) website at https://www.atf.gov/files/forms/download/atf-f-3210-12.pdf. For further information, please visit NICS Improvement Act Questions and Answers on the BJS website at https://www.bjs.gov/index.cfm?ty=tp&tid=49.

Further, applications submitted on behalf of state court systems must specifically assure that (1) the court system has the capability to contribute and will transmit pertinent information to the NICS established under section 103(b) of the Brady Handgun Violence Prevention Act (34 U.S.C. §40901), and (2) it will coordinate the programs proposed for NARIP funding with other federally funded information technology programs, including directly funded local programs.

(See “Additional Attachments” on page 22.)

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 https://www.atf.gov/files/forms/download/atf-f-3210-12.pdf https://www.bjs.gov/index.cfm?ty=tp&tid=49 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 (GAN) 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 not subject to Executive Order 12372. (In completing the SF-424, an applicant is to answer question 19 by selecting the response that the “Program is not covered by E.O. 12372.”)

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 (Times New Roman) with 1-inch margins.

As a separate attachment, the project abstract will not count against the page limit for the program narrative.

3. Program Narrative

The following sections should be included as part of the program narrative:5

a. Description of the Issue

b. Project Design and Implementation

c. Capabilities and Competencies

d. Impact/Outcome

The Program Narrative should also include the following sections:

Activities to be funded. The program narrative should describe each task to be funded with FY 2018 NARIP funds over the project period outlined under Program Goals. All proposed tasks should demonstrate the program’s intent to improve the completeness, automation, and transmittal of records used by the NICS to state and federal systems (in quantifiable terms, if possible). Dollar amounts must be included for each funded task. Applications must specifically address the priority area regarding improving the availability of domestic violence convictions to the NICS (as outlined on page 5).

Compatibility with other systems. The application should describe the extent to which proposed activities are compatible with current NCIC, NICS, Next Generation Identification (NGI; formerly Integrated Automated Fingerprint Identification System (IAFIS)), and other applicable statewide or regional criminal justice information sharing standards or plans, including state anti-terrorism plans.

Coordination. The administering 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. NARIP activities will be

5 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 coordinated with other OJP efforts authorized and funded under the CITA. To encourage coordination and information sharing among criminal justice systems, all OJP awards supporting information technology development require that a description of the project be submitted to the state Information POC, if one has been designated. A copy of the correspondence can be submitted as a separate attachment or sent directly to BJS prior to accessing funds. 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.

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

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

Impact/Outcome. The application should include the anticipate outcome of the proposed projects on the quality, completeness and availability of records at the national level.

NICS Record Improvement Plan As in previous years, to make the most effective use of the funds for improvement to the quality and availability of records used by the NICS, FY 2018 NARIP grant applications must provide for the development and implementation of comprehensive strategic planning. Such planning must include activities designed to examine the current condition of the involved state, local, and tribal records, problems associated with incomplete reporting and/or records availability, and demonstrate a commitment to a long-range planning process to address such issues to achieve the goals of the NIAA.

Therefore, FY 2018 NARIP applications should include funding, as needed, for the development and/or modification of a NARIP through a four-step process:

Step 1. Establishment of a NICS Record Improvement Task Force. Complete reporting and transmission of state or tribal records to national files may only be achieved through the cooperative efforts of all record originating entities. Therefore, BJS recommends that the applicant propose to use some FY 2018 NARIP funding to establish and/or support a NICS Record Improvement Task Force to guide the development and implementation of an ongoing long-range records improvement plan. The task force may include representatives from the central record repository and source agencies, including state, local, and tribal law enforcement; prosecuting attorneys; the courts; local jails; state correctional facilities;

probation and parole agencies; and state mental health program agencies.

A task force with wide representation from throughout the system could provide a forum for exploring the range of options for improving the quality, completeness, and availability of NICS records in the state. The task force could review the results of the assessment and the problem identification phases (steps 2 and 3) and develop recommendations to improve the quality, completeness, and availability of NICS records. Current legislation and administrative procedures related to reporting, maintaining, sharing, and use of relevant records might be reviewed to determine if they are adequate. A list of the proposed task force members and the agencies they represent should be included in the preliminary plan.

If components of the system listed above are not included in the task force, the plan should describe how input and participation will be achieved. If a task force is not to be established, the applicant should propose instituting other mechanisms to provide for the input and participation of all affected components of the criminal justice system.

Step 2. Assessment of the completeness and availability of NICS records. The record estimates and other information provided by the state in response to the information collection developed by BJS pursuant to the NIAA provide an initial or baseline assessment on which FY 2018 activities can be based. However, for the purposes of long-term strategic planning, an applicant may wish to use the task force to examine (and address) issues surrounding the accuracy, completeness, and availability of such records as part of its assessment. In any event, the ongoing assessment must result in a comprehensive understanding of the following:

• availability of the records in terms of entities that originate, maintain, and/or receive such records;

• how relevant records are currently transmitted to the state’s central repository and/or how they are otherwise made available to the NICS; and

• completeness of the records in the various categories described (what portion of the records is actually made available to the NICS).

Such an assessment may involve an examination of records in the state central record repository, surveys of local reporting/originating agencies, analysis of court statistics, data collection from sample(s) of local agency records, estimates derived from audits of local reporting agencies, or other analytical work which may or may not have been performed to support the development of record estimates.

Step 3. Identification of reasons for incomplete and/or unavailable NICS records. The task force may also seek to identify challenges or obstacles encountered in efforts to ensure that all qualifying records are made available to the NICS. Understanding such challenges may help focus improvement strategies, and may include factors such as the type and number of state/local/tribal agencies that originally create such records; the typical “life cycle” of such original records, including when and where the records are created, whether such records are maintained in paper or electronic form, if and how such records are transmitted to state and national files, and when and how such records are ultimately disposed of, deleted, or otherwise made unavailable. The task force might identify factors that affect the availability of records for state and national files, including whether categories of records may be protected from disclosure under a provision of state, tribal, or federal law.

Step 4. Development of a NICS Record Improvement Plan. The final step develops strategies for addressing each of the challenges identified in step 3, including the use of federal grant funds appropriated under the NIAA. The plan should clearly identify goals, objectives, and a general timetable for achievements. Subsequent iterations of the plan should include a progress report on the strategies previously employed.

e. 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 Requirements in Section F. Federal Award Administration Information). The performance data directly relate to the goals, objectives, and deliverables identified under Goals, Objectives, and Deliverables in Section A. Program Description.

Applicants should visit OJP’s performance measurement page at www.ojp.gov/performance to view the specific reporting requirements for this grant program.

The application should demonstrate the applicant’s understanding of the performance data reporting requirements for this grant program and detail how the applicant will gather the required data should it receive funding.

Please note that applicants are not required to submit performance data with the application. Performance measures information is included as an alert that successful applicants will be required to submit performance data as part of the reporting requirements under an award.

Award recipients will be required to provide the relevant data addressing the performance measures below as part of their semi annual progress reports. All performance measures should be fully addressed in these semi-annual reports.

Objective

Performance Measure(s)

Data Recipient Provides

Ensure that the infrastructure is developed to connect each state’s and tribe’s records systems to the national records systems operated by the FBI, including the NCIC, NGI, Interstate Identification Index (III), and NICS Index.

Number of states and tribes participating or making records available to the NICS (within the 7 categories).

Total number of states and tribes participating and total number of state and tribal records in the 7 categories.

Number of state and tribal records made available for use by NICS in 7 categories, including –

Category 1: Records that identify a person who has been convicted in any court of a crime punishable by imprisonment for a term exceeding 1 year (e.g., federal or state felonies), and any state misdemeanor punishable by imprisonment for more than 2 years.

Category 2: Records that identify a person who is under an indictment or information returned or filed with a court, or for whom a criminal complaint has been issued or verified by a prosecutor for the crimes described in Category 1.

Category 3: Records that identify a person who is a fugitive from justice, as demonstrated by an active felony or misdemeanor want or warrant.

Category 4: Records that identify a person who is an unlawful user of, or addicted to, any controlled substance, as demonstrated by specified arrests, convictions, and adjudications not protected from disclosure to the Attorney General by federal or state law.

Category 5: Records that identify a person who has been adjudicated as a mental defective or who has been formally and involuntarily committed to any mental institution when the information is not protected from disclosure to the Attorney General by federal or state law.

https://www.ojp.gov/performance

Objective Performance Measure(s)

Data Recipient Provides

Percentage of records made available to NICS that are complete.

Number of records available in NICS.

Percentage of applications for firearm transfers rejected due to data made available to the NICS.

Category 6: Records that are electronically available and identify a person subject to an active court order (e.g., issued by a criminal court or any civil court, such as divorce court, family court, magistrate, or general jurisdiction court) that restrains the person from committing acts of violence against another person.

Category 7: Records that are electronically available and identify a person convicted in any court of a misdemeanor crime of domestic violence.

Number of records made available to NICS that are complete.

Number of applications for firearm transfers.

Number of applications for firearm transfers rejected for the presence of a domestic violence misdemeanor conviction.

Number of applications for firearm transfers rejected due to the presence of a mental health prohibitor.

Note on Project Evaluations An applicant that proposes to use award funds through this solicitation to conduct project evaluations should be aware that certain project evaluations (such as systematic investigations designed to develop or contribute to generalizable knowledge) may constitute “research” for purposes of applicable DOJ human subjects protection regulations. However, project evaluations that are intended only to generate internal improvements to a program or service, or are conducted only to meet OJP’s performance measure data reporting requirements, likely do not constitute “research.” Each applicant should provide sufficient information for OJP to determine whether the particular project it proposes would either intentionally or unintentionally collect and/or use information in such a way that it meets the DOJ definition of research that appears at 28 C.F.R. Part 46 (“Protection of Human Subjects”).

“Research,” for purposes of human subjects protection for OJP-funded programs, is defined as “a systematic investigation, including research development, testing and evaluation, designed to develop or contribute to generalizable knowledge” 28 C.F.R. 46.102(d).

For additional information on determining whether a proposed activity would constitute research for purposes of human subjects protection, applicants should consult the decision tree in the “Research and the protection of human subjects” section of the Requirements related to Research webpage of the Overview of Legal Requirements Generally Applicable to OJP Grants and Cooperative Agreements - FY 2017 Awards, available through the OJP Funding Resource Center.

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

Every prospective applicant whose application may propose a research or statistical component also should review the “Data Privacy and Confidentiality Requirements” section on that webpage.

4. Budget and Associated Documentation The Budget Detail Worksheet and the Budget Narrative are now combined in a single document collectively referred to as the Budget Detail Worksheet. The Budget Detail Worksheet is a user-friendly, fillable, Microsoft Excel-based document designed to calculate totals. Additionally, the Excel workbook contains worksheets for multiple budget years that can be completed as necessary. All applicants should use the Excel version when completing the proposed budget in an application, except in cases where the applicant does not have access to Microsoft Excel or experiences technical difficulties. If an applicant does not have access to Microsoft Excel or experiences technical difficulties with the Excel version, then the applicant should use the 508-compliant accessible Adobe Portable Document Format (PDF) version.

Both versions of the Budget Detail Worksheet can be accessed at https://ojp.gov/funding/Apply/Forms/BudgetDetailWorksheet.htm.

a. Budget Detail Worksheet

The Budget Detail Worksheet should provide the detailed computation for each budget line item, listing the total cost of each and showing how it was calculated by the applicant. For example, costs for personnel should show the annual salary rate and the percentage of time devoted to the project for each employee paid with grant funds. The Budget Detail Worksheet should present a complete itemization of all proposed costs.

For questions pertaining to budget and examples of allowable and unallowable costs, see the DOJ Grants Financial Guide at https://ojp.gov/financialguide/DOJ/index.htm.

b. Budget Narrative

The Budget Narrative should thoroughly and clearly describe every category of expense listed in the Budget Detail Worksheet. OJP expects proposed budgets to be complete, cost effective, and allowable (e.g., reasonable, allocable, and necessary for project activities).

An applicant should demonstrate in its Budget Narrative how it will maximize cost effectiveness of award expenditures. Budget Narratives should generally describe cost effectiveness in relation to potential alternatives and the goals of the project. For example, a Budget Narrative should detail why planned in-person meetings are necessary, or how technology and collaboration with outside organizations could be used to reduce costs, without compromising quality.

The Budget Narrative should be mathematically sound and correspond clearly with the information and figures provided in the Budget Detail Worksheet. The narrative should explain how the applicant estimated and calculated all costs, and how those costs are necessary to the completion of the proposed project. The narrative may include tables for clarification purposes, but need not be in a spreadsheet format. As with the Budget Detail Worksheet, the Budget Narrative should describe costs by year.

https://ojp.gov/funding/Apply/Forms/BudgetDetailWorksheet.htm https://ojp.gov/financialguide/DOJ/index.htm

c. Information on Proposed Subawards (if any) and Proposed Procurement Contracts (if any) Applicants for OJP awards typically may propose to make subawards. Applicants also may propose to enter into procurement contracts under the award.

Whether an action—for federal grants administrative purposes—is a subaward or procurement contract is a critical distinction as significantly different…