National Instant Criminal Background Check System Regulations

DEPARTMENT OF JUSTICE

28 CFR Part 25

[AG Order No. 2158-98]

RIN 1105-AA51

National Instant Criminal Background Check System Regulations

AGENCY: Department of Justice.

ACTION: Proposed rule.

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SUMMARY: The United States Department of Justice is publishing a

proposed rule for the National Instant Criminal Background Check System

(NICS) to establish policies and procedures for ensuring the privacy

and security of this system and to implement a NICS appeals policy for

persons who have been denied the purchase of a firearm because of

information in the NICS they believe to be erroneous or incorrect.

Specifically, this rule will detail policies for validating NICS data,

storing, accessing, and querying records in the system, retaining and

destroying NICS information, and correcting erroneous data in the

system.

DATES: Written comments must be received on or before September 2,

1998.

ADDRESSES: All comments concerning this proposed rule should be mailed

to: Mr. Emmet A. Rathbun, NICS Project Manager, Federal Bureau of

Investigation, CJIS Division, Module C-3, 1000 Custer Hollow Road,

Clarksburg, West Virginia 26306-0147.

FOR FURTHER INFORMATION CONTACT: Mr. Emmet A. Rathbun, NICS Project

Manager, telephone number (304) 625-2000.

SUPPLEMENTARY INFORMATION: On November 30, 1993, Pub. L. 103-159 (107

Stat. 1536) was enacted, amending the Gun Control Act of 1968 (GCA), as

amended (18 U.S.C Chapter 44). Title I of Pub. L

on, CJIS Division, Module C-3, 1000 Custer Hollow Road,

Clarksburg, West Virginia 26306-0147.

FOR FURTHER INFORMATION CONTACT: Mr. Emmet A. Rathbun, NICS Project

Manager, telephone number (304) 625-2000.

SUPPLEMENTARY INFORMATION: On November 30, 1993, Pub. L. 103-159 (107

Stat. 1536) was enacted, amending the Gun Control Act of 1968 (GCA), as

amended (18 U.S.C Chapter 44). Title I of Pub. L. 103-159, the ``Brady

Handgun Violence Prevention Act'' (``Brady Act''), requires the

Attorney General to establish by November 30, 1998, ``a national

instant criminal background check system that any [firearms] licensee

may contact, by telephone or by other electronic means in addition to

the telephone, for information, to be supplied immediately, on whether

receipt of a firearm by a prospective transferee would violate section

922 of title 18, United States Code, or State law.'' To implement the

NICS, the Brady Act authorizes the development of hardware and software

systems to link State criminal history check systems into the national

system. It also authorizes the Attorney General to obtain official

information from any Federal Department or agency on persons for whom

receipt of a firearm would be in violation of the law.

The Bureau of Alcohol, Tobacco and Firearms (ATF), Department of

the Treasury, issued proposed regulations, 63 FR 8379 (Feb. 19, 1998),

Notice Number 857, ``Implementation of Pub. L. 53-159, Relating to the

Permanent Provisions of the Brady Handgun Violence Prevention Act,''

which specify how Federal firearms licensees (FFLs) shall interact with

the NICS. In general, the proposed ATF regulations: Specify the time

when an FFL must contact the NICS; detail the criteria that

sued proposed regulations, 63 FR 8379 (Feb. 19, 1998),

Notice Number 857, ``Implementation of Pub. L. 53-159, Relating to the

Permanent Provisions of the Brady Handgun Violence Prevention Act,''

which specify how Federal firearms licensees (FFLs) shall interact with

the NICS. In general, the proposed ATF regulations: Specify the time

when an FFL must contact the NICS; detail the criteria that

must be met in order for a firearm permit to operate as an exception to

the requirement of a NICS background check, including the requirement

that state officials issuing such permits conduct a NICS check on all

applicants for permits issued on or after November 30, 1998; note the

applicability of the requirement of a NICS background check to pawned

firearm transactions; require the Director of ATF to contact the NICS

before approving a firearm transfer under the National Firearms Act;

amend the ATF firearms transaction record, Form 4473, to allow FFLs to

solicit additional optional information about the purchaser for

submission with a NICS background check request in order to help avoid

cases of misidentification by the system; and require FFLs to record on

Form 4473 all responses received from the NICS and to maintain a copy

of each Form 4473 for which a NICS transaction number (a unique

identification number assigned to each NICS check) has been received,

regardless of whether the transfer of the firearm was completed.

Prohibited Persons

Section 922 of title 18 prohibits certain persons from shipping or

transporting any firearm in interstate or foreign commerce, or

receiving any firearm that has been shipped or transported in

interstate or foreign commerce, or possessing any firearm in or

affecting commerce. These prohibitions apply to any person who:

(1) Is under indictment for or has been convicted in any court of a

crime punishable by imprisonment for a term exceeding one year;

(2) Is a fugitive from justice;

(3) Is an unlawful user of or addicted to any controlled substance;

has been shipped or transported in

interstate or foreign commerce, or possessing any firearm in or

affecting commerce. These prohibitions apply to any person who:

(1) Is under indictment for or has been convicted in any court of a

crime punishable by imprisonment for a term exceeding one year;

(2) Is a fugitive from justice;

(3) Is an unlawful user of or addicted to any controlled substance;

(4) Has been adjudicated as a mental defective or committed to a

mental institution;

(5) Is an alien illegally or unlawfully in the United States;

(6) Has been discharged from the Armed Forces under dishonorable

conditions;

(7) Having been a citizen of the United States, has renounced U.S.

citizenship;

(8) Is subject to a court order that restrains the person from

harassing, stalking, or threatening an intimate partner or child of

such intimate partner; or

(9) Has been convicted in any court of a misdemeanor crime of

domestic violence.

The ATF published a final rule concerning ``Definitions for the

Categories of Persons Prohibited From Receiving Firearms'' in the

Federal Register on June 27, 1997 (T.D. ATF-391, 62 FR 34634). These

definitions became effective August 26, 1997, and shall apply to the

operation and use of the NICS.

Department of Justice Action

The Federal Bureau of Investigation (FBI), as directed by the

Attorney General, has coordinated the development efforts of the NICS

since 1994. The FBI is negotiating formal Memoranda of Understanding

(MOUs) between the FBI and Federal agencies that will supply data to

the NICS. The MOUs outline procedures for supplying data to the NICS

and define limits on the appropriate use of the data.

This proposed rule may directly impact the following groups:

prospective firearms purchasers, Federal firearms licensees (FFLs),

state and local law enforcement agencies, and certain Federal agencies.

Brady Act Task Group

FBI and Federal agencies that will supply data to

the NICS. The MOUs outline procedures for supplying data to the NICS

and define limits on the appropriate use of the data.

This proposed rule may directly impact the following groups:

prospective firearms purchasers, Federal firearms licensees (FFLs),

state and local law enforcement agencies, and certain Federal agencies.

Brady Act Task Group

Immediately after the Brady Act went into effect on February 28,

1994, the FBI established a Brady Act Task Group (BATG) composed of

experienced state and local law enforcement officials. The FBI has

worked closely with the BATG, whose purpose has been to assist in the

development and finalization of requirements for implementing the NICS.

The System

In order to establish the NICS in a way that incorporates relevant

information for the various categories of prohibited persons previously

mentioned, the FBI has created a new database called the ``NICS Index''

with information concerning individuals who fall within categories 3

through 7 of the prohibited persons described above. A NICS background

check will check this new database and also existing systems of records

operated by the FBI, such as the National Crime Information Center

(NCIC), and the Interstate Identification Index (III).

The NICS Index will contain (1) records provided by Federal

agencies to the FBI on persons prohibited from receiving firearms under

Federal law and (2) records provided voluntarily by some states on

persons who have been denied the purchase of a firearm or who are known

to be disqualified from possessing a firearm under Federal law.

Information in the NICS Index will be provided to the FBI on magnetic

tape media or through electronic access by Federal agencies and

authorized state or local law enforcement agencies

under

Federal law and (2) records provided voluntarily by some states on

persons who have been denied the purchase of a firearm or who are known

to be disqualified from possessing a firearm under Federal law.

Information in the NICS Index will be provided to the FBI on magnetic

tape media or through electronic access by Federal agencies and

authorized state or local law enforcement agencies. Access to the NICS

Index will generally be restricted to purposes related to NICS

background checks pursuant to the Brady Act; other access shall be

limited to uses for the purpose of (1) providing information to

Federal, state, or local criminal justice agencies in connection with

the issuance of a permit or license to possess, acquire, conceal, or

transfer a firearm or (2) responding to an inquiry from the ATF in

connection with a civil or criminal law enforcement activity relating

to the Gun Control Act (18 U.S.C. Chapter 44).

In states where they agree to do so, state or local law enforcement

agencies will serve as Points of Contact (POCs) for the NICS. As POCs,

these agencies will receive inquiries by FFLs, initiate NICS background

checks through electronic access to the NICS via the NCIC

communications network, receive and review any matching records

retrieved by the system, check state and local record systems

(including criminal justice databases) for disqualifying records,

determine whether any of the matching records provide reason to believe

that the individual is disqualified from possessing a firearm, and

provide responses back to the FFL. States may also exchange messages

regarding long-gun purchases made outside of a purchaser's state of

residence. The FBI will not charge FFLs a fee for NICS background

checks processed by state POCs.

In states where there is no POC, FFLs will contact the NICS

Operations Center, a unit run by the FBI, either by telephone or

through electronic dial-up access, to request a NICS background check

States may also exchange messages

regarding long-gun purchases made outside of a purchaser's state of

residence. The FBI will not charge FFLs a fee for NICS background

checks processed by state POCs.

In states where there is no POC, FFLs will contact the NICS

Operations Center, a unit run by the FBI, either by telephone or

through electronic dial-up access, to request a NICS background check.

In these non-POC states, the NICS Operations Center will perform the

NICS background check, analyze any matching records, and provide a

response back to the FFL. The FBI will charge FFLs in non-POC states a

fee for NICS background checks processed by the NICS Operations Center.

Background Checks

A NICS background check will consist of a search using name, sex,

race, date of birth, state of residence, and other identifying

information provided by a purchaser for records in the NICS Index,

NCIC, and III. In states where state or local law enforcement agencies

act as POCs, the POCs may also check state or local record systems. For

each background check, the NICS will consolidate matching records from

the NICS Index, NCIC and III. In cases where the checks are performed

by state or local POCs, an authorized state or local official will

receive and evaluate matching records forwarded by the FBI and any

available state records and will determine whether the prospective

purchaser is the subject of the matching

records and whether the records provide reason to believe that the

prospective purchaser is ineligible to receive a firearm under state or

Federal law. In states where FFLs contact the FBI directly, an FBI

analyst will make these determinations. In either case, only the

decision whether or not the transfer may proceed (communicated in the

form of a message stating ``proceed,'' ``delayed,'' or ``denied''), and

none of the underlying information, will be provided to the FFL.

Retention and Destruction of Records in the NICS

ate or

Federal law. In states where FFLs contact the FBI directly, an FBI

analyst will make these determinations. In either case, only the

decision whether or not the transfer may proceed (communicated in the

form of a message stating ``proceed,'' ``delayed,'' or ``denied''), and

none of the underlying information, will be provided to the FFL.

Retention and Destruction of Records in the NICS

The FBI will retain indefinitely records in the NICS Index that

prohibit persons from receiving or possessing a firearm unless such

records are updated or canceled by the agency that supplied the records

to the NICS Index. In cases where the firearms disability is temporary

in nature, the NICS Index will automatically purge the record on the

date of its expiration or when it is no longer disabling.

The FBI will maintain an automated Audit Log of all transactions

that pass through the NICS. Transactions relating to firearm transfer

approvals in the Audit Log will be maintained for eighteen months.

After this time, information contained in the Audit Log related to the

person or the transfer will be destroyed; only the NICS Transaction

Number (NTN), a unique number assigned to each valid background check

inquiry received by the NICS, and the date on which the NTN was

assigned, will be retained. This temporary retention of information

will assist the FBI and state and local officials in auditing and/or

investigating unauthorized use of the NICS. The FBI will retain a log

of all transactions relating to firearm transfer denials for 10 years,

after which time the records will be transferred to a Federal Records

Center for retention.

System Security

NTN was

assigned, will be retained. This temporary retention of information

will assist the FBI and state and local officials in auditing and/or

investigating unauthorized use of the NICS. The FBI will retain a log

of all transactions relating to firearm transfer denials for 10 years,

after which time the records will be transferred to a Federal Records

Center for retention.

System Security

This regulation requires the state and local law enforcement

agencies using the system to identify themselves before obtaining

access to the NICS through the use of an Originating Agency Identifier

(ORI) assigned by the FBI. The Control Terminal Agency (CTA) in each

state, typically the state police or department of public safety, will

be responsible for providing to the FBI a list of agencies authorized

in the state to serve as a POC for the NICS and for ensuring that

unauthorized agencies cannot access the system. In addition, the NICS

will individually identify and authenticate FBI personnel who access

the system. The NICS will also require the use of FBI-assigned ORIs by

authorized Federal agency employees who in the future may be provided

message-based access to the NICS Index via the NCIC communications

network for purposes of adding, updating, and canceling records.

To ensure the proper level of access for each transaction, an

agency must include its ORI in each message it sends to the NICS.

Agencies providing records to the NICS must include their ORI and a

unique agency record identifier (ARI) in each record provided. The

system will allow authorized Federal and state agencies to add data to

the NICS Index and to update or cancel only the data that they have

provided.

The NICS will authenticate electronic connections by all users to

prevent unauthorized access to the system. The FBI will provide to NICS

users ``NICS Security Guidelines'' which will detail their security

roles and responsibilities.

Personnel Security

ill allow authorized Federal and state agencies to add data to

the NICS Index and to update or cancel only the data that they have

provided.

The NICS will authenticate electronic connections by all users to

prevent unauthorized access to the system. The FBI will provide to NICS

users ``NICS Security Guidelines'' which will detail their security

roles and responsibilities.

Personnel Security

Federal agencies and state and local law enforcement agencies

acting as POCs will be responsible for ensuring that their personnel

who process and handle data for the NICS comply with the NICS Security

Guidelines, the NCIC Security Policy of 1992, applicable Federal laws,

such as the Privacy Act of 1974 and the Computer Security Act of 1987,

and with their own policies and procedures for protecting information.

In addition, if the NICS allows a Federal agency direct terminal access

to the NICS for the purpose of adding, updating, or canceling records,

the agency, at a minimum, must ensure that terminal operators follow

the NCIC Security Policy.

Physical Security

Federal agencies and state and local law enforcement agencies that

contribute information to the NICS Index will label any magnetic media

used to transport NICS data. These labels will identify the agency

supplying the data and the sensitivity of the data. The FBI will store

NICS data only in areas that are physically safe from access by

unauthorized persons or exposure to environmental hazards.

If an agency communicates electronically with the NICS via the NCIC

communications network, the computer site and/or terminal area used by

the agency must have adequate physical security to protect against

unauthorized personnel gaining access to the computer equipment or to

any of the stored data, as discussed in the NCIC Security Policy

thorized persons or exposure to environmental hazards.

If an agency communicates electronically with the NICS via the NCIC

communications network, the computer site and/or terminal area used by

the agency must have adequate physical security to protect against

unauthorized personnel gaining access to the computer equipment or to

any of the stored data, as discussed in the NCIC Security Policy.

Visitors in the area of the computer site and/or terminal must be

accompanied by staff personnel at all times, and access to the terminal

area is restricted to the minimum number of authorized employees needed

to complete the work.

Authority To Obtain Records From Federal Agencies

Section 103(e)(1) of the Brady Act states that ``[n]otwithstanding

any other law, the Attorney General may secure directly from any

department or agency of the United States such information on persons

for whom receipt of a firearm would violate subsection (g) or (n) of

section 922 of title 18, United States Code or State law, as is

necessary to enable the system to operate in accordance with this

section. On request of the Attorney General, the head of such

department or agency shall furnish such information to the system.''

Privacy Act Notice and Rule

Pursuant to the Privacy Act of 1974, a Privacy Act Notice

describing the system of records and exempting its records from certain

provisions of the Privacy Act is published elsewhere in today's Federal

Register.

User Fee Charge

FFLs who contact the NICS Operations Center by telephone or by

electronic means to initiate a background check will be assessed a fee.

The user fee will be published separately in the Federal Register.

Appeal From a Denial and the Correction of Erroneous System

Information

ecords from certain

provisions of the Privacy Act is published elsewhere in today's Federal

Register.

User Fee Charge

FFLs who contact the NICS Operations Center by telephone or by

electronic means to initiate a background check will be assessed a fee.

The user fee will be published separately in the Federal Register.

Appeal From a Denial and the Correction of Erroneous System

Information

If, as a result of a NICS background check, an individual is unable

to purchase a firearm, the individual may request the reason(s) for the

denial from the agency that made the determination (either the FBI or

the POC). The denying agency (either the FBI or the POC) shall respond

with the reasons for the denial within five business days of receipt of

the request. The individual may challenge the accuracy of the record by

appealing to the state or local POC that denied the transfer, the

agency that originated the record, or the FBI. If a record is found to

be erroneous, the data in the NICS shall be corrected and the

individual will be provided a written confirmation of the correction of

erroneous data to present to the FFL. If more than 30 days have

transpired since the initial check, the FFL will recheck the NICS

without a fee before allowing the sale to continue. The Brady Act also

provides that an individual may contest the accuracy or validity of a

disqualifying record by bringing ``an action against the State or

political

subdivision responsible for providing the erroneous information, or

responsible for denying the transfer, or against the United States, as

the case may be, for an order directing that the erroneous information

be corrected or that the transfer be approved, as the case may be.''

Applicable Administrative Procedures and Executive Orders

Regulatory Flexibility Analysis

t the State or

political

subdivision responsible for providing the erroneous information, or

responsible for denying the transfer, or against the United States, as

the case may be, for an order directing that the erroneous information

be corrected or that the transfer be approved, as the case may be.''

Applicable Administrative Procedures and Executive Orders

Regulatory Flexibility Analysis

The Attorney General, in accordance with the Regulatory Flexibility

Act (5 U.S.C. 605(b)), has reviewed this regulation and by approving it

certifies that this regulation will not have a significant economic

impact on a substantial number of small entities. A Brady Act Task

Group, composed of experienced state and local law enforcement

officials, provided input on the design of the NICS. When developing

the guidelines for the NICS, both the Task Group and the FBI took into

account the fact that many FFLs are small businesses. The obligation of

FFLs to contact the NICS before transferring a firearm is imposed by

the Brady Act and is detailed in the above-described proposed ATF

regulations implementing the permanent provisions of the Brady Act. In

designing the NICS, the FBI has sought to avoid burdens on small

entities beyond those requirements needed to conduct the statutorily

prescribed background checks effectively and to ensure the privacy and

security of the information in the NICS. The FBI is not aware of any

relevant Federal rules that duplicate, overlap, or conflict with this

rule.

Executive Order 12866

This proposed rule has been drafted and reviewed in accordance with

Executive Order 12866, section 1(b), Principles of Regulation. The

Department of Justice has determined that this proposed rule is a

``significant regulatory action'' under Executive Order 12866, section

3(f), Regulatory Planning and Review, and thus it has been reviewed by

the Office of Management and Budget (OMB).

Executive Order 12612

rule has been drafted and reviewed in accordance with

Executive Order 12866, section 1(b), Principles of Regulation. The

Department of Justice has determined that this proposed rule is a

``significant regulatory action'' under Executive Order 12866, section

3(f), Regulatory Planning and Review, and thus it has been reviewed by

the Office of Management and Budget (OMB).

Executive Order 12612

This rule will not have a substantial direct effect on the states,

on the relationship between the national government and the states, or

on the distribution of power and responsibilities among the various

levels of government. Therefore, in accordance with Executive Order

12612, it is determined that this rule does not have sufficient

federalism implications to warrant the preparation of a Federal

Assessment.

Unfunded Mandates Reform Act of 1995

This rule will not result in the expenditure by state, local, and

tribal governments, in the aggregate, or by the private sector, of

$100,000,000 or more in any one year, and it will not significantly or

uniquely affect small governments. Therefore, no actions were deemed

necessary under the provisions of the Unfunded Mandates Reform Act of

1995.

Small Business Regulatory Enforcement Fairness Act of 1996

This proposed rule is not a major rule as defined by Section 804 of

the Small Business Regulatory Enforcement Fairness Act of 1996. This

proposed rule will not result in an annual effect on the economy of

$100,000,000 or more, a major increase in costs or prices, or have

significant adverse effects on competition, employment, investment,

productivity, innovation, or on the ability of United States-based

companies to compete with foreign-based companies in domestic and

export markets.

Paperwork Reduction Act of 1995

996. This

proposed rule will not result in an annual effect on the economy of

$100,000,000 or more, a major increase in costs or prices, or have

significant adverse effects on competition, employment, investment,

productivity, innovation, or on the ability of United States-based

companies to compete with foreign-based companies in domestic and

export markets.

Paperwork Reduction Act of 1995

The collection of information contained in this notice of proposed

rulemaking has been submitted to the OMB for review in accordance with

the Paperwork Reduction Act of 1995 (44 U.S.C. 3507(d)). Comments on

the collection of information should be sent to the Office of

Management and Budget, Attention: Desk Officer of the Department of

Justice, Office of Information and Regulatory Affairs, Washington, DC

20503, with copies to Mr. Robert B. Briggs, Clearance Officer, United

States Department of Justice, Information Management and Security

Staff, Justice Management Division, Suite 850, Washington Center, 1001

G Street, NW, Washington, DC 20530. Comments are specifically requested

concerning:

(1) Whether the proposed collection of information is necessary for

the proper performance of the functions of the Department of Justice

and the FBI, including whether the information will have practical

utility;

(2) The accuracy of the estimated burden associated with the

proposed collection of information (see below);

(3) How the quality, utility, and clarity of the information to be

collected may be enhanced; and

ollection of information is necessary for

the proper performance of the functions of the Department of Justice

and the FBI, including whether the information will have practical

utility;

(2) The accuracy of the estimated burden associated with the

proposed collection of information (see below);

(3) How the quality, utility, and clarity of the information to be

collected may be enhanced; and

(4) How the burden of complying with the proposed collection of

information may be minimized, including through the use of appropriate

automated, electronic, mechanical, or other technological collection

techniques or other forms of information technology.

The collection of information in this proposed regulation is for

the purpose of establishing the NICS, a national background check

system that FFLs are required by the Brady Act to contact for

information about whether the transfer of a firearm to a prospective

purchaser would violate Federal or state law. A database called the

NICS Index is being created which will contain information about

individuals who fall into the non-criminal categories of persons who

are disqualified from possessing a firearm under Federal law. Some

states may voluntarily submit information to the FBI concerning certain

individuals who fall into one or more of these categories, such as

persons who have been adjudicated as mental defectives or who have been

committed to mental institutions, for input into the NICS Index. This

data may be submitted by such states on a magnetic tape medium, which

the FBI will download into the NICS Index. The FBI will also allow such

states to make individual record submissions via the NCIC

communications network. It is estimated that, at the outset, five

states will voluntarily contribute such data to the NICS Index.

Additional states may contribute data in the future

Index. This

data may be submitted by such states on a magnetic tape medium, which

the FBI will download into the NICS Index. The FBI will also allow such

states to make individual record submissions via the NCIC

communications network. It is estimated that, at the outset, five

states will voluntarily contribute such data to the NICS Index.

Additional states may contribute data in the future. It is estimated

that it will require 24 hours for each contributing state to write the

specifications and program for the magnetic tapes that will be

submitted to the FBI. Thereafter, it is estimated that it will require

one hour to place data on the tape each time it is submitted to the

FBI. Tape submissions will be made approximately once per month;

electronic submissions may be made at the state's convenience. Thus, it

is estimated that, in the first year in which it makes data submissions

to the NICS Index, a contributing state will spend up to 36 hours in

making its submissions. In succeeding years, it is estimated that each

submitting state will spend up to 12 hours per year in making

submissions. The total public burden (in hours) associated with the

collection from the estimated five initial respondents, therefore, is

180 hours in the first year and 60 hours each succeeding year.

List of Subjects in 28 CFR Part 25

Administrative practice and procedure, Automatic data processing,

Business and industry, Courts, Firearms, Information, Law enforcement

officers, Reporting and recordkeeping requirements, and

Telecommunications.

Accordingly, Title 28 of the Code of Federal Regulations is

proposed to be amended by adding the following new part 25:

PART 25--DEPARTMENT OF JUSTICE INFORMATION SYSTEMS

Subpart A--The National Instant Criminal Background Check System

rocessing,

Business and industry, Courts, Firearms, Information, Law enforcement

officers, Reporting and recordkeeping requirements, and

Telecommunications.

Accordingly, Title 28 of the Code of Federal Regulations is

proposed to be amended by adding the following new part 25:

PART 25--DEPARTMENT OF JUSTICE INFORMATION SYSTEMS

Subpart A--The National Instant Criminal Background Check System

Sec.

25.1 Purpose and authority.

25.2 Definitions.

25.3 System information.

25.4 Record source categories.

25.5 Validation and data integrity of records in the system.

25.6 Accessing records in the system.

25.7 Querying records in the system.

25.8 System safeguards.

25.9 Retention and destruction of records in the system.

25.10 Correction of erroneous system information.

25.11 Prohibited activities and penalties.

Authority: Pub. L. 103-159, 107 Stat. 1536.

Subpart A--The National Instant Criminal Background Check System

Sec. 25.1 Purpose and authority.

The purpose of this subpart is to establish policies and procedures

implementing the Brady Handgun Violence Prevention Act (Brady Act),

Public Law 103-159, 107 Stat. 1536. The Brady Act requires the Attorney

General to establish a National Instant Criminal Background Check

System (NICS) to be contacted by any licensed importer, licensed

manufacturer, or licensed dealer of firearms for determination of

whether the transfer of a firearm to any person who is not licensed

under 18 U.S.C. 923 would be in violation of Federal or state law.

These regulations are issued pursuant to section 103(h) of the Brady

Act, 107 Stat. 1542, and include requirements to ensure the privacy and

security of the system and appeals procedures for persons who have been

denied the right to purchase a firearm as a result of a NICS background

check performed by the Federal Bureau of Investigation (FBI) or a state

or local law enforcement agency.

Sec. 25.2 Definitions.

are issued pursuant to section 103(h) of the Brady

Act, 107 Stat. 1542, and include requirements to ensure the privacy and

security of the system and appeals procedures for persons who have been

denied the right to purchase a firearm as a result of a NICS background

check performed by the Federal Bureau of Investigation (FBI) or a state

or local law enforcement agency.

Sec. 25.2 Definitions.

Appeal means a formal procedure to challenge the denial of a

firearm transfer.

ARI means a unique Agency Record Identifier assigned by the agency

submitting records for inclusion in the NICS Index.

Audit log means a chronological record of system (computer)

activities that enables the reconstruction and examination of the

sequence of events and/or changes in an event.

Business day means a 24-hour day (beginning at 12:01 a.m.) on which

state offices are open in the state in which the proposed firearm

transaction is to take place.

Control Terminal Agency means a state or territorial criminal

justice agency recognized by the FBI as the agency responsible for

providing state-or territory-wide service to criminal justice users of

NCIC data.

Data source means an agency that provided specific information to

the NICS.

Delayed means a temporary denial of a firearm transfer requiring

more research prior to a NICS ``Proceed'' or ``Denied'' response.

Denied means denial of a firearm transfer based on a NICS response

indicating one or more matching records were found providing reason to

believe that receipt of a firearm by a prospective purchaser would

violate 18 U.S.C. 922 or state law.

Denying agency means a POC or the NICS Operations Center, whichever

determines that information in the NICS indicates that the transfer of

a firearm to a person would violate Federal or state law, based on a

background check.

Dial-up access means any routine access through commercial switched

circuits on a continuous or temporary basis

ive purchaser would

violate 18 U.S.C. 922 or state law.

Denying agency means a POC or the NICS Operations Center, whichever

determines that information in the NICS indicates that the transfer of

a firearm to a person would violate Federal or state law, based on a

background check.

Dial-up access means any routine access through commercial switched

circuits on a continuous or temporary basis.

Federal agency means any authority of the United States that is an

``Agency'' under 44 U.S.C. 3502(1), other than those considered to be

independent regulatory agencies, as defined in 44 U.S.C. 3502(10).

FFL (federal firearms licensee) means a person licensed by the

Bureau of Alcohol, Tobacco and Firearms as a manufacturer, dealer, or

importer of firearms.

Firearm has the same meaning as in 18 U.S.C. 921(a)(3).

Licensed dealer means any person defined in 27 CFR 178.11.

Licensed importer has the same meaning as in 27 CFR 178.11.

Licensed manufacturer has the same meaning as in 27 CFR 178.11.

NCIC (National Crime Information Center) means a nationwide

computerized information system of criminal justice data established by

the FBI as a service to local, state, and Federal criminal justice

agencies.

NICS means the National Instant Criminal Background Check System,

which an FFL may contact for information on whether receipt of a

firearm by a person who is not licensed under 18 U.S.C. 923 would

violate Federal or state law.

NICS Index means the database, to be managed by the FBI, containing

information provided by Federal and state agencies about persons

prohibited under Federal law from receiving or possessing a firearm.

The NICS Index is separate and apart from the NCIC and the Interstate

Identification Index (III)

firearm by a person who is not licensed under 18 U.S.C. 923 would

violate Federal or state law.

NICS Index means the database, to be managed by the FBI, containing

information provided by Federal and state agencies about persons

prohibited under Federal law from receiving or possessing a firearm.

The NICS Index is separate and apart from the NCIC and the Interstate

Identification Index (III).

NICS Operations Center means the unit of the FBI that receives

telephone or electronic inquiries from FFLs to perform background

checks, makes a determination based upon available information as to

whether the receipt or transfer of a firearm would be in violation of

state or Federal law, researches criminal history records, tracks and

finalizes appeals, and conducts audits of system use.

NICS Operations Center's regular business hours means the hours of

9 a.m. to 2 a.m., Eastern Time, seven days a week.

NICS Representative means a person who receives telephone inquiries

to the NICS Operations Center from FFLs requesting background checks

and provides a response as to whether the receipt or transfer of a

firearm may proceed or is delayed.

NRI (NICS Record Identifier) means the system-generated unique

number associated with each record in the NICS Index.

NTN (NICS Transaction Number) means the unique number that will be

assigned to each valid background check inquiry received by the NICS.

Its primary purpose will be to provide a means of associating inquiries

to the NICS with the response provided by the NICS to the FFL.

ORI (Originating Agency Identifier) means a nine-character

identifier assigned by the FBI to an agency which has met the

established qualifying criteria for ORI assignment to identify the

agency in transactions on the NCIC System.

Originating Agency means an agency that provides a record to a

database checked by the NICS.

POC (Point of Contact) means a state or local law enforcement

agency serving as an intermediary between an FFL and the system

er

identifier assigned by the FBI to an agency which has met the

established qualifying criteria for ORI assignment to identify the

agency in transactions on the NCIC System.

Originating Agency means an agency that provides a record to a

database checked by the NICS.

POC (Point of Contact) means a state or local law enforcement

agency serving as an intermediary between an FFL and the system. A POC

will receive NICS background check requests from FFLs, check state or

local record systems, perform NICS inquiries, determine whether

matching records provide reason to believe that an individual is

disqualified from possessing a firearm under Federal or state law, and

respond to FFLs with the results of a NICS background check.

Proceed means a NICS response indicating no matching record was

found to prohibit the transfer of a firearm.

Record means any item, collection, or grouping of information about

an individual that is maintained by an agency, including but not

limited to information that disqualifies the individual from receiving

a firearm and that contains his or her name or other personal

identifiers.

STN (State-Assigned Transaction Number) means a unique number that

may be assigned by a POC to each valid background check inquiry.

System means the National Instant Criminal Background Check System

(NICS).

Sec. 25.3 System information.

(a) There is established at the FBI a National Instant Criminal

Background Check System.

(b) The system will be located at the Federal Bureau of

Investigation, 1000 Custer Hollow Road, Clarksburg, West Virginia

26306-0147.

ay be assigned by a POC to each valid background check inquiry.

System means the National Instant Criminal Background Check System

(NICS).

Sec. 25.3 System information.

(a) There is established at the FBI a National Instant Criminal

Background Check System.

(b) The system will be located at the Federal Bureau of

Investigation, 1000 Custer Hollow Road, Clarksburg, West Virginia

26306-0147.

(c) The system manager and address are: Director, Federal Bureau of

Investigation, J. Edgar Hoover F.B.I. Building, 935 Pennsylvania

Avenue, NW, Washington, DC. 20535.

Sec. 25.4 Record source categories.

It is anticipated that most records in the NICS Index will be

obtained from Federal agencies. It is also anticipated that a limited

number of authorized state and local law enforcement agencies will

voluntarily contribute records to the NICS Index. Information in the

NCIC and III systems that will be searched during a background check

will be contributed voluntarily by Federal, state, local, and

international criminal justice agencies.

Sec. 25.5 Validation and data integrity of records in the system.

(a) The FBI will be responsible for maintaining data integrity

during all NICS operations that are managed and carried out by the FBI.

This responsibility includes:

(1) Ensuring the accurate adding, canceling, or modifying of NICS

Index records supplied by Federal agencies;

(2) An automatic rejection of any attempted entry of records into

the NICS Index that contain detectable invalid data elements;

(3) Automatic purging of records in the NICS Index after they are

on file for a prescribed period of time; and

(4) Quality control checks in the form of periodic internal audits

by FBI personnel to verify that the information provided to the NICS

Index remains valid and correct.

tic rejection of any attempted entry of records into

the NICS Index that contain detectable invalid data elements;

(3) Automatic purging of records in the NICS Index after they are

on file for a prescribed period of time; and

(4) Quality control checks in the form of periodic internal audits

by FBI personnel to verify that the information provided to the NICS

Index remains valid and correct.

(b) Each data source will be responsible for ensuring the accuracy

and validity of the data it provides to the NICS Index and will

immediately correct any record determined to be invalid or incorrect.

Sec. 25.6 Accessing records in the system.

(a) FFLs may initiate a NICS background check only in connection

with a proposed firearm transfer as required by the Brady Act. FFLs are

strictly prohibited from initiating a NICS background check for any

other purpose. The process of accessing the NICS for the purpose of

conducting a NICS background check is initiated by an FFL's contacting

the FBI NICS Operations Center (by telephone or electronic dial-up

access) or a POC. FFLs in each state will be advised by the FBI or a

POC whether they are required to initiate NICS background checks with

the NICS Operations Center or the POC and how they are to do so.

(b) Access to the NICS through the FBI NICS Operations Center. FFLs

may contact the NICS Operations Center by telephone only during its

regular business hours. Electronic dial-up access to the NICS will be

provided to a limited number of FFLs at the beginning of the system's

operation. As the system develops its capacity to accept such access, a

larger number of FFLs may be provided electronic dial-up access in the

future. FLLs with electronic dial-up access will be able to contact the

NICS 24 hours each day.

only during its

regular business hours. Electronic dial-up access to the NICS will be

provided to a limited number of FFLs at the beginning of the system's

operation. As the system develops its capacity to accept such access, a

larger number of FFLs may be provided electronic dial-up access in the

future. FLLs with electronic dial-up access will be able to contact the

NICS 24 hours each day.

(c) The FBI NICS Operations Center, upon receiving an FFL telephone

or electronic dial-up request for a background check, will:

(1) Verify the FFL Number and password;

(2) Assign a NICS Transaction Number (NTN) to a valid inquiry and

provide the NTN to the FFL;

(3) Search the relevant databases (i.e., NICS Index, NCIC, III) for

any matching records; and

(4) Provide the following NICS responses based upon the

consolidated NICS search results to the FFL that requested the

background check:

(i) Proceed response, if no disqualifying information was found in

the NICS Index, NCIC, or III.

(ii) Delayed response, if the NICS search finds a record that may

indicate that the prospective purchaser is disqualified from possessing

a firearm by Federal or state law. A ``Delayed'' response to the FFL

indicates that the firearm transfer should not proceed pending receipt

of a follow-up response from the NICS or the expiration of three

business days (exclusive of the day on which the query is made),

whichever occurs first. (Example: An FFL requests a NICS check on a

prospective firearm purchaser at 9 a.m. on Friday and shortly

thereafter receives a ``Delayed'' response from the NICS. Assuming

state offices in the state in which the FFL is located are closed on

Saturday and Sunday and open the following Monday, Tuesday, and

Wednesday, and the NICS has not yet responded with a ``Proceed'' or

``Denied'' response, the FFL may transfer the firearm at 12:01 a.m.

Thursday.)

rearm purchaser at 9 a.m. on Friday and shortly

thereafter receives a ``Delayed'' response from the NICS. Assuming

state offices in the state in which the FFL is located are closed on

Saturday and Sunday and open the following Monday, Tuesday, and

Wednesday, and the NICS has not yet responded with a ``Proceed'' or

``Denied'' response, the FFL may transfer the firearm at 12:01 a.m.

Thursday.)

(iii) Denied response, when at least one matching record is found

in either the NICS Index, NCIC, or III that provides reason to believe

that receipt of a firearm by the prospective purchaser would violate 18

U.S.C. 922 or state law. The ``Denied'' response will be provided to

the requesting FFL by the NICS Operations Center during its regular

business hours after review of any potentially disqualifying

information.

(5) None of the responses provided to the FFL will contain any of

the underlying information in the records checked by the system.

(d) Access to the NICS through POCs. In states where a POC is

designated to process background checks for the NICS, FFLs will contact

the POC to initiate a NICS background check. The POC will notify FFLs

in its state of the means by which FFLs can contact the POC. The NICS

will provide POCs with electronic access to the system 24 hours each

day through the NCIC communication network. Upon receiving a request

for a background check from an FFL, a POC will:

(1) Verify the FFL number;

(2) Enter a purpose code indicating that the query of the system is

for the purpose of performing a NICS background check in connection

with the transfer of a firearm; and

(3) Transmit the request for a background check via the NCIC

interface to the NICS.

(e) Upon receiving a request for a NICS background check, POCs may

also conduct a search of available files in state and local law

enforcement and other relevant record systems, and may provide a unique

State-Assigned Transaction Number (STN) to each valid inquiry for a

background check.

er of a firearm; and

(3) Transmit the request for a background check via the NCIC

interface to the NICS.

(e) Upon receiving a request for a NICS background check, POCs may

also conduct a search of available files in state and local law

enforcement and other relevant record systems, and may provide a unique

State-Assigned Transaction Number (STN) to each valid inquiry for a

background check.

(f) When the NICS receives an inquiry from a POC, a search will be

made of the relevant databases (i.e., NICS Index, NCIC, III) for any

matching record(s), and the NICS will provide an electronic response to

the POC. This response will consolidate the search results of the

relevant databases and will include the NTN. The following types of

responses may be provided by the NICS to a state or local agency

conducting a background check:

(1) No record response, if the NICS determines, through a complete

search, that no matching record exists.

(2) Partial response, if the NICS has not completed the search of

all of its records. This response will indicate the databases that have

been searched (i.e., III, NCIC, and/or NICS Index) and the databases

that have not been searched. It will also provide any potentially

disqualifying information found in any of the databases searched. A

follow-up response will be sent as soon as all the relevant databases

have been searched. The follow-up response will provide the complete

search results.

(3) Single matching record response, if all records in the relevant

databases have been searched and one matching record was found.

(4) Multiple matching record response, if all records in the

relevant databases have been searched and more than one matching record

was found.

on as all the relevant databases

have been searched. The follow-up response will provide the complete

search results.

(3) Single matching record response, if all records in the relevant

databases have been searched and one matching record was found.

(4) Multiple matching record response, if all records in the

relevant databases have been searched and more than one matching record

was found.

(g) Generally, based on the response(s) provided by the NICS, and

other information available in the state and local record systems, a

POC will:

(1) Confirm any matching records; and

(2) Notify the FFL of the NICS response that the transfer may

proceed, is delayed pending further record analysis, or is denied and

include in this notification the NTN and, if applicable, an STN.

(h) In cases where a transfer is denied by a POC, the POC may

provide a denial notification to the NICS. This denial notification

will include the name of the person who was denied a firearm and the

NTN. The information provided in the denial notification will be

maintained in the NICS Audit Log described in Sec. 25.9(b). This

notification may be provided immediately by electronic message to the

NICS (i.e., at the time the transfer is denied) or as soon thereafter

as possible. If a denial notification is not provided by a POC, the

NICS will assume that the transfer was allowed and will destroy its

records regarding the transfer in accordance with the procedures

detailed in Sec. 25.9.

(i) Recording the NTN. FFLs are required to record the NTN they

receive in a NICS response on the appropriate ATF form for audit and

inspection purposes, under 27 CFR 178.124 recordkeeping requirements.

This requirement applies regardless of whether the NTN is provided to

the FFL by the FBI NICS Operations Center or a POC and whether the

transfer of the firearm is completed.

ed in Sec. 25.9.

(i) Recording the NTN. FFLs are required to record the NTN they

receive in a NICS response on the appropriate ATF form for audit and

inspection purposes, under 27 CFR 178.124 recordkeeping requirements.

This requirement applies regardless of whether the NTN is provided to

the FFL by the FBI NICS Operations Center or a POC and whether the

transfer of the firearm is completed.

(j) Access to the NICS Index for purposes unrelated to background

checks required by the Brady Act. Access to the NICS Index for purposes

unrelated to NICS background checks pursuant to 18 U.S.C. 922(t) shall

be limited to uses for the purpose of:

(1) Providing information to Federal, state, or local criminal

justice agencies in connection with the issuance of a permit or license

to possess, acquire, conceal, or transfer a firearm; or

(2) Responding to an inquiry from the ATF in connection with a

civil or criminal law enforcement activity relating to the Gun Control

Act (18 U.S.C. Chapter 44).

Sec. 25.7 Querying records in the system.

(a) The following search descriptors will be required in all

queries of the system for purposes of a background check:

(1) Name;

(2) Sex;

(3) Race;

(4) Complete date of birth; and

(5) State of residence.

(b) A unique numeric identifier may also be provided to search for

additional records based on exact matches by the numeric identifier.

Examples of unique numeric identifiers for purposes of this system are:

Social Security number (to comply with Privacy Act requirements, a

Social Security number will not be required by the NICS to perform any

background check) and miscellaneous identifying numbers (military

number or number assigned by Federal, state, or local authorities to an

individual's record). Additional identifiers that may be requested by

the system after an initial query include height, weight, eye and hair

color, and place of birth

ct requirements, a

Social Security number will not be required by the NICS to perform any

background check) and miscellaneous identifying numbers (military

number or number assigned by Federal, state, or local authorities to an

individual's record). Additional identifiers that may be requested by

the system after an initial query include height, weight, eye and hair

color, and place of birth. At the option of the querying agency, these

additional identifiers may also be included in the initial query of the

system.

Sec. 25.8 System safeguards.

(a) Information maintained in the NICS Index is stored

electronically for use in an FBI computer environment. The NICS central

computer will reside inside a locked room within a secured facility.

Access to the facility will be restricted to authorized FBI personnel

who have identified themselves and their need for access to a system

security officer.

(b) Access to data stored in the NICS is restricted to duly

authorized agencies. The security measures listed in paragraphs (c)

through (f) of this section are the minimum to be adopted by all POCs

and data sources having access to the NICS. Each state's Control

Terminal Agency will provide to the NICS Operations Center a list of

valid ORIs for those agencies that will serve as POCs for the NICS.

(c) State or local law enforcement agency computer centers

designated by a Control Terminal Agency as POCs shall be authorized

NCIC users and shall observe all procedures set forth in the NCIC

Security Policy of 1992 when processing NICS background checks. The

responsibilities of the Control Terminal Agencies and the computer

centers include the following:

(1) The criminal justice agency computer site must have adequate

physical security to protect against any unauthorized personnel gaining

access to the computer equipment or to any of the stored data.

edures set forth in the NCIC

Security Policy of 1992 when processing NICS background checks. The

responsibilities of the Control Terminal Agencies and the computer

centers include the following:

(1) The criminal justice agency computer site must have adequate

physical security to protect against any unauthorized personnel gaining

access to the computer equipment or to any of the stored data.

(2) Since personnel at these computer centers can have access to

data stored in the NICS, they must be screened thoroughly under the

authority and supervision of a state Control Terminal Agency. This

authority and supervision may be delegated to responsible criminal

justice agency personnel in the case of a satellite computer center

being serviced through a state Control Terminal Agency. This screening

will also apply to non-criminal justice maintenance or technical

personnel.

(3) All visitors to these computer centers must be accompanied by

staff personnel at all times.

(4) POCs utilizing a state/NCIC terminal to access the NICS must

have the proper computer instructions written and other built-in

controls to prevent data from being accessible to any terminals other

than authorized terminals.

(5) Each state Control Terminal Agency shall build its data system

around a central computer, through which each inquiry must pass for

screening and verification.

(d) Authorized state agency remote terminal devices operated by

POCs and having access to the NICS must meet the following

requirements:

(1) POCS and data sources having terminals with access to the NICS

must physically place these terminals in secure locations within the

authorized agency;

(2) The agencies having terminals with access to the NICS must

screen terminal operators and must restrict access to the terminals to

a minimum number of authorized employees; and

(3) Copies of NICS data obtained from terminal devices must be

afforded appropriate security to prevent any unauthorized access or

use.

cally place these terminals in secure locations within the

authorized agency;

(2) The agencies having terminals with access to the NICS must

screen terminal operators and must restrict access to the terminals to

a minimum number of authorized employees; and

(3) Copies of NICS data obtained from terminal devices must be

afforded appropriate security to prevent any unauthorized access or

use.

(e) FFL remote terminal devices may be used to transmit queries to

the NICS via electronic dial-up access. The following procedures will

apply to such queries:

(1) The NICS will incorporate a security authentication mechanism

that performs FFL dial-up user

authentication before network access takes place;

(2) The proper use of dial-up circuits by FFLs will be included as

part of the periodic audits by the FBI; and

(3) All failed authentications will be logged by the NICS and

provided to the NICS security administrator.

(f) FFLs may use the telephone to transmit queries to the NICS, in

accordance with the following procedures:

(1) FFLs may contact the NICS Operations Center during its regular

business hours by a telephone number provided by the FBI;

(2) FFLs will provide the NICS Representative with their FFL Number

and password, the type of sale, and the name, sex, race, date of birth,

and state of residence of the prospective buyer; and

(3) The NICS will verify the FFL Number and password before

processing the request.

s may contact the NICS Operations Center during its regular

business hours by a telephone number provided by the FBI;

(2) FFLs will provide the NICS Representative with their FFL Number

and password, the type of sale, and the name, sex, race, date of birth,

and state of residence of the prospective buyer; and

(3) The NICS will verify the FFL Number and password before

processing the request.

(g) The following precautions will be taken to help ensure the

security and privacy of NICS information when FFLs contact the NICS

Operations Center:

(1) Access will be restricted to the initiation of a NICS

background check in connection with the proposed transfer of a firearm.

(2) The NICS Representative will only provide a response of

``Proceed'' or ``Delayed'' (with regard to the prospective firearms

transfer), and will not provide the details of any record information

about the purchaser. In cases where potentially disqualifying

information is found in response to an FFL query, the NICS

Representative will provide a ``Delayed'' response to the FFL. A

follow-up ``Proceed'' or ``Denied'' response will be provided by the

NICS Operations Center during its regular business hours and before the

expiration of three business days (exclusive of the day on which the

query is made) after the FFL query.

(3) The FBI will periodically monitor telephone inquiries to ensure

proper use of the system.

(h) All transactions and messages sent and received through

electronic access by POCs and FFLs will be automatically logged in the

NICS Audit Log described in Sec. 25.9(b). Information in the NICS Audit

Log will include initiation and termination messages, failed

authentications, and matching records located by each search

transaction.

(i) The FBI will monitor and enforce compliance by NICS users with

the system security requirements outlined in the NICS Security

Guidelines.

Sec. 25.9 Retention and destruction of records in the system.

scribed in Sec. 25.9(b). Information in the NICS Audit

Log will include initiation and termination messages, failed

authentications, and matching records located by each search

transaction.

(i) The FBI will monitor and enforce compliance by NICS users with

the system security requirements outlined in the NICS Security

Guidelines.

Sec. 25.9 Retention and destruction of records in the system.

(a) The NICS will retain indefinitely NICS Index records that

indicate that receipt of a firearm by the individuals to whom the

records pertain would violate Federal or state law unless such records

are canceled by the originating agency. In cases where a firearms

disability is only temporary, as defined by 27 CFR part 178, the NICS

will automatically purge the pertinent record on a specified date as

determined by the referenced regulation. Unless otherwise removed,

records contained in the NCIC and III files that are accessed during a

background check will remain in those files in accordance with

established policy.

(b) The FBI will maintain an automated NICS Audit Log of all

incoming and outgoing transactions that pass through the system.

(1) The Audit Log will record the following information: type of

transaction (inquiry or response), line number, time, date of inquiry,

header, message key, ORI, and inquiry/response data (including the name

and other identifying information about the prospective purchaser and

the NTN). After eighteen months, if the transfer is allowed, all

information in the Audit Log related to the person or the transfer will

be destroyed, other than the NTN assigned to the transfer and the date

the number was assigned. Audit Log records relating to denials will be

retained for 10 years, after which time they will be transferred to a

Federal Records Center for storage

chaser and

the NTN). After eighteen months, if the transfer is allowed, all

information in the Audit Log related to the person or the transfer will

be destroyed, other than the NTN assigned to the transfer and the date

the number was assigned. Audit Log records relating to denials will be

retained for 10 years, after which time they will be transferred to a

Federal Records Center for storage. The NICS will not be used to

establish any system for the registration of firearms, firearm owners,

or firearm transactions or dispositions, except with respect to persons

prohibited from receiving a firearm by 18 USC 922 (g) or (n) or by

state law.

(2) The Audit Log will be used to analyze system performance,

assist users in resolving operational problems, support the appeals

process, or support audits of the use of the system. Searches may be

conducted on the Audit Log by time frame, i.e., by day or month, or by

a particular state or agency. The NICS, including the NICS Audit Log,

may not be used by any department, agency, officer, or employee of the

United States to establish any system for the registration of firearms,

firearm owners, or firearm transactions or dispositions. The Audit Log

will be monitored and reviewed on a regular basis to detect any

possible misuse of the NICS data.

(c) The following records in the FBI-operated terminals of the NICS

will be subject to the Brady Act's requirements for destruction:

(1) All inquiry and response messages (regardless of media)

relating to a background check that results in an allowed transfer; and

(2) All information (regardless of media) contained in the NICS

Audit Log relating to a background check that results in an allowed

transfer.

owing records in the FBI-operated terminals of the NICS

will be subject to the Brady Act's requirements for destruction:

(1) All inquiry and response messages (regardless of media)

relating to a background check that results in an allowed transfer; and

(2) All information (regardless of media) contained in the NICS

Audit Log relating to a background check that results in an allowed

transfer.

(d) The following records of state and local law enforcement units

serving as POCs will be subject to the Brady Act's requirements for

destruction:

(1) All inquiry and response messages (regardless of media)

relating to the initiation and result of a check of the NICS that

allows a transfer; and

(2) All other records relating to the person or the transfer

created as a result of a NICS check that are not part of a record

system created and maintained in accordance with state law.

Sec. 25.10 Correction of erroneous system information.

(a) An individual may request the reason for the denial from the

agency that conducted the check of the NICS (the ``denying agency,''

which will be either the FBI or the state or local law enforcement

agency serving as a POC). The FFL will provide to the denied individual

the name and address of the denying agency and the unique transaction

number (NTN or STN) associated with the NICS background check. The

request for the reason for the denial must be made in writing to the

denying agency.

(b) The denying agency will respond to the individual with the

reasons for the denial within five business days of its receipt of the

individual's request. The response should indicate whether additional

information or documents are required to support an appeal, such as

fingerprints in appeals involving questions of identity (i.e., a claim

that the record in question does not pertain to the individual who was

denied).

respond to the individual with the

reasons for the denial within five business days of its receipt of the

individual's request. The response should indicate whether additional

information or documents are required to support an appeal, such as

fingerprints in appeals involving questions of identity (i.e., a claim

that the record in question does not pertain to the individual who was

denied).

(c) If the individual wishes to challenge the accuracy of the

record upon which the denial is based, or if the individual wishes to

assert that his or her rights to possess a firearm have been restored,

he or she may make application first to the denying agency, i.e.,

either the FBI or the POC. If the denying agency is unable to resolve

the appeal, the denying agency will so notify the individual and shall

provide the name and address of the agency that originated the document

containing the information upon which the denial was based. The

individual may then apply for correction of the record directly to the

agency from which it originated. If the record is corrected as a result

of the appeal to the originating agency, the individual shall so notify

the denying

agency, which will, in turn, verify the record correction with the

originating agency (assuming the originating agency has not already

notified the denying agency of the correction) and take all necessary

steps to correct the record in the NICS.

from which it originated. If the record is corrected as a result

of the appeal to the originating agency, the individual shall so notify

the denying

agency, which will, in turn, verify the record correction with the

originating agency (assuming the originating agency has not already

notified the denying agency of the correction) and take all necessary

steps to correct the record in the NICS.

(d) As an alternative to the above procedure, the individual may

elect to direct his or her challenge to the accuracy of the record, in

writing, to the FBI, NICS Operations Center, Criminal Justice

Information Services Division, 1000 Custer Hollow Road, Module C-3,

Clarksburg, West Virginia 26306-0147. Upon receipt of the information,

the FBI will investigate the matter by contacting the POC that denied

the transaction or the data source. The FBI will request the POC or the

data source to verify that the record in question pertains to the

individual who was denied or verify or correct the challenged record.

The FBI will consider the information it receives from the individual

and the response it receives from the POC or the data source. If the

record is corrected as a result of the challenge, the FBI shall so

notify the individual, correct the erroneous information in the NICS,

and give notice of the error to any Federal department or agency or any

state that was the source of such erroneous records.

(e) Upon receipt of notice of the correction of a contested record

from the originating agency, the FBI or the agency that contributed the

record shall correct the data in the NICS and the denying agency shall

provide a written confirmation of the correction of the erroneous data

to the individual for presentation to the FFL. If the appeal of a

contested record is successful and less than thirty (30) days have

transpired since the initial check, and there are no other

disqualifying records upon which the denial was based, the NICS will

communicate a ``proceed'' response to the FFL