PAPERWORK REDUCTION ACT SUBMISSION
Supporting Statement
Agency: Federal Bureau of Investigation
Title: National Instant Criminal Background Check System (NICS)
Forms: Federal Firearms Licensee (FFL) Enrollment/National Instant Criminal Background Check System (NICS) Electronic Check (E-Check) Enrollment Form
Federal Firearms Licensee (FFL) Officer/Employee Acknowledgment of Responsibilities under the National Instant Criminal Background Check System (NICS) Form
OMB No: 1110-0026
Prepared by: Natalie N. Snider
Management and Program Analyst
Federal Bureau of Investigation
Criminal Justice Information Services Division
National Instant Criminal Background Check System Section
Module A-3
1000 Custer Hollow Road
Clarksburg, WV 26306
Telephone: (304) 625-7468
Fax: (304) 625-2356
The FBI Criminal Justice Information Services (CJIS) Division's National Instant Criminal Background Check System (NICS) Section is requesting the Office of Management and Budget (OMB) approve the Paperwork Reduction Act submission for an extension of the Federal Firearms Licensee (FFL) Enrollment/NICS Electronic Check (E-Check) Enrollment Form and the Federal Firearms Licensee (FFL) Officer/Employee Acknowledgment of Responsibilities under the National Instant Criminal Background Check System (NICS) Form. Minor revisions have been made to the forms.
The Federal Firearms Licensee (FFL) Enrollment/National Instant Criminal Background Check System (NICS) Electronic Check (E-Check) Enrollment Form and the directions for completing the form continue to be maintained on a two-sided, single-page document. The only new information requested is the physical address of the FFL, which is requested to be provided in block seven of the form. The order of some of the questions were changed to improve the document flow. The questions were renumbered and information regarding the completion of blocks 7, 8, and 14 were clarified.
The Federal Firearms Licensee (FFL) Officer/Employee Acknowledgment of Responsibilities under the National Instant Criminal Background Check System (NICS) Form remains a one-page form. The directions for the form continue to be contained on a two-sided, single-page document. These two forms are part of a packet that is sent to new FFLs upon their request to enroll with the NICS for the purposes of conducting firearms background checks.
The Federal Firearms Licensee (FFL) Enrollment/National Instant Criminal Background Check System (NICS) Electronic Check (E-Check) Enrollment Form is necessary to register new FFLs with the NICS so that the FFLs may be able to access the NICS via telephone and/or the Internet via the NICS E-Check to initiate NICS checks. It will also be necessary for some FFLs who are already enrolled with the NICS to register for the NICS E-Check only if they wish to conduct NICS checks via the Internet. Once completed, this form is sent to the NICS Section for the enrollment process to be concluded. The enrollment process in a one-time requirement for an FFL, unless the FFL transfers their operation to new ownership. If that were to occur, a new form would be required to be completed and forwarded to the NICS Section for processing in order for the FFL to be able to conduct NICS checks.
The Federal Firearms Licensee (FFL) Officer/Employee Acknowledgment of Responsibilities under the National Instant Criminal Background Check System (NICS) Form is required to be signed by all of the FFL's employees who conduct NICS checks. The directions section includes: use of the NICS, access to the NICS, disclosure, audits, and FFL data integrity. All completed copies of the form are kept at the FFL's place of business.
The NICS Section requests to continue the assigned OMB number 1110-0026 on both forms as they are distributed together and both must be completed in order to legally gain and maintain access to initiate NICS checks.
A. JUSTIFICATION
Circumstances of the collection
In November 1993, the Brady Handgun Violence Prevention Act (Brady Act), Public Law 103-159, requiring FFLs to request background checks on individuals attempting to purchase a firearm, was signed into law. The permanent provisions of the Brady Act, which went into effect on November 30, 1998, required the United States Attorney General to establish the NICS that the FFLs may contact by telephone or other electronic means in addition to the telephone for information to be supplied within three business days on whether the receipt of a firearm by a prospective transferee would violate Section 922 (g) or (n) of Title 18, United States Code (U.S.C.), or state law.
The FFLs serviced by the FBI currently contact the NICS Section by using a toll-free number and providing the requisite information to a service representative who initiates the check on their behalf. Furthermore, Title 28, Code of Federal Regulations (C.F.R.), Part 25, Subpart A (The NICS,) allows for the development of other electronic means of contact as alternatives in addition to the telephone. Therefore, from early in the NICS development, the NICS Section's vision has included providing the FFLs with an alternative means, commonly referred to as “electronic access,” to initiate NICS checks.
The NICS Section, in a joint effort with the CJIS Division's Information Technology Management Section, Lockheed Martin Energy Systems, Science Applications International Corporation, and an FFL focus group developed the NICS E-Check. This function enables the FFLs to initiate an unassisted NICS background check for firearm transfers via the Internet.
An enrollment form for a prospective FFL to enroll with the NICS to initiate gun checks either by phone, by the NICS E-Check, or by both means has been developed and will be available to the FFLs by mail or as a downloadable document on the NICS Web site. This form is the Federal Firearms Licensee (FFL) Enrollment/National Instant Criminal Background Check System (NICS) Electronic Check (E-Check) Enrollment Form.
The Federal Firearms Licensee (FFL) Officer/Employee Acknowledgment of Responsibilities under the National Instant Criminal Background Check System (NICS) Form is to be read and signed by all of the FFL's employees who conduct NICS checks. All completed copies of the form are kept at the FFL's place of business.
The NICS Section requests to continue to keep the same OMB number 1110-0026 on both forms as they are distributed together and both must be completed in order for the FFL to be enrolled in the NICS. Only enrolled FFLs can legally gain and maintain access to initiate NICS checks.
Purpose and Use of the Information
The information collected on the Federal Firearms Licensee (FFL) Enrollment/National Instant Criminal Background Check System (NICS) Electronic Check (E-Check) Enrollment Form is necessary for enrollment of the FFLs so that the FFL may access the NICS in order to legally initiate NICS checks. Without being enrolled as an authorized user, the FFL cannot request a NICS check. Congress required the United States Attorney General to ensure the privacy and security of the system as they recognized the possibility that the system could be used improperly; therefore, the NICS must be able to verify that an FFL is authorized to access the NICS. Information from the enrollment form will be entered into the NICS by NICS Section employees and can be viewed by NICS Section employees only. Verification of the information when a NICS check is conducted will protect the integrity and security of the NICS and protect the privacy and security of the FFL's information provided to the NICS. The form only needs completed one time unless the business is transferred to a new ownership. If that were to occur, a new form would need completed and sent to the NICS Section.
Additionally, the Federal Firearms Licensee (FFL) Officer/Employee Acknowledgment of Responsibilities under the National Instant Criminal Background Check System (NICS) Form is a legal document which must be read and signed by all FFLs and their employees serviced by the NICS Section as an acknowledgment of their rights, responsibilities, and obligations as authorized users of the NICS. Under the authority of the Brady Act, Title18, U.S.C., Chapter 44, as implemented by Title 28, C.F.R., Part 25, the FBI requires completion of the acknowledgment statement on the form by all FFLs as a condition of being granted NICS inquiry privileges. The NICS has been established within the CJIS Division for the purpose of performing instant background checks on prospective firearm transferees. The primary purpose of this acknowledgment is to ensure that FFLs accessing and using the NICS understand and accept the obligations and responsibilities.
This acknowledgment will be used to: identify and validate those FFLs who may be granted NICS inquiry privileges; to legally obligate the FFL to comply with these obligations and responsibilities; and as evidence of an FFL's knowledge and acceptance of these obligations and responsibilities whenever such matters may be in issue. Completion of this acknowledgment on the enrollment form by an FFL is voluntary, but an FFL who does not complete this acknowledgment will not be granted access to the NICS. All Users violating Title 28, C.F.R., Part 25, Subpart A, shall be subject to a fine not to exceed $10,000 and subject to cancellation of NICS inquiry privilege for misuse or unauthorized access as outlined in Title 28, C.F.R., Part 25, Subpart A, Section 25.11. This form may be duplicated as required and completed copies of this form must be retained by the FFL in their place of business. This form is not to be returned to the NICS Section.
3. Use of Automated, Electronic, Mechanical, or Technological Collection of
Techniques
The Federal Firearms Licensee (FFL) Enrollment/National Instant Criminal Background Check
System (NICS) Electronic Check (E-Check) Enrollment Form is available to the FFL by mail (in
the initial enrollment packet); by the FFL calling the Customer Service Staff at the NICS Section
to have a copy mailed; by requesting a copy via the NICS Fax-on-Demand functionality; or by
the FFL downloading a copy from the Internet. The Respondents (FFLs) must mail the Federal
Firearms Licensee (FFL) Enrollment/National Instant Criminal Background Check System
(NICS) Electronic Check (E-Check) Enrollment Form back to the NICS Section as an original
signature must be retained on file by the NICS because the technology does not provide the
capability to capture the signature electronically. If the applicant is signing up to be an FFL only,
without a request to sign up for the NICS E-Check, it would be permissible for the form to be
faxed or mailed. The Federal Firearms Licensee (FFL) Officer/Employee Acknowledgment of
Responsibilities under the National Instant Criminal Background Check System (NICS) Form is
also available to the FFL by mail in the initial enrollment packet, by the FFL calling the
Customer Service Staff at the NICS Section to have a copy mailed, by requesting a copy via the
NICS Fax-on-Demand functionality, or by the FFL downloading a copy from the Internet. Once
completed, the form remains with the FFL to be kept on file to indicate that all employees have
read and understood the responsibilities of being a NICS user.
4. Efforts to Identify Duplication
Both the Federal Firearms Licensee (FFL) Officer/Employee Acknowledgment of
Responsibilities under the National Instant Criminal Background Check System (NICS) Form
and the Federal Firearms Licensee (FFL) Enrollment/National Instant Criminal Background
Check System (NICS) Electronic Check (E-Check) Enrollment Form will be sent to those FFLs
to complete that have previously enrolled with the NICS or the NICS E-Check. They will also be
sent to the FFLs upon request. These forms are only required to be completed one time;
therefore, there would be no duplication. The only time the forms would be completed a second
time would be if there would be a change in ownership of the FFL's business. In that event, the
NICS Section would have to be notified and a new form must be signed. As of June 26, 2009,
the number of FFLs enrolled to conduct NICS background checks is approximately 38,663. The
number of FFLs enrolled in the NICS E-Check as of June 26, 2009, is 2,083.
The FFLs have already completed these forms previously and will not be required to do
so again unless the business goes under new ownership. Only those FFLs who did not receive a
mailing will be sent enrollment packets in the future; therefore, there will be no duplication.
5. Impact on Small Business
The collection of information will not have a significant impact on small businesses.
6. Consequences of not Collecting Data
The Federal Firearms Licensee (FFL) Enrollment/National Instant Criminal Background Check
System (NICS) Electronic Check (E-Check) Enrollment Form will be filled out only once, unless
the business goes under new ownership. If that were to occur, a new form would need completed
and sent to the NICS Section. Without using this form, an FFL could not be enrolled as an
authorized user; thus, the FFL would not be able to request a NICS check. If the Federal
Firearms Licensee (FFL) Officer/Employee Acknowledgment of Responsibilities under the
National Instant Criminal Background Check System (NICS) Form are not collected, the FBI will
be unable to verify that the FFL has been apprized of their legal rights and responsibilities as
authorized users of the NICS. In the event of misuse of the system, the FBI would be unable to
prosecute the misuser if there is no legally binding evidence that the FFL understood which uses
are authorized and which are not. These forms also will be filled out only once.
7. Special Circumstances
The Federal Firearms Licensee (FFL) Enrollment/National Instant Criminal Background Check
System (NICS) Electronic Check (E-Check) Enrollment Form will be filled out only once, unless
the business goes under new ownership. The Federal Firearms Licensee (FFL) Officer/Employee
Acknowledgment of Responsibilities under the National Instant Criminal Background Check
System (NICS) Form can be reproduced and are to be completed by all employees of each FFL
that will be initiating NICS checks. The completed forms are to be kept on file at the FFL's place
of business indefinitely.
8. Outside Consultation
The FBI contacted the Bureau of Alcohol, Tobacco, Firearms and Explosives (ATF) to review
the data collection instrument and to provide feedback.
9. Payment to Respondents
There is no payment made or gift to an individual who provides the required information to the
NICS.
10. Assurance of Confidentiality
All information will be held confidential in accordance with Title 42, U.S.C. Section 3789 (g).
Information will be utilized by the NICS solely in connection with firearm background checks
conducted through the Brady Act and the regulations promulgated thereunder.
11. Justification for Sensitive Questions
The only question on either form that would be of a sensitive nature would be mother's maiden
name. The maiden name is requested as a security feature of the NICS E-Check enrollment.
This will be used to verify the identity of the NICS E-Check user. This protects the integrity of
the NICS and protects the FFL's information.
12. Estimates of Hour Burden
The average response time for reading the directions for Federal Firearms Licensee (FFL)
Enrollment/National Instant Criminal Background Check System (NICS) Electronic Check (E-
Check) Enrollment Form is estimated to be two minutes; time to complete the form is estimated
to be three minutes; and the time it takes to assemble, mail, or fax the form to the FBI is
estimated to be three minutes, for a total of eight minutes. It is estimated that enrollment occurs
at approximately 500 per month for a total of 6,000 per year. The average hour burden for this
specific form is 6,000 x 8 minutes/60 = 800 hours.
The Federal Firearms Licensee (FFL) Officer/Employee Acknowledgment of Responsibilities
under the National Instant Criminal Background Check System (NICS) Form takes
approximately three minutes to read the responsibilities and two minutes to complete the for
for a total of five minutes. The average hour burden for this specific form is 6,000 x 5
minutes/60 = 500 hours. The accompanying letter mailed with the packet takes an additional two
minutes to read which would be 6,000 x 2 minutes/60 = 200 hours. The entire process of reading
the letter and completing both forms would take 15 minutes per respondent. The average hour
burden for completing both forms and reading the accompanying letter would be 6,000 x 15/60 =
1,500 hours.
Estimates of Cost Burden
The individual will be burdened with a one-time cost to mail the Federal Firearms Licensee
(FFL) Enrollment/National Instant Criminal Background Check System (NICS) Electronic Check
(E-Check) Enrollment Form, if mailed alone of $0.44. It is anticipated that the individual will
not need to complete the form again unless there is a change in ownership of the business, so this
is a one-time cost. Initially, the NICS plans to print a supply of 6,000 copies of the forms. The
total cost burden to the individual would be: 6,000 respondents x $0.44 = $2,640.
The cost burden to the government is $1,500 in form preparation. The estimated cost of the
government mailing the form to the FFL or to the ATF is $12,410. The cost of staff and
equipment is prorated. It is absorbed proportionally among the CJIS Division. The CJIS
Division Copy Center is continuously manned with three copy machines. The total cost burden
to the government is $13,910. This is reflected in the itemized estimate included in Item A.14.
14. Estimates of Annualized Cost to the Federal Government
Item A.14
Form Preparation
$1,500
|
Total Form Preparation cost
$1,500 |
Staff/Equipment - This figure is absorbed proportionally among the CJIS Division. The CJIS Division Copy Center is continuously manned with three copy machines. |
Total Staffing/Equipment Cost
Cost prorated among all areas of service |
Mailing/Postage $12,410 |
Total Mailing/Postage cost $12,410 |
TOTAL COST BURDEN TO GOVERNMENT |
$ 13,910 |
15. Reasons for Program Changes
The estimated amount of packets to be mailed remains the same; however, the cost to the
government has been reduced as cheaper mailing rates have been selected. Approximately half
of the FFL packets will be mailed at the standard rate and the other half will be mailed at the first
class pre-sort rate so that FFLs on the west coast can receive their packets in an expeditious
manner. The ATF Distribution Center will receive boxes of packets that will be mailed in bulk
or individual distribution by the ATF, also cutting the cost. Additionally, the staff and
equipment costs are now prorated among all areas of service and the figure is absorbed
proportionally among the CJIS Division as the CJIS Division is continuously manned with three
copy machines.
16. Plans for Tabulation and Publication
The data collected will be utilized by the NICS solely in connection with firearm background
checks conducted through the Brady Act and the regulations promulgated thereunder. The
information will be maintained in a database for use by FBI employees, or FBI contract
employees. This information will not be published.
17. Requests for Approval not to display OMB Expiration Date
The NICS Section is requesting the OMB to not display an expiration date on either form. The
NICS Section will be mailing the form to FFLs and to the state Points of Contact.
Administratively, it would be extremely difficult to remove all of the old forms from all of those
businesses. In addition, some individuals may obtain copies of the form and wait an extensive
period of time before submitting the form to the NICS Section. It would be impossible to know
which individuals may possess an older form. Therefore, it would not be practical for a date to
be displayed.
Another consideration is that if FFLs review their files and see that their employees signed the
Federal Firearms Licensee (FFL) Officer/Employee Acknowledgment of Responsibilities under
the National Instant Criminal Background Check System (NICS) Form prior to the expiration
date of the form, they may erroneously believe that the form needs to be signed again and may
duplicate efforts by having employees read and complete the form again.
18. Exceptions to the Certification Statement
No exceptions to the certification statement are requested.
B. Collection of Information Employing Statistical Methods
This collection of information does not employ statistical methods.
Attachment 1:
Certification Statement
Paperwork Reduction Act Certification Statement
In submitting this request for OMB approval, I certify that the requirements of the Privacy
Act and the OMB directives have been complied with, including paperwork regulations,
statistical standards or directives, and any other information policy directives promulgated
under Section 5 CFR 1320.
_________________________ ________________________
John A. Strong Date
Section Chief
NICS Section
Attachment 2:
Data Collection Instrument
| File Type | application/octet-stream |
| File Modified | 0000-00-00 |
| File Created | 0000-00-00 |