National Instant Criminal Background Check System (NICS) Operations 2013

The mission of the FBI is to protect and defend the United States against terrorist and foreign intelligence threats, to uphold and enforce the criminal laws of the  United States, and to provide leadership and criminal justice services to federal, state, municipal, and international agencies and partners.

Criminal Justice Information Services (CJIS) Division
The mission of the CJIS Division is to equip our law enforcement, national security, and intelligence community partners with the criminal justice information they need to protect the United States while preserving civil liberties.

NICS Section
The mission of the NICS Section is to enhance national security and public safety by providing the timely and accurate determination of a person’s eligibility to possess firearms and/or explosives in accordance with federal law.

Executive Summary

The FBI Criminal Justice Information Services Division’s National Instant Criminal Background Check System (NICS) Section has processed firearm background checks since November 30, 1998. Since that time, the experience gained enhances national security and public safety by identifying, developing, and implementing improvements in support of the NICS Section’s mission. Striving to provide effective and efficient service to its customers, highlights of the NICS operations in 2013 include the following:

• From the inception of the NICS on November 30, 1998, to December 31, 2013, a total of 181,567,975 transactions have been processed. Of these, 85,196,840 transactions were processed by the NICS Section and 96,371,135 transactions were processed by state users. Of the 21,093,273 background checks processed through the NICS in 2013, a total of 9,315,963 transactions were processed by the NICS Section and 11,777,310 were processed by state users.
• Denials issued by the NICS Section totaled 88,203. Since inception of the NICS on November 30, 1998, the NICS Section has denied a total of 1,075,781 transactions. 
• The NICS Section achieved a 91.82 percent Immediate Determination Rate, surpassing the U.S. Attorney General-mandated goal of 90 percent or better.
• The NICS Section processed 98,688 explosives transactions. Denials issued by the NICS Section totaled 2,403.
• The NICS Section processed 2,596,745 of the total 7,360,400 firearms and explosives transactions conducted via the Internet-based NICS E-Check. The amount of transactions processed in 2013 is a 66.25 percent increase over those processed in 2012.
• The NICS Index expanded in 2012 to include state-prohibiting records. The expansion was a contributing factor in the number of records maintained in the NICS Index. As of December 31, 2013, the NICS Index records totaled 11,166,690, which is an increase of 2,842,759 records over December 31, 2012.
• The NICS Section staff obtained approximately 29,328 final dispositions which were posted to criminal history records and disseminated over 26,680 dispositions to state agencies to assist in updating state records. As of December 31, 2013, the NICS Section staff had obtained approximately 859,000 record-completing dispositions.
• The Voluntary Appeal File (VAF) permits the NICS Section to maintain information about persons to document their eligibility to receive firearms. As of December 31, 2013, the VAF maintained approximately 28,000 entries with an active Unique Personal Identification Number (UPIN). From July 2004 through December 31, 2013, over 76,000 background checks have been processed using a UPIN.
• The NICS availability averaged 99.89 percent.
• There were 3,375 firearm retrieval referrals forwarded to the Bureau of Alcohol, Tobacco, Firearms and Explosives by the NICS Section.

As a result of the passage of the Gun Control Act of 1968, certain individuals, such as convicted felons, were prohibited from possessing firearms. To strengthen federal firearms regulations, the Brady Handgun Violence Prevention Act of 1993 (Brady Act) required the U.S. Attorney General to establish the National Instant Criminal Background Check System (NICS) for Federal Firearms Licensees (FFL) to contact by telephone, or other electronic means, for information to be supplied immediately as to whether the transfer of a firearm would violate Section 922 (g) or (n) of Title 18, United States Code (U.S.C.), or state law.

The FBI developed the NICS through a cooperative effort with the Bureau of Alcohol, Tobacco, Firearms and Explosives (ATF); the Department of Justice; and local and state law enforcement agencies. On November 30, 1998, the NICS, designed to immediately respond to background check inquiries for prospective firearm transferees, was activated. For an FFL to initiate a NICS check, the prospective firearms transferee must complete and sign an ATF Form 4473, Firearms Transaction Record. The ATF Form 4473, which collects the subject’s name and descriptive data (e.g., date of birth, sex, race, state of residence, country of citizenship), also elicits information that may immediately indicate to an FFL the subject is a prohibited person, thereby negating the need to continue the processing of the background check. 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 managed by the FBI Criminal Justice Information Services (CJIS) Division. The databases searched during the background check process are:

Interstate Identification Index (III): The III maintains subject criminal history records. As of December 31, 2013, the III records available to be searched by the NICS during a background check numbered 66,679,543.

National Crime Information Center (NCIC): The NCIC contains data on persons who are the subjects of protection orders or active criminal warrants, immigration violators, and others. As of December 31, 2013, the NCIC records available to be searched by the NICS during a background check numbered 5,463,159.

NICS Index: The NICS Index, a database created specifically for the NICS, collects and maintains information contributed by local, state, tribal, and federal agencies pertaining to persons prohibited from receiving or possessing a firearm pursuant to state and federal law. Typically, the records maintained in the NICS Index are not available via the III or the NCIC. As of December 31, 2013, there were 11,166,690 records in the NICS Index.

Department of Homeland Security’s U.S. Immigration and Customs Enforcement (ICE): The relevant databases of the ICE are searched for non-U.S. citizens attempting to receive firearms in the United States. In 2013, the NICS Section and the Point-of-Contact (POC) states (states that have implemented a state-based NICS program) sent 118,183 such queries to the ICE. From February 2002 to December 31, 2013, the ICE conducted over 517,943 queries in support of the NICS.

2013 NICS Operations

In the majority of cases, the results of a background check yield definitive information regarding a subject’s eligibility when the firearm background is initiated. However, not all inquiries can be provided a final status during the initial contact with the NICS Section. Many transactions are delayed because of incomplete criminal history records, e.g., a missing disposition or a missing crime classification status (felony or misdemeanor), which is needed to determine if a transaction may be proceeded or must be denied.

Where a validly matched record is potentially prohibiting but is incomplete, the NICS Section must search for the information needed to complete the record. This process often requires outreach to local, state, tribal, and/or federal agencies (e.g., arresting agencies, court systems). The Brady Act allows the FFL to legally transfer the firearm if the NICS transaction is not resolved within three business days. In some instances, the potentially prohibiting records are completed and the NICS transactions are determined to be denials. The NICS Section notifies the FFL of the denial and determines if the firearm was transferred to the buyer. If it was transferred, the NICS Section transmits this information to the ATF for further handling as a firearm retrieval referral.

Individuals who believe they are wrongfully denied the transfer of a firearm can appeal the deny decision. The “denying agency” will be either the FBI or the state agency serving as a POC for the NICS Section. In the event the denying agency is a POC state agency, the appellant can elect to appeal to either the FBI or the POC.

The provisions for appeals are outlined in Title 28, Code of Federal Regulations (C.F.R.), Part 25.10, and Subsection 103(f) and (g) and Section 104 of Public Law 103-159, Sections 103 and 104.

The Safe Explosives Act, enacted in November 2002 as part of the Homeland Security Act, requires that persons who export, 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 NICS background check. The Safe Explosives Act became effective on May 24, 2003. Background checks for explosives permits are initiated by the ATF; however, they are processed through the NICS by the NICS Section.

Extensive measures are taken to ensure the security and the integrity of NICS information. The U.S. Attorney General’s regulations  regarding the privacy and security of the NICS is available on the Internet at www.fbi.gov/hq/cjisd/nics.htm.

Heading into 2014, the NICS Section provided service to 47,229 FFLs conducting business in 36 states, five U.S. territories, and the District of Columbia. The FFLs contact the NICS either telephonically or through the NICS E-Check via the Internet to initiate the required background checks. The majority of the calls from the FFLs are received and initially processed via one of the three NICS Contracted Call Centers. For seven of the 36 states, the NICS Section processes all long gun transactions, while the states conduct their own background checks on handguns and handgun permits. Additionally, 13 states participate with the NICS in a Full-POC capacity by performing all background checks for their states’ FFLs.

Alternate Permits

Certain state-issued firearm permits, such as carry concealed weapon permits and permits to purchase, may be qualified by the ATF as permits that suffice in lieu of a NICS background check at the point of sale/transfer. To qualify for an alternate permit, the applicant, in addition to meeting the conditions required by state law, must undergo a NICS background check as part of the permit-issuing/renewal process. The issuing state determines if the subject is eligible to receive a firearm permit, including those given alternate permit status by the ATF. An individual’s presentation of an active alternate permit to an FFL when attempting to purchase a firearm precludes the need for the FFL to initiate the otherwise required NICS background check for the permit holder during the life of the permit. However, the renewal of an alternate permit requires a background check be conducted via the NICS as part of the permit renewal process. Permits that qualify in lieu of a NICS background check are required by regulation to be active for no more than a five-year period. 

In order to operate as designed, the NICS is dependent on the availability of the NCIC and the III. The unavailability of either of these systems during the background check process can impact the performance of the NICS even though the NICS is fully operational. The NICS Section, with the ongoing assistance and technical support of the CJIS Division’s Information Technology Management Section, works 24/7 to maximize the availability of the NICS in addition to the NCIC and the III.

For five of the 12 months in 2013, the NICS reported a 100 percent level of system availability. Factoring in the remaining seven months of NICS service, the average system availability for the NICS in 2013 continued to be 99.89 percent (see chart below).

The rate of calls immediately proceeded at the NICS Contracted Call Centers plus the rate of transaction determinations (proceed or deny) provided by the NICS Section’s employees while the FFL is still on the telephone comprise the IDR. The U.S. Attorney General requires the NICS Section to maintain a 90 percent or better rate of immediate determinations. The IDR in 2013 averaged 91.82 percent.

¹ November 30, 1998, through December 31, 1998.

NICS E-Check

Background checks not initiated at one of the NICS Contracted Call Centers are submitted to the FBI via the NICS E-Check which provides the capability of conducting unassisted background checks electronically through a secure connection.

As of December 31, 2013, an estimated 9,975 FFLs were enrolled with the NICS via the NICS E-Check, and the number of users (FFLs and their employees) accessing the NICS E-Check was an estimated 21,250. In addition to the FFLs enrolled, just less than ten major retailers conduct firearm background checks via the NICS E-Check. As of December 31, 2013, a total of 7,360,400 firearms and explosives background checks were processed since June 18, 2002, via the NICS E-Check. A total of 2,596,745 NICS E-Check transactions were processed in 2013. Of the 2013 NICS E-Check transactions, 2,498,075 were firearms inquiries.

NICS Peak Season

The NICS Section observes an increase in transaction activity associated with major hunting seasons and year-end holidays. Each year, since the inception of the NICS, the day after Thanksgiving continues to be a day that the NICS processes a high volume of firearm background checks. In 2013, the day after Thanksgiving ranked as the sixth highest day, when 144,758 firearms background checks were processed by the NICS (see chart below).  

Federal Prohibitors

A deny decision indicates the prospective firearms transferee or another individual with a similar name and/or similar descriptive features was matched with either federally prohibiting criteria or state-prohibiting criteria. Federal law prohibits, from possessing or receiving a firearm, any person who:

18 U.S.C. §922 (g) (1)

Has been convicted in any court of a crime punishable by imprisonment for a term exceeding one year;

18 U.S.C. §922 (g) (2)

Is a fugitive from justice;

18 U.S.C. §922 (g) (3)

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

18 U.S.C. §922 (g) (4)

Has been adjudicated as a mental defective or committed to a mental institution;

18 U.S.C. §922 (g) (5)

Is illegally or unlawfully in the United States;

18 U.S.C. §922 (g) (6)

Has been discharged from the Armed Forces under dishonorable conditions;

18 U.S.C. §922 (g) (7)

Having been a citizen of the United States, has renounced U.S. citizenship;

18 U.S.C. §922 (g) (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;

18 U.S.C. §922 (g) (9)

Has been convicted in any court of a misdemeanor crime of domestic violence;

18 U.S.C. §922 (n)

Is under indictment/information for a crime punishable by imprisonment for a term exceeding one year.

Federal Denials

When a NICS background check matches a record holder to the prospective firearms transferee, the NICS Section determines if a federal prohibitor exists; however, if a federal prohibitor does not exist, the NICS Section employee processing the background check must further review the record match(es) to determine if any applicable state law renders the prospective firearms transferee prohibited. From the inception of the NICS on November 30, 1998 through December 31, 2013, the NICS Section has rendered 1,075,781 firearm denials. Of these, 88,203 denial decisions were provided in 2013. Historically, as well as specifically in 2013, 18 U.S.C. §922(g)(1) is the leading reason for NICS Section denials.

Out of a Hundred Checks

Pursuant to 28 C.F.R., §25.6, based on the information returned in response to a NICS background check, the NICS Section provides either a proceed, a deny, or a delay transaction determination to the FFL. If the NICS Section cannot determine a proceed or a deny response during the FFL’s initial contact, the transaction is delayed. From January 1 through December 31, 2013, approximately 8 percent of all transactions processed were given an initial delay status.

When a NICS transaction is delayed, the Brady Act allows the FFL to legally transfer the firearm if the NICS transaction is not resolved within three business days. However, the NICS Section continues to search for the information necessary to make a final determination until the transaction purges after 88 days.

Firearm Retrieval Referrals

Because of the NICS Section’s commitment to public safety and national security, the search for needed disposition information continues beyond the three business days to provide a determination as stated in the Brady Act. In some instances, the information is subsequently obtained and a final status determined; however, if the final status (determined after the lapse of three business days) results in a deny decision and the NICS Section is advised by the FFL that the firearm was transferred, then the ATF is notified a prohibited person is in possession of a firearm. In 2013, the NICS Section referred 3,375 firearm retrieval actions to the ATF.

NICS Appeals and Voluntary Appeal File (VAF)

In 2013, approximately 0.95 percent of the firearm background checks processed by the NICS Section received a final transaction status of deny. Pursuant to the Brady Act, any person who believes they were wrongfully denied the transfer of a firearm, based on a record returned in response to a NICS background check, can request an appeal of the decision. An appeal is defined as “a formal procedure to challenge the denial of a firearm transfer.” Pursuant to 28 C.F.R., §25.2, “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).” In the alternative, per 28 C.F.R., §25.2, an individual denied by a POC state can elect to submit an appeal to the NICS Section.

On September 11, 2009, the NRC issued guidelines for the use of firearms by licensees’ and certificate holders’ security personnel, as authorized by section 161A of the Atomic Energy Act of 1954, as amended (42 U.S.C. § 2201a). On June 5, 2013, the Commission issued an order (EA‑13-0092) designating a class of licensed facilities that were eligible to apply to use the authority granted by section 161A. Section 161A requires a firearms background check for armed security officers at designated NRC licensees. These licensees applied for the authority provided by Congress under section 161A and, thus, conduct a firearms background check on both current and prospective security officers, whose official duties require access to firearms.

When a NICS background check is conducted, the name and descriptive information of a prospective firearms transferee is searched against the name and descriptive information of subjects of records maintained in the databases searched by the NICS. In addition to the NCIC and the III, a search of the NICS Index is conducted. 

Prior to April 16, 2012, the NICS Index was a database of records developed by the FBI exclusively for the NICS Section that collects and maintains records voluntarily submitted by local, state, tribal, and federal agencies of persons who are federally prohibited. On April 16, 2012, the functionality of the NICS Index was expanded to include state-prohibiting records, thereby providing the NICS Section and state users with the ability to effectively and efficiently identify state-prohibiting information at a national level. All records in the NICS Index are now either state or federally disqualifying and will prohibit the transfer of a firearm. 

Typically, the records submitted to the NICS Index are not available from the NCIC or the III, or may be available but cannot be updated in a manner to readily indicate to a user the existence of a state and federal firearms prohibition. Making such records available via the NICS Index provides the user with an immediate indication the record, when matched to the prospective firearm transferee, has already been validated to be state and federally disqualifying. This “pre-validation,” in turn, often eliminates an otherwise lengthy review process where research and evaluation are performed to determine if the record is prohibiting and, ultimately, if the subject is eligible to receive or possess firearms.

Since its implementation, the NICS Section has dedicated numerous resources toward populating the NICS Index, specifically by:

• training and educating users of the NICS;
• participating and interacting at various conferences and seminars;
• establishing NICS Liaison Specialists within the NICS Section who, being knowledgeable regarding the NICS processes, are available to provide real-time assistance;
• offering legal services and guidance for states in pursuance of making prohibited record information available to the NICS; and
• offering technical guidance and support.

³ The Federally Denied Persons File is compiled of individuals that are predetermined to have firearm prohibitions without listing the specific category.