To ensure national security and public safety by providing the timely determination of a person's eligibility to possess firearms or explosives in accordance with federal law.

Executive Summary

In 2005, the FBI Criminal Justice Information Services (CJIS) Division's National Instant Criminal Background Check System (NICS) Section, witnessed many significant improvements and achievements in the furtherance of its mission by identifying, developing, and implementing system improvements to consistently provide its users with a highly effective and efficient level of quality service. Highlights of the 2005 NICS accomplishments include the following:

• From the inception of the NICS on November 30, 1998, through December 31, 2005, a total of 62,060,717 background checks were conducted through the NICS. Of these, 31,946,121 were processed by the NICS Section at the FBI and 30,114,596 were processed by the NICS Point-of-Contact (POC) states.

• From November 30, 1998, through December 31, 2005, the NICS Section has denied a total of 473,433 firearm transfers. The NICS Section denial rate for 2005 (1.35 percent) remained approximately the same as that for 2004 (1.36 percent).

• In 2005, the NICS Index was increased by an additional 295,835 record entries. From program inception in November 1998 through December 31, 2005, the NICS Index has witnessed an increase in the number of readily available federally prohibiting records by approximately 325 percent. As of December 31, 2005, approximately 3,960,682 prohibiting records were maintained in the NICS Index.

• The NICS Section achieved a 91.47 percent Immediate Determination Rate (IDR) for 2005, thus meeting its goal of maintaining a 90 percent or better IDR.

• In the spirit of protecting national security and public safety, the NICS Section, as of December 31, 2005, has obtained over 547,000 dispositions for posting/updating to criminal history records; forwarded over 15,270 documents to state authorities for record maintenance at the state level; and scanned over 100,000 criminal history documents for supplemental use with future background check transactions.

• To enhance existing services, the NICS Section identified a means that will allow for the secure access of the Voluntary Appeal File (VAF) by the POC states. Implemented on February 9, 2005, the POC states are now able to access the data maintained in the VAF via Law Enforcement Online.

• On April 10, 2005, the NICS was successfully integrated to a newer, state-of-the-art “superdome” environment recently deployed by the CJIS Division to house the NICS’ partnering systems. This “rehost” created a more robust partnership between the databases that are collectively searched during the background check process. As a result, the NICS achieved a 100 percent system availability level in June, July, October, November and December 2005, and thus was able to provide effective and efficient service to its users 99.63 percent of the time in 2005.

• The NICS Section was invited to attend and participate in the National Rifle Association's (NRA) annual meeting/exhibit in April 2005. As first-time attendees during the 2005 NRA meeting, the NICS Section participated as an exhibitor and, with available staff on-hand, shared information concerning the background check and related processes to many of the over 110,000 persons (e.g., NRA members, Federal Firearms Licensees [FFLs], legislative representatives, and the public) in attendance.

• To provide the NICS Section with the tools necessary to perform in an optimally efficient and effective manner, the NICS Section successfully deployed Phase I of the Personal Computer (PC) Client desktop automation system enhancement on June 12, 2005. The development of Phase II of PC Client is currently under development.

• On June 14, 2005, the NICS Section began tracking the effectiveness and the efficiency of utilization of the Spanish-screen format (e.g., a processing tool to aid in overcoming language barriers) functionality for the NICS E-Check. As of December 31, 2005, there were over 60 occurrences of an FFL utilizing the NICS E-Check Spanish-screen format option.

• To maximize the use of all available resources and increase productivity in processing background checks, the NICS Section combined the Transfer Process and the Customer Service functions. To effectively accommodate the merger of the two processes, the NICS Section implemented the utilization of Whisper Technology which provides the NICS employees with an audible introduction of the type of call (e.g., the specification requirements for processing) that is pending. The successful implementation of Whisper Technology and the consolidation of the two processes was accomplished in June 2005.

• On July 1, 2005, the state of Georgia ceased to operate as a POC for the NICS. As a result, the NICS Section assumed the processing of transactions initiated by the FFLs conducting business in Georgia. As of December 31, 2005, the NICS Section provided full service to the FFLs conducting business in 29 states (including Georgia), 5 territories and 1 district, while 21 states participated with the NICS in either a Full-POC or a Partial-POC capacity.

• On July 3, 2005, the NICS Section enhanced its E-Check processing regimen by implementing a feature that provides an automated missing disposition instruction to the FFLs when the results of a NICS background check has not yielded a final transaction status. This enhancement eliminates the need for the NICS employees to expend a vast amount of time on the telephone manually providing the required notifications.

• To assist the Bureau of Alcohol, Tobacco, Firearms and Explosives (ATF) with workload management and firearm retrieval referral prioritization, the NICS Section identified and implemented a system enhancement that ranks a delayed denial transaction and separates the ranked delayed denials from the standard denials. In addition, firearm retrieval referral codes were successfully implemented on July 17, 2005.

• On July 17, 2005, based on a recommendation from the Government Accountability Office, the NICS Section assumed total oversight of all background checks (federal and state) that descriptively match the subject of a National Crime Information Center Violent Gang and Terrorist Organization File (VGTOF) record. In 2005, the NICS Section processed 239 valid VGTOF-matched transactions of which 205 were proceeded. Of the 239 VGTOF-matched transactions, 19 were denied based on federal prohibitive criteria that was obtained through routine research and processing.

• On September 15, 2005, the NICS Section, with the assistance of the CJIS Division’s Information Technology Management Section (ITMS), implemented an interim adaptation of the FBI’s envisioned Major Case Contact Center (MC3) to assist with the collection of information and complaints resulting from the aftermath of Hurricane Katrina. As of December 31, 2005, the MC3 received approximately 3,590 calls yielding 1,878 record entries resulting in 26 indictments or complaints.

• On November 1, 2005, the 60 millionth background check was initiated via the NICS and processed by the NICS Section personnel.

• In 2005, the NICS Section installed additional specialized software, designed to enhance the employee work scheduling process. The new scheduling software, when combined with previously deployed scheduling software, further enhances the NICS Section with an optimal workload management tool that will assist the NICS Section in providing consistent and optimal service.

• The Explosives Background Check Process was implemented by the NICS Section in February 2003. As of December 31, 2005, a total of 116,010 explosives background checks were processed by the NICS Section.

• During the background process, an Immigration Alien Query (IAQ) is automatically requested of the Department of Homeland Security’s U.S. Immigration and Customs Enforcement (ICE) for all non-U.S. citizens in order to determine the subject’s legal/lawful status in the United States. In 2005, the NICS Section submitted over 30,600 such IAQ requests to the ICE.

• The VAF allows the NICS Section to maintain information pertaining to non-prohibited persons to assist in the timely review and determination of said person’s eligibility to receive firearms in future transactions. As of December 31, 2005, there were 782 successful entries maintained in the VAF database. In 2005, a total of 297 VAF participants were able to receive a firearm without experiencing a lengthy delay or denial.

• Concentrating efforts in seeking overall program efficiency and effectiveness, the NICS Section continued its Streamlining Initiative in 2005. As a result, many of the NICS Section's processes were streamlined and/or enhanced resulting in a more effective and efficient operation.

• In 2005, there were 3,771 firearm retrieval cases referred to the ATF. The percentage of firearm retrievals referred to the ATF in 2005 decreased in spite of an almost 6 percent increase in the NICS Section’s workload in 2005.

Contents

Executive Summary . 

NICS Background 

NICS 2005 Operations 

NICS Transactions

NICS Participation

Alternate Permit Status

NICS Activity

NICS Section Denials

Firearm Retrieval Referrals

System Availability of the NICS 

Performance of the NICS

NICS Enhancements 

NICS Rehost

Workload Management Technology

Whisper Technology

Firearm Retrieval Referral Codes

NICS VAF Access via CJIS Internet Local Area Network (LAN) 

PC Client 

NICS E-Check

Implemented Modifications to the NICS E-Check 

Automated Missing Disposition Instruction (MDI) for the NICS E-Check 

Spanish Screen Format

Initiatives in Progress for the NICS E-Check 

Corporate Digital Certificate

Enhanced FFL Reporting 

NICS E-Check Video

Access for FFLs Operating in the POC States

NICS Updates 

VAF

NICS Index

Violent Gang and Terrorist Organization File (VGTOF) Processing

NICS Appeal Services Team (AST)

Explosives 

NICS Streamlining Initiative 

Spotlight

NICS Section’s Outreach and Information-Sharing Program

NICS Section’s Travel Team

POC Support Team

Increasing the Number of Available and Complete Criminal History Dispositions

Communication Efforts

NICS Milestones

NICS Success Stories

FBI’s Major Case Contact Center

NICS Background

The Brady Handgun Violence Prevention Act (Brady Act) of 1993, Public Law 103-159, required the U.S. Attorney General to establish a National Instant Criminal Background Check System (NICS) for Federal Firearms Licensees (FFLs)¹ to contact by telephone, or other electronic means, for information to be supplied immediately on whether the transfer of a firearm would violate Section 922 (g) or (n) of Title 18, United States Code or state law. The Brady Act requires the system to assign a unique identification number (NICS transaction number [NTN]) to each transaction; to provide the FFL with the NTN; and to destroy all records in the system that result in an allowed transfer (other than the NTN and the date the NTN was created).

Through a cooperative effort with agencies such as the Bureau of Alcohol, Tobacco, Firearms and Explosives (ATF) and the Department of Justice (DOJ), in addition to local and state law enforcement agencies, the FBI developed the NICS, which became operational on

November 30, 1998. The NICS was designed to immediately respond to background check inquiries for prospective firearm transferees. For an FFL to initiate a NICS background check, the prospective firearm transferee must complete and sign an ATF Form 4473 which collects the prospective firearm transferee's descriptive data and asks questions intended to capture information that may immediately indicate to an FFL that the subject is a prohibited person, thereby negating the need to continue the background check process. Pursuant to federal law, a prospective transferee is required to present proof of identity via a form of government-issued photo identification to an FFL prior to the FFL’s submission of subject descriptive data to the NICS. When an FFL initiates a NICS background check, a name and descriptor search is conducted to identify any matching records in three nationally held databases.

These databases are:

Interstate Identification Index (III): The III contains an expansive number of criminal history records. The III records searched by the NICS during a background check, as of December 31, 2005, numbered over 46,087,000.

National Crime Information Center (NCIC) : The NCIC contains information on protection orders, wanted persons, and others. The NCIC records searched by the NICS during a background check, as of December 31, 2005, numbered over 3,238,000.

NICS Index : The NICS Index² contains records contributed by local, state, and federal agencies pertaining to individuals federally prohibited the transfer of a firearm. The records maintained in the NICS Index, as of December 31, 2005, numbered over 3,960,000.

Also, a fourth search, via the applicable databases of the Department of Homeland Security's U.S. Immigration and Customs Enforcement (ICE), may be required pursuant to federal law. In response to a mandate issued by the U.S. Attorney General in February 2002, a search of the ICE databases is conducted on all non-U.S. citizens attempting to receive firearms in the United States. In 2005, the FBI Criminal Justice Information Services (CJIS) Division’s NICS Section and its Point-of-Contact (POC) state counterparts requested over 30,600 such queries of the ICE.  The 2005 number of Immigration Alien Queries (IAQ) requests represents an approximate 11 percent increase from the number requested in 2004.

In the majority of cases, the results of background check inquiries provide definitive information explicating subject eligibility within seconds to minutes of the data entry of a prospective firearm transferee's descriptive information into the NICS. A much smaller percentage of the inquiries are delayed due to missing or incomplete information, e.g., final dispositions or crime classification level, that is necessary in order to make a final determination as to whether the firearm transaction may be proceeded or must be denied.

Currently, under federal law, the NICS cannot preclude the transfer of a firearm based on arrest information alone unless independent state law otherwise specifies; however, only a few states fall into this category. In instances where a valid matching record discloses potentially disqualifying record information (e.g., a felony offense arrest or a possible misdemeanor crime of domestic violence) that reflects missing or incomplete information, the NICS Section will search for the information needed to complete the record. This process often requires outreach to local, state, and federal agencies, such as court systems, law enforcement agencies, probation and parole agencies, etc. In these instances, the Brady Act provides three business days for the purpose of obtaining additional clarifying information with which to make a determination as to the prospective firearm transferee's eligibility. If the information is not obtained within the three-business-day time frame and a final transaction status cannot be rendered, the FFL has the option to legally transfer the firearm; however, the FFL is not required to do so.

Additionally, those individuals who believe they were wrongfully denied the transfer of a firearm based on a record returned in response to a NICS background check may submit a request to appeal their denial decision to the agency that conducted the check. The "denying agency" will be either the NICS Section or the local or state law enforcement agency serving as a POC for the NICS. However, in the event the “denying agency” is a POC state, the individual may elect, in the alternative, to direct their appeal request (in writing) to the NICS Section.³

The NICS Section created a Voluntary Appeal File (VAF) for the purpose of allowing lawful purchasers to request that the NICS retain information such as court documentation, arrest information, and fingerprint cards which may clarify or prove their identity to avoid erroneous delays or denials on future NICS transactions.

The Safe Explosives Act requires that persons who transport, ship, cause to be transported, or receive explosives material in either intrastate or interstate commerce must first obtain a federal permit or license after undergoing a background check. Enacted in November 2002, as part of the Homeland Security Act, the Safe Explosives Act officially became effective on May 24, 2003. Background checks for explosives permits, under the Safe Explosives Act, are processed through the NICS by the NICS Section.

Extensive measures are taken to ensure the security and the integrity of NICS information. Access to data in the NICS is restricted to agencies authorized by the FBI under DOJ regulations. The U.S. Attorney General's regulations regarding the privacy and security of NICS information are available on the Internet at www.fbi.gov/hq/cjisd/nics/index.htm.

NICS 2005 Operations

 

NICS Transactions

Since the inception of the NICS and throughout the year ending on December 31, 2005, a total of 62,060,717 background check transactions were conducted through the nation's firearms and explosives background check system. Of these transactions, 30,114,596 were processed through the POC states, while the majority, or 31,946,121 transactions were processed through the NICS Section (reference Figure 1).

Figure 1 NICS Transactions, November 30, 1998, through December 31, 2005

NICS Participation

Pursuant to the NICS Regulation, the FFLs will initiate background checks with the NICS by contacting either the NICS Section or a state-designated POC. Any state can implement its own Brady NICS Program by designating a local or state law enforcement authority within the state to serve as an intermediary between its FFLs and the NICS in a POC capacity. A state can, at any time, choose to become a POC state. A POC state can also, either through state law or by operation of state policy, cease operations as a POC state. The FFLs conducting business in those states that choose not to participate with the processing of NICS background checks will contact the FBI, via the NICS Section's Contracted Call Centers, to initiate background checks (except where otherwise specified, e.g., a recheck following a successful appeal).

As of December 31, 2005, the NICS Section provides full service to the FFLs conducting business in 29 states, 5 territories and 1 district, while 13 states have agencies acting on behalf of the NICS in a full-POC capacity by conducting all of their own state background checks via the NICS. Eight states continue to share responsibility with the NICS Section by acting as a partial POC. Partial-POC states have agencies designated to conduct background checks for handguns and/or handgun permits, while the NICS Section processes all of their long gun transactions.

As a result of legislation passed on April 6, 2005, the state of Georgia ceased operations as a Full POC for the NICS effective July 1, 2005. As such, the NICS Section initiated a transition plan which included the enrollment of Georgia's FFLs to conduct business with the NICS Section. The NICS Section received its first Georgia firearm check on June 20, 2005, via the NICS E-Check. As a result of Georgia's change in NICS participation status, the NICS Section has assumed the processing of all background check inquiries submitted via Georgia's FFLs. This change in participation marked the most recent of many state-initiated modifications to state participation with the NICS.

Historical Changes in NICS State Participation as of December 31, 2005

• Colorado: Ceased operations as a Partial POC in March 1999 and subsequently resumed operations as a Full POC in August 1999.

• South Carolina: Ceased operations as a Full POC in October 1999.

• Oregon: Implemented Full-POC operations in December 2000.

• Vermont: Ceased operations as a Full POC in February 2002.

• Arizona: Ceased operations as a Full POC in August 2002.

• Indiana: Ceased operations as a Partial POC in October 2003.

• New York: Reclassified as Non-POC in September 2004.

• Georgia: Ceased operations as a Full POC in July 2005.

 

Alternate Permit Status

With the implementation of the NICS in 1998, certain state firearm permits (e.g., carry concealed weapon permits, permits to purchase) were qualified by the ATF as permits that would suffice in lieu of (e.g., an alternate to) a NICS check at the point of sale/transfer. As one of the requirements for eligibility to receive an ATF-approved alternate permit, a NICS background check must be included as part of the permit-issuing and renewal process. Alternate permits are issued for a designated period of time, many being valid for up to five years depending on the existing laws in the particular state of issuance. Presentation of an active alternate permit to an FFL when attempting to receive a firearm will preclude the necessity of the FFL conducting a NICS background check with each firearm transfer during the life of the permit. In 2005, as a result of the ATF's comprehensive review of the in lieu of permit qualifications for each of the alternate permit states, several changes in participation occurred. As of December 31, 2005, there were 18 states and/or U.S. territories which were afforded alternate permit status by the ATF. The NICS Participation Map depicts those states which, as of December 31, 2005, maintained alternate permit status with the NICS.

NICS Activity

Yearly, the NICS experiences a consistent and predictable increase in transactional activity associated with the onset of state hunting seasons and the year-end holidays. Firearms are part of the retail industry; therefore, substantial increases in firearm sales historically begin in late summer and progressively increase through the month of December. Corresponding to the escalation in firearm sales typically witnessed in the months leading toward the end of a calendar year, the influx of transactional activity to the NICS also progressively increases. This period of time, when the number of firearm transactions are increasing (reference Figure 4), is referred to as the NICS "peak season."

Figure 4 Annual Comparison of NICS Activity - 2003 through 2005

The NICS standard available hours of system operation are 8 a.m. EST to 1 a.m. EST, 364 days a year.⁴ However, in the spirit of effective and efficient customer service, and to accommodate the escalating transactional influx typically associated with each year's "peak season," the hours of system availability are customarily expanded to provide longer periods of access to the POCs. This additional available operating time aids in deterring potential "bottlenecks" which can accompany demand and activity levels associated with eminent "peak season" volumes.

In order to successfully accommodate the increase of transactions during "peak season" and, in turn, provide optimal customer service to the NICS users in "peak" as well as "non-peak" times, the NICS Section allocates its resources by utilizing a workload forecast model. The NICS Section's workload forecast model calculates and provides the data needed to determine the necessary adjustments to ensure adequate staffing for workload maintenance, both at the NICS Section and its Contracted Call Centers. The NICS Section's staffing model, designed to calculate the number of NICS employees required for each business day, also evaluates current schedules to determine any anticipated or potential deficiencies. Similar to the retail industry, approximately 40 percent of all contacts are received on Friday and Saturday with the majority between the hours of 11 a.m. and 7 p.m. During anticipated times of greater demand, staffing levels are adjusted to support an increase in workload (reference Figure 5).

Figure 5 NICS Average Workload Forecast

The NICS Section conducts ongoing comprehensive system and process checks aimed at assessing operational performance. Continual assessment of daily operations keeps the NICS Section current with ever-changing needs in order to maximize its resources to provide optimal customer service. The acquisition and installation of a supplemental software module in 2005 provides the NICS Section with an additional workload management tool via the utilization of advanced applications for various other aspects of business operations, e.g., projecting an effect on workload when unique and/or atypical impacts to daily business operations occur. The effective use and application of historical call volume, transaction volume, and time study data in predicting future workload requirements has enhanced the NICS Section's ability to more effectively develop staffing projections and concise work schedules. This, in turn, continues to amplify the efficiency of workload management and provide consistent and optimal customer service to the users of the NICS.

NICS Section Denials

Since the implementation of the NICS on November 30, 1998, and through year-end 2005, a total of 473,433 firearm transactions (or approximately 1.48 percent) have been denied by the NICS Section. Until the passage of the NICS Final Rule on July 20, 2004⁵, the POC states were not required to report final eligibility determinations (e.g., denials) to the NICS⁶; therefore, statistics outlining the number of background check denials rendered by the states is not available via the NICS.

The Bureau of Justice Statistics’ (BJS) Firearm Inquiry Statistics Program, implemented in 1995, collects information on background checks conducted by local and state agencies. The local and state data, when combined with the NICS data, provide cumulative estimates of the total number of background check transactions and denials resulting from the Brady Act requirements and similar state laws.

With data provided by the local and state agencies that conduct their own background checks, the BJS has estimated that approximately 507,167 local/state firearm transactions have been denied for the period of November 30, 1998, through December 31, 2004⁷ (the 2005 data not available at this time). Referencing Table 1, the denial rates for the NICS Section (through December 31, 2005) as well as the states (through December 31, 2004) have steadily declined.

Table 1 The NICS Denial Rate

Year	Number of Transactions Conducted - NICS Section	Number of Transactions Conducted - POC States	Number of Denials Rendered - NICS Section	Number of Denials Rendered - POC States6	Denial Rate Percentage - NICS Section	Denial Rate Percentage - POC States
1998 - 1999	5,044,574	4,986,389	89,836	133,000	1.78	3.0
2000	4,260,270	4,282,767	66,808	86,000	1.57	2.5
2001	4,291,926	4,618,265	64,500	86,000	1.50	2.3
2002	4,248,893	4,205,429	60,739	75,000	1.43	2.1
2003	4,462,801	4,018,787	61,170	65,000	1.37	1.9
2004	4,685,018	4,002,653	63,675	62,167	1.36	1.83
2005	4,952,639	4,000,306	66,705	N/A8	1.35	N/A8
Program-to-Date as of December 31, 2005	31,946,121	30,114,596	473,433	N/A	1.48	N/A

The leading reason for NICS Section denials, both historically and in 2005, is the existence of a felony record. Comparably, the BJS also reports that from 1999 through 2004 (2005 data unavailable), the majority of denials rendered by state and local agencies, parallel to the NICS Section, was the result of the applicants' felony convictions or indictments.

Federal Denials 473,433 as of December 31, 2005

Out of State

The following story is an example of how the unavailability of prohibiting records at the national level can lead to tragic results:

A 44-year-old man was charged with the murder of his 32-year-old ex-girlfriend, shot to death at her place of employment. Reportedly, the alleged gunman walked into the business via the back door and fired several shots with a handgun. The alleged gunman’s attorney acknowledged that his client committed the crime but emphasized his prior history of mental illness. The alleged gunman was institutionalized and treated for depression and other mental health illnesses as early as age 12 and also had a history of substance abuse. None of the mental health records were in the NICS Index for accessibility during the background check process.

Had the records explicating the aforementioned individual's prior mental health history been made available via the NICS Index, the aforementioned tragedy may not have occurred. As with every other facet of program operations, the NICS Section remains proactive in seeking vital record information necessary to effectively facilitate the nation's firearms (and firearms/explosives permits) background check program. As of December 31, 2005, approximately 24 states were submitting or had contributed records to the NICS Index (some on a limited basis) and the NICS Section was in contact with several states to solicit vital record information for the NICS Index.

By obtaining and availing decision-making information (especially records not accessible through the NCIC or the III databases) to the users of the NICS, all states will have access to valuable prohibiting records when performing a NICS background check. Figure 14 reflects the number of active records in the NICS Index per category, as of December 31, 2005.

Figure 14 Active Records in the NICS Index as of December 31, 2005

The NICS Section's Outreach and Information-
Sharing Program

One of the biggest challenges facing public safety and law enforcement agencies today focuses on the manageability and need for complete and accurate record information. The inability of many law enforcement and judicial agencies to receive accurate and complete information easily and effectively impedes criminal justice efforts in many ways and at many levels. Optimal available record information not only helps to avoid tragedy resulting via criminal activity but also aids in solving crimes; trending crime patterns; providing opportunities to develop and effect public, victim, and officer safety planning initiatives; and offers guidance in determining possible alternative solutions or plans to mitigate the potential for future crime.

In today's society, America is witnessing a dramatic increase in the use of criminal record background checks to determine where individuals can work, volunteer, engage in various activities, etc., in addition to determining subject eligibility to obtain firearms and/or firearms and explosives permits. As such, the NICS Section's quest for optimally available and accurate criminal history records (CHR) only continues to gain significance. Accurate firearms and explosives eligibility decisions, determined by the NICS, are contingent on:

• the availability of records, e.g., disqualifying mental health records, records exhibiting illegal/unlawful alien status, active criminal warrants, Brady-prohibiting protection/restraining order, etc.;

• complete criminal history records, e.g., the inclusion of final dispositions, crime classification levels, etc.; and

• effective and efficient communication with and cooperation from users and partnering state and federal agencies.

The unavailability of relevant subject-disqualifying information to the national databases searched by the NICS does present real and serious public safety issues. For instance, if the NICS Section cannot make a determination regarding a person's firearms eligibility based on incomplete information matched by the system, federal law provides three business days with which to conduct research in order to determine either a proceed or a deny decision. If the record information needed to effect a final transaction status cannot be obtained and a final transaction decision rendered within the three-business-day time frame, the FFL can legally transfer the firearm. This presents the potential for a firearm to be transferred to an individual who is later determined to be a prohibited person. In these instances, a firearm retrieval referral is sent to the ATF.

The NICS Section remains committed to its mission, "To ensure national security and public safety by providing the timely determination of a person's eligibility to possess firearms or explosives in accordance with federal law." As such, just as important to block the transfer of a firearm (or firearm/explosives permit) to an individual disqualified pursuant to state and/or federal law, missing or unavailable record information also hinders the NICS Section's ability to approve a background check transaction for a person who is not prohibited. In certain instances, lawful purchasers are denied or are subject to lengthy delays because of incomplete and/or unavailable record information.

In an attempt to mitigate the aforementioned stumbling blocks to optimal effective and efficient background check processing, the NICS Section, shortly after program implementation in 1998, initiated an outreach and information-sharing program with the law enforcement and judicial community, in addition to the general public. The focus of the NICS Section's outreach and information-sharing efforts remains intrinsic to the goals and objectives of the NICS Section and the ultimate benefits to be achieved via a coordination of efforts by all in the law enforcement and judicial community in providing complete and available criminal history (and related) record information. The following information depicts some of the specific initiatives implemented:

NICS Section's Travel Team

With the aforementioned philosophy in mind, the NICS Section established the NICS Travel Team. The mission of the NICS Travel Team is basic--to travel across the United States (and territories) for the fundamental purpose of educating law enforcement and judicial agencies, among others, about the NICS program and the benefits of available and complete record information on a national level. Members of the NICS Travel Team attend and participate in various conferences, e.g., state clerks of courts conferences, national judges conferences, victims advocacy seminars, law enforcement employees seminars, state Attorneys General conferences, FFL awareness seminars, domestic violence conferences, and many others, to speak not only about the NICS but the comprehensive value of complete record information availability as well. The NICS Section personnel coordinate participation at such types of engagements with the hosting state and/or federal agency, and together optimum outreach and information sharing is achieved. Since 1999, various members of the NICS Section's staff and the NICS Travel Team have journeyed to most of the states and U.S. territories, some on numerous occasions. As such, the NICS outreach initiative has continually gained momentum and swiftly increased in size and destination base. It was clear that the NICS Travel Team had implemented a movement that would reach far beyond the scope of the NICS Section; however, it was also evident that more was needed.

POC Support Team

One of the goals originally envisioned by the NICS Section became a reality in August 2003 with the implementation of the POC Support Team. The POC Support Team is comprised of a group of NICS employees dedicated to providing a centralized and consistent source for education and support to the POC states. The POC Support Team identifies, develops, and offers a wide range of information-sharing opportunities such as a general overview of the NICS; legal interpretations; appeal processing; permit processes; the NICS Index; firearm retrieval referrals; research strategies; misuse issues; state-to-state record retrieval resources; the interpretation of federal prohibitive criteria, and state and federal terminology; and specialized information pertaining to state-specific law to various interested agencies.

Through effective liaison with POC state law enforcement/judicial agencies and/or other governmental agencies, the POC Support Team works passionately towards its goal of providing optimal service to the criminal justice processes in the United States and its territories. From September 2003 through December 2005, the POC Support Team has facilitated approximately 92 information-sharing sessions in over 50 separate locations in 20 states to over 2,800 participants whose duties vary from those of record clerks to administrative personnel and management, to law enforcement officers, corrections staff and management, Department of Public Safety and FBI officials, federal probation agencies, police department and sheriff's office personnel and terminal agency controllers, etc., in addition to representatives of the offices of the state Attorney General.

The POC Support Team continually receives requests to schedule additional supplementary information-sharing sessions from states that previously used their services, e.g., the decentralized states. Typically, in the decentralized states, there are many agencies that conduct NICS background checks. Ensuring that all such agencies within a state are processing NICS checks in a consistent manner does tend to pose challenges. As many of the smaller agencies may have a limited number of employees available for attendance at state-wide conferences, the POC Support Team avails their services to accommodate visitations to smaller state agencies as well, thus providing full in-state service to all who have identified the need. At times, this involves multiple trips to the same state; however, the end result, consistency and accuracy in processing, is realized as a direct result of the NICS Section's information-sharing and outreach efforts.

The services provided by the POC Support Team's efforts have swiftly illustrated the NICS Section's focus on customer service as a vital and integral part of the overall success of the entire NICS program and have served to create a more robust partnership between the FBI, the POC states, and the various integral components of the law enforcement and judicial community.

Increasing the Number of Available and Complete Criminal History Dispositions

Complete and readily available criminal history records serve both law enforcement and the general public in various ways. They provide comprehensive information needed to effect sound law enforcement decisions, effect public and officer safety planning initiatives, forewarn police officers about the type of individuals subject to routine traffic stops, and assist in determining sound and effective legal judgments. As such, it becomes even more crucial to identify and develop methods to efficiently and effectively seek and obtain missing disposition information in order for the NICS to operate as designed.

When processing background checks that are delayed because of incomplete record information, the NICS Examiners must reach out to local, state, and other federal authorities in an attempt to obtain the record-completing data and render an accurate firearms or firearms/ explosives permit eligibility decision. As of December 31, 2005, the NICS Section's staff has sought and obtained over 547,000 dispositions for posting to the CHRs. To maximize the use of all available resources, the NICS Section has developed various and integral support services to supplement the processes associated with establishing contact with external agencies to solicit for essential record-completing/clarifying information. The following information depicts many of support services implemented by the NICS Section that serve to enhance the outreach processes:

• State POC Representatives (SPR): Certain NICS Examiners, entitled SPRs, establish and maintain open channels of communication with numerous local and state agency representatives in order to determine which agencies are receptive to external contact, under what circumstances contact can be effected, and how the NICS Section can, in as accommodating a way as possible, obtain their assistance in seeking record/disposition information. As such, the NICS Section's SPRs seek to provide a method of intercommunication between agencies to expedite the record/information-gathering process in a manner that is conducive to the state's organizational requirements. Contact information gathered by these employees is updated and maintained in a comprehensive directory¹⁷ of law enforcement and judicial agency contact names in addition to each state's and/or agency's preferred order of contact.

• Document Review and Scanning Team (DRST): Established in support of the NICS Section's research and evaluation processes, the DRST receives and clarifies documentation received from external sources. The NICS Section receives numerous and
  essential record-clarifying documents that, pursuant to state or federal guidelines, cannot be posted to criminal history records (e.g., data that is not fingerprint based). In order to eliminate redundancy in contacting the same agency for the same valuable information previously requested and received, the DRST captures, via scanning technology, and maintains this documentation for future use. Reciprocally, when disposition information is obtained via outreach efforts with local and/or state agencies, said documentation is also forwarded to the appropriate state authorities, e.g., State Bureaus, for record update/maintenance at the state level. In 2005, the DRST facilitated the referral of over 15,270 documents to state authorities, scanned over 27,460 documents that could not be posted to the CHRs, and scanned over 75,000 (otherwise rejected) documents forwarded by the CJIS Division’s Identification and Investigative Services Section (IISS) to the NICS Section for capture and maintenance for future use.

• Record Information Obtained via the Internet: America is witnessing the increased popularity and use of the Internet as a resource tool for the exchange of various types of information. Due to the three-business-day time frame limitation imposed by the Brady Act for obtaining record information needed to render final transaction determinations, the NICS Section also considers the value and usefulness of alternative means to obtain disposition data other than those outlined by the CJIS Division. One such method is via the Internet. Not all accessible Web sites displaying criminal history (and related) information are automatically added to the NICS Section's list of available contact resources. When a potential Web site candidate is identified, the NICS Legal Research and Analysis Team (LRAT) conducts in-depth research to validate the authenticity, accuracy, and quality of the information provided via the targeted Web site. Reaching out to an agency, via its Internet Web site, reduces resource costs for many local and state law enforcement and judicial agencies, e.g., time expended in phone calls, facsimile transmissions, record searches, etc. In 2005, the NICS Section validated almost 20 new Web sites for inclusion in its state contact directory. As of December 31, 2005, the NICS Section accesses available record information of over 120 agencies in 25 states available via the Internet and continues to seek and validate additional resources for the attainment of record information via ongoing outreach efforts.

• IISS’ NICS Support Unit (NSU): When the staff of the NICS Section receive record-completing disposition information needed to render a transaction decision or other documentation (e.g., protection order documents, valid expungement documents), the information is forwarded to the NSU, a group of CJIS Division employees who are dedicated to updating CHRs as a result of information attained via the NICS Section's outreach efforts. Once the subject's FBI record is updated, the disposition/record information is forwarded by the NSU to the respective state bureau for maintenance at the state level. To reiterate prior information, as of December 31, 2005, the NSU has facilitated the update of over 547,000 CHRs at the national level. Referencing Table 4, a breakdown, by year, of the successes relevant to the update/completion of CHRs via the
  NICS Section's outreach and information-sharing efforts with the assistance of the NSU is provided.

Table 4 Criminal History Record Updates Based on Documentation Obtained by the NICS Section as of December 31, 2005

Year	Number of CHR Updates
1999	73,240
2000	68,928
2001	79,965
2002	87,838
2003	96,591
2004	74,404
2005	66,561
Total	547,527

Communication Efforts

• The NICS Section's Liaison Team: The continued success of the NICS is contingent upon effective communication not only with its users (e.g., the FFLs), but with partnering agencies as well. As such, the NICS Section fosters and encourages a spirit of partnership and cooperation with various other federal agencies that participate in the administration and the completing of NICS background checks (e.g., the DOJ, the ATF, the ICE, and others). To more effectively coordinate and centralize the efforts of the NICS Section regarding the reciprocal exchange of valuable operational and technical communication with partnering agencies, the NICS Liaison Team was created. Dedicated to maintaining ongoing communication and coordination of information-sharing and outreach efforts, the NICS Section's partners are invariably apprized of upcoming events and initiatives as well as issues facing the NICS, and are provided the opportunity for embracing mutually beneficial solutions. For example, previously identified inadequacies in the CJIS Division’s electrical system (which contributed to several lengthy system outages that occurred over an extensive period of time) were scheduled for resolution in 2005. The installation process to accomplish the resolution required that the FBI power down its CJIS Division facility and that all associated computer systems, e.g., the NCIC, the III, the NICS Index, would be unavailable for a 24-hour period of time between February 20 and February 21, 2005. So that the NICS users/customers could prepare for the upcoming system unavailability, the NICS Section’s Liaison Team effected detailed notifications to FFLs, the POC states, and partnering state and federal agencies of the impending occurrence. Through effective communication and information sharing, a smooth transition during the 24-hour period of system unavailability was realized.

On December 19, 2005, the NICS Section received a communication from the ICE providing notification that a planned power outage at the ICE's Law Enforcement Service Center was scheduled later that month. As such, through effective and timely information sharing regarding the upcoming event, both agencies and the POC states were able to coordinate alternate measures for the efficient processing of Immigration Alien Queries (IAQs) and the subsequent completion of delayed background checks in as expeditious a manner as possible.

• NICS Web Site: The NICS Section is a customer service-oriented operation continually striving to meet the needs and requirements of the law enforcement and the judicial community; various other individuals from local, state, federal, or foreign governments; the media; governmental officials; academia; and the general public. The NICS Section posts valuable and insightful information to its Web site¹⁸ and disseminates various descriptive and detailed literature during conferences, exhibits, seminars, training, and information-sharing opportunities. Requests for specific or general information, in addition to various requests submitted via legislative officials, are received and answered daily by the staff of the NICS Section. Many responses to external requests for data include a referral to the NICS Web site which offers various types of information regarding the NICS and other topics of interest.

• Information via CJIS Internet LAN: In an effort to share information and create awareness with the law enforcement community about the NICS, the NICS Section continually updates and supplements its available information accessed via the CJIS Internet LAN which is a secure means of electronic communication between law enforcement agencies. Several topics of interest provided via the CJIS Internet LAN Web site are:
  
  • NICS Online Self-Paced Training;
  • NICS Success Stories;
  • Advisory Process Topics pertaining to the NICS;
  • Federal and/or State Statutes;
  • Terminology Information;
  • Frequently Asked Questions;
  • NICS Operational Reports;
  • NICS Participation Map;
  • NICS Brochures
  • NICS Conference Topic Papers and/or Minutes; and
  • Information specific to the VAF.

• NICS Fax-on-Demand: The NICS Section has implemented and maintains a Fax-on-Demand dial-up access¹⁹ function that allows individuals to call an automated system and request specific information relating to the NICS, including the NICS Appeal Brochure, the NICS E-Check Enrollment Forms, the NICS Gun Buyers Resolution Guide, and the NICS Voluntary Appeals Brochure (English and Spanish versions).

• NICS Newsletter: To further communication and liaison efforts, the NICS Section's Liaison Team compiles and issues bi-annual NICS Newsletters to the POC states to provide them with the latest news regarding many and diverse topics, such as operational issues; updates on system and/or processing requirements; anticipated/impending legislative mandates regarding the NICS; changes in processing background checks; notifications of upcoming information-sharing opportunities; NICS Index updates; CJIS Division updates/notices; and changes in POC participation.

• "NICS and You" Bulletin: In April 2005, the NICS Section began compiling and disseminating a quarterly bulletin, entitled "NICS and You," to its many supporting agencies. The bulletin is designed to share information with the NICS Section's local and state counterparts in the law enforcement and judicial community who assist clarifying record information and providing final dispositions. The "NICS and You" bulletin also shares success stories, statistics, and helpful information in support of why disposition and record-completing/clarifying information is so vital to the NICS.

• The NICS User Conference: Each year the NICS Section hosts an annual User Conference, a symposium to bring state and federal agencies together in a unique forum which allows for the reciprocal exchange of ideas, the discussion of items of mutual interest and need, and for the collective interaction in the promulgation of effective resolutions to problematic issues. Originally implemented for the purpose of connecting with the POC states, the NICS Section's annual conference now hosts and elicits participation and interaction from all users (e.g., the Full-POC states, the Partial-POC states, the alternate permit states).

• The POC Chat Room: To supplement the sharing of information with its state POC counterparts, the NICS Section implemented the POC Chat Room. While the traditional methods of communication previously mentioned are lucrative resources that encourage and support the needed connectivity between the NICS Section and its partners, today's technology allows for so much more via telecommunications. As logistics need not be a deterrent to effective and efficient communication, agencies can partake in information-sharing opportunities as if in the same room, hence the POC online chat room. In addition
  to providing opportunities to discuss current events, changes in regulations and operational policies, etc., the POC Chat Room allows for the exchange of information and ideas in "real time" mode.

All Full-POC, Partial-POC, and Alternate Permit State representatives are provided with opportunities to suggest topics for future discussion, make recommendations for improvement of chat processes, and are also notified of each chat session prior to airing. After each chat session, a transcript of the online dialogue is posted and disseminated via the CJIS Internet LAN Web site; therefore, the dissemination of the information discussed is shared with a wide audience extending beyond the scope of those in participation. The NICS Section has hosted several chat sessions to date; some of the topics discussed in 2005 were: the VAF; IAQs; Military Dispositions; the NICS Quality Assurance Program; the NICS Section’s LRAT; Search Algorithm; Pawn Shop Purpose Codes; the VGTOF; and Close-up Look at Full-POC Operations.

• Coordination of Efforts with External Agencies: In the interest of providing information to state and federal agencies to assist with justice and public safety initiatives in America, the NICS Section is also responsive to requests for statistics and/or information from external agencies, e.g., the BJS, and readily provides requested data, pursuant to federal guidelines governing the dissemination of such, whenever possible. In 1995, as a direct result of the Brady Act, the National Criminal History Improvement Program (NCHIP)²⁰ was established. The NCHIP, whose goal is to improve the nation's safety and security by enhancing the quality, completeness, and accessibility of criminal history record information and by insuring the nationwide implementation of criminal justice and noncriminal justice background check systems, is managed under the purview of the BJS. Through the NCHIP, the states are encouraged to ensure their data systems are compatible with one another and with the national records systems maintained by the FBI; therefore, the partnership fostered by the NICS Section and the BJS aids to support record systems utilized by law enforcement in helping to keep America safe.

The SEARCH organization is dedicated to improving the quality of justice and public safety through the use, management, and exchange of information. The SEARCH organization's vision--accurate and timely information, supported by well deployed information and identification technology to enable the justice and public safety decision makers to administer justice in a manner that promotes . . . public safety--is synonymous with the mission of the NICS Section--to ensure national security and public safety by providing the timely determination of a person's eligibility to possess firearms or explosives in accordance with federal law. As such, the NICS Section supports and monitors the efforts and progress of the SEARCH organization via participation and interaction at various conferences, seminars, exhibits and meetings aimed at solving America's need for improved and available criminal justice information.

• Fostering Relationships: As a result of effective communications with other external organizations, the NICS Section was invited to attend and participate in the National Rifle Association's (NRA) annual meeting/exhibit in April 2005. As first-time attendees during the 2005 NRA meeting, the NICS Section participated as an exhibitor and, with available staff on-hand, shared information concerning the background check and related processes to many of the over 110,000 persons (e.g., NRA members, FFLs, legislative representatives, and the public) in attendance. The NICS Section also attends and/or participates in other such conferences and exhibits, e.g., the annual Shooting, Hunting and Outdoor Trade Show, conferences with organizations such as the National Shooting Sports Foundation, the National Center for State Courts, the Project Safe Neighborhoods organization, the National Association of Firearm Retailers, the National Pawnbrokers Association, and various FFL seminars as well. These are the opportunities that promote optimal communications and information sharing between agencies with mutual interests.

 

NICS Milestones