Nics Act Record Improvement Program (16.813)

Program

16.813 Nics Act Record Improvement Program

Federal Agency

Agency: Department of Justice
Office: Bureau Of Justice Statistics

Authorization

The NICS Improvement Amendments Act of 2007.

Program Number

16.813

Last Known Status

Active

Objectives

To improve the FBI�s National Instant Criminal Background Check System (NICS) by providing assistance to States to improve the completeness, automation and transmittal to state and federal systems the records utilized by the NICS. Such records include criminal history records, records of felony convictions, warrants, records of protective orders, convictions for misdemeanor involving domestic violence and stalking, records of mental health adjudications, and others, which may disqualify an individual from possessing or receiving a firearm under federal law. Helping States to automate these records will also reduce delays for law-abiding gun purchasers.

The NICS Improvement Act amends the Brady Handgun Violence Prevention Act of 1993 (�the Brady Act�) (Pub. L. 103-159), under which the Attorney General established the National Instant Criminal Background Check System (NICS). The Brady Act requires Federal Firearms Licensees (FFLs) to contact the NICS before transferring a firearm to an unlicensed person for information on whether the proposed transferee is prohibited from receiving or possessing a firearm under state or federal law.

The NICS Improvement Act was enacted in the wake of the April 2007 shooting tragedy at Virginia Tech. The Virginia Tech shooter was able to purchase firearms from an 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 Act seeks to address the gap in information available to NICS about such prohibiting mental health adjudications and commitments and other prohibiting backgrounds. 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 Act authorized two grant programs to assist states in providing certain information to the NICS, and prescribes grant penalties for non-compliance with the Act�s record completeness goals.

Pursuant to the Act, there are certain conditions, described below, that a state must satisfy in advance of receiving grants under the Act.

The NICS Improvement Act has provisions that require states to meet specified goals for completeness of the records submitted to the Attorney General on individuals prohibited by federal law from possessing firearms. The records covered 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 Act provides for a number of incentives for states to meet the goals it sets for greater record completeness.

First, the Act allows states to obtain a waiver, beginning in 2011, of the state matching requirement under the National Criminal History Improvement Program (NCHIP) grant program, if a state provides at least 90 percent of its records identifying persons in specified prohibited categories.

Second, the Act authorizes grant programs described herein, which, pursuant to the Act, are being administered consistent with NCHIP, for state executive and judicial agencies to establish and upgrade information automation and identification technologies for timely submission of final criminal record dispositions and other information relevant to NICS checks.

Finally, the Act provides for discretionary and mandatory Byrne Justice Assistance Grant (JAG) program grant penalties, beginning 3 years after enactment, for non-compliance with specified record completeness requirements within certain timeframes: after 3 years, 3 percent may be withheld in the case of less than 50 percent completeness; after 5 years, 4 percent may be withheld in the case of less than 70 percent completeness; and after 10 years, 5 percent shall be withheld in the case of less than 90 percent completeness (although the mandatory reduction can be waived if there is substantial evidence of the state making a reasonable effort to comply).

Types of Assistance

Cooperative Agreements

Uses and Use Restrictions

The Act outlines the allowable uses of grant funds:

Grants to States:

Section 103 of the NICS Improvement Act, regarding implementation assistance to the states, 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 Act, a grant to a state, territory or Indian tribes may only be used to:

�Create electronic systems, which provide accurate and up-to-date information which is 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 information to the Attorney General concerning the identity of persons who have a federally prohibiting mental health adjudication or commitment;
�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 Act; and
�Maintain the required relief from disabilities program in accordance with the Act � however, not less than 3 percent and no more than 10 percent of each grant shall be used for this purpose.

State Court Grants

Section 301 of the Act provides that grants shall be made to each state and territory, consistent with the state�s 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 a prohibiting domestic violence protection order; and (3) prohibiting mental adjudications and commitments. Further, the law provides that the amounts granted shall be used by the state court system only to:

�Carry out, as necessary, assessments 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; and
�Implement policies, systems, procedures to automate and transmit arrest and conviction records, court orders, and mental health adjudications or commitments to federal and state record repositories.

Eligibility Requirements

Applicant Eligibility

None

Beneficiary Eligibility

None

Credentials/Documentation

The applicant must furnish, along with the application for an award, a detailed budget, a budget narrative, and a program narrative describing how funds would be utilized. Applicants must also furnish a NICS Record Improvement Plan as part of the application which reflects (a) the formation of a NICS Record Improvement Task Force, an assessment of the quality and availability of qualifying NICS records in the State, obstacles preventing full and complete transmission to the NICS of the available records, and strategies planned to address such challenges and achieve completeness goals. This program is excluded from coverage under OMB Circular No. A-87.

Application and Award Process

Preapplication Coordination

A potential grantee should contact the Headquarters Office, Devon B. Adams, NARIP Program Administrator, Bureau of Justice Statistics, U.S. Department of Justice, Washington, DC 20531; Telephone: (202) 307-0765, or E-mail: Devon.Adams@usdoj.gov, to obtain a copy of the current program announcement. The standard application forms as furnished by the Office of Justice Programs (OJP), in accordance with 28 CFR Part 66 (Common Rule), must be used for this program. This program is eligible for coverage under E.O. 12372, "Intergovernmental Review of Federal Programs." An applicant should consult the office or official designated as the single point of contact in his or her State for more information on the process the State requires to be followed in applying for assistance, if the State has selected the program for review. Environmental impact information is not required for this program. This program is excluded from coverage under E.O. 12372.

Application Procedure

OMB Circular No. A-102 applies to this program. OMB Circular No. A-110 applies to this program. The Office of Justice Programs (OJP) now requires that funding applications be submitted electronically through the OJP Grants Management System (GMS), which can be accessed at http://www.ojp.usdoj.gov/fundopps.htm.

Award Procedure

An award is granted by the Director of the Bureau of Justice Statistics and must be accepted by the applicant agency or institution according to the special conditions of the grant or cooperative agreement.

Deadlines

Contact the headquarters or regional office, as appropriate, for application deadlines.

Range of Approval/Disapproval Time

From 60 to 90 days.

Appeals

Hearing by Director of BJS.

Renewals

Awards may be for up to 12 months. Activities must be completed by September 30, 2010.

Assistance Considerations

Formula and Matching Requirements

This program has no statutory formula.

This program has no matching requirements.

This program does not have MOE requirements.

Length and Time Phasing of Assistance

Project duration period will be for up to 12 months. There are three methods for requesting payment of grant funds: the Letter of Credit Electronic Certification System (LOCES), the Phone Activated Paperless Request System (PAPRS) and the Automated Standard Application for Payment (ASAP). See the following for information on how assistance is awarded/released: Please contact the program office for more information.

Post Assistance Requirements

Reports

No program reports are required. No cash reports are required. Progress Reports are required that present information relevant to the performance of the project. They must be submitted online through GMS for reporting periods ending June 30th and December 31th. Financial Status Reports containing the actual expenditures for the reporting period and cumulative for the award must be submitted quarterly online through GMS. Data related to the performance measures outlined in the solicitation must be submitted.

Audits

In accordance with the provisions of OMB Circular No. A-133 (Revised, June 27, 2003), "Audits of States, Local Governments, and Non-Profit Organizations," nonfederal entities that expend financial assistance of $500,000 or more in Federal awards will have a single or a program-specific audit conducted for that year. Nonfederal entities that expend less than $500,000 a year in Federal awards are exempt from Federal audit requirements for that year, except as noted in Circular No. A-133. Nonfederal entities that expend $500,000 or more in Federal funds (from all sources including passthrough sub awards) in the organizational fiscal year (12 month turn around reporting period) shall have a single organizational audit conducted in accordance with the provisions of OMB Circular A133. Nonfederal entities that expend less than $500,000 a year in Federal awards are exempt from audit requirements for that year.

Records

In accordance with the requirements set forth in 28 CFR Parts 66 and 70, all financial records, supporting documents, statistical records, and all other records pertinent to the award shall be retained by each organization for at least 3 years following the closure of the most recent audit report.

Program Accomplishments

Not Applicable.

Financial Information

Account Identification

15-0401-0-1-754.

Obligations

(Cooperative Agreements) FY 08 $0; FY 09 est $10,000,000; FY 10 est $10,000,000

Range and Average of Financial Assistance

No Data Available.

Regulations, Guidelines and Literature

Office of Justice Programs Financial Guide.

Related Programs

16.554 National Criminal History Improvement Program (NCHIP)

Information Contacts

Regional or Local Office

None.

Headquarters Office

Devon B. Adams Bureau of Justice Statistics, Department of Justice, Washington, District of Columbia 20531 Email: Devon.Adams@usdoj.gov Phone: (202) 307-0765

Web Site Address

http://www.ojp.usdoj.gov/bjs

Examples of Funded Projects

Not Applicable.

Criteria for Selecting Proposals

Not Applicable.