Nonsubstantive Change attachments with table of contents

Table of Contents: Attachments to Non-substantive Change Request to
OMB #1121-0314 Firearm Inquiry Statistics (FIST) Program



Attachment I: List of new proposed FIST survey questions and instructions



Attachment II: Revised FIST survey (proposed)



Attachment III: Summary of pretest results



Attachment IV: Screenshots of current FIST web-form

Attachment I: List of new proposed FIST survey questions and instructions
2015 FIST Survey Questions - New questions or instructions indicated in BOLD
1.
Between January 1, 2015, and December 31, 2015, how many applications for _____________________
were processed or tracked by your agency?
2.
Between January 1, 2015, and December 31, 2015, how many applications for _____________________
were denied?
3.

Does your agency track the reason(s) why an application was denied?
Yes
No (skip to question number 8) [was 7 in 2014]

4.

[NEW] How does your agency track reasons for denial? (Please select all that apply)

__ Counts of reasons are tallied by hand if requested
__ Counts of reasons are tallied on paper as part of standard operations
__ Computer software keeps a running count of reasons as part of standard operations
__ Computer software can be queried for counts of reasons if needed
__ Other (please explain in Comments section)
5.

If MULTIPLE reasons are found for a denial, how are found reasons tracked?

6.

If ONLY ONE reason for a denial is tracked, how is that reason tracked?

7.

For denials tracked in 2015, why was the application denied?
[NEW] (After answering this question, skip to question number 11)

8.

[NEW] Why is your agency unable to track reasons for denial? (Please select all that apply)

__ No record of the reason for a denial is saved
__ Records for 2015 were saved temporarily but purged before the survey was received
__ Staff or budget is not available to look up or compile statistics on reasons for denial
__ Records of reasons for denial are not in an easily accessible format
__ Other (please explain in Comments section) _____
9.
[NEW] What would enable your agency to keep summary statistics on reasons for denial? (Please select all
that apply)
__ Form for recording an application denial when the decision is made
__ Form for recording a monthly summary of application denial decisions
__ Computer software that tracks applications, denials, and reasons for denial
__ Additional personnel or funds to keep track of application denial decisions
__ Other (please explain in Comments section)
10.
[NEW] If possible, please estimate what proportion (percentage) of your agency’s denials are made up of
the following reasons:
___ Felony arrests, charges, and convictions
___ Domestic violence convictions and protective (restraining) orders
___ State law [how will this be defined?]
___ Other [same as the other from #6?]
11.

Do any of the counts you provided for any of the items throughout the survey cover only part of the year?

Attachment II: Revised FIST survey (proposed)
FORM FIST-1

OMB NO. 1121-0314: Approval Expires (03/31/2017)

U.S DEPARTMENT OF JUSTICE
BUREAU OF JUSTICE STATISTICS (BJS)
(REJIS ACTING AS DATA COLLECTION AGENT)

2015 FIREARMS INQUIRY STATISTICS (FIST)
Annual Survey of Background Checks for Firearm Transfers and Permits
Please correct any errors in the name and address information that is printed below.

OFFICIAL AGENCY NAME (If different from above)
9-DIGIT NCIC-ORI NUMBER
PERSON COMPLETING THE FORM
NAME

TITLE

TELEPHONE

FAX

E-MAIL ADDRESS
IMPORTANT – Please answer the following questions before proceeding with the questionnaire. Mark [X] in
the appropriate box below.
Did your agency process, track, or conduct background checks for firearm transfers or permits to purchase or carry
at any time between January 1, 2015, and December 31, 2015?
Yes  If applicable, please list any other agencies for whom you conduct these activities:
(Agency Name(s))

No  The authorized permit processing, tracking, or checking agency for your jurisdiction is:
(Agency Name(s))

If your response to the above question is “No” or if the following condition applies, you do not need to
complete the questionnaire. Mark an [X] in the appropriate box below and return the survey using the
instructions below.
Agency no longer in existence
Agency employed only part-time officers AND the total combined hours of work for these officers averaged
less than 35 hours per week
RETURN INSTRUCTIONS
• Please submit your completed form by using the web reporting option at
https://production7.spsscloud.com/REJIS_A, mailing it to the Regional Justice Information Service (REJIS) in
the enclosed postage paid envelope, or faxing each page to 1-314-535-1729.
• If you have any questions, comments, or feedback about the survey, please call the FIST project manager toll
free at 1-800-531-2150, or send an e-mail to [email protected].
• Please retain a copy of your completed survey for 1 year.
Burden Statement
Federal agencies may not conduct or sponsor an information collection, and a person is not required to respond to a collection of information, unless it displays a
currently valid OMB Control Number. Public reporting burden for this collection of information is estimated to average 25 minutes per response, including time for
reviewing instructions, searching existing data sources, gathering and maintaining the data needed, and completing and reviewing the collection of information.
Send comments regarding this burden estimate, or any other aspects of this collection of information, including suggestions for reducing this burden, to the Director,
Bureau of Justice Statistics, 810 Seventh Street, NW, Washington, DC 20531. The Omnibus Crime Control and Safe Streets Act of 1968, as amended (42 USC 3732),
authorizes this information collection.

•
•
•
•
•
•
•

INSTRUCTIONS FOR COMPLETING THE FORM
Please mark ‘X’ in the appropriate boxes.
If possible, please answer all questions for the entire calendar year (January through December) 2015. If data
are available for only part of the year, please supply any available information in the spaces provided.
If the answer to a question is “not available” or “unknown,” write “DK” in the space provided.
If the answer to a question is “not applicable,” write “NA” in the space provided.
If the answer to a question is “none” or “zero,” write “0” in the space provided. Please respond with zero only
when the actual total reported count is zero, as opposed to when the data are not known or unavailable.
When an exact numeric response is not available, provide an estimate and mark the estimate box next to the
number field. Please provide a brief explanation in Section II to describe how the estimates were calculated.
Please do not leave any items blank unless otherwise directed.
Section I –APPLICATIONS AND DENIALS

1. Between January 1, 2015, and December 31,
2015, how many applications for (Agency specific
permit(s)/transfers) were processed or tracked by
your agency?
Mark ‘x’ if
estimate

Applications

_________________

2. Between January 1, 2015, and December 31,
2015, how many applications for (Agency specific
permit(s)/transfers) were denied? A denial occurs
when an applicant is prohibited from receiving a
firearm or permit that can be used to obtain a
firearm because a disqualifying factor was found
during a background check.
Mark ‘x’ if
estimate

Denials

_________________

3. Does your agency track the reason(s) why an
application was denied? (Please indicate “Yes” if
your agency had zero denials in 2015, but you would
track the reason(s) for a denial if one were processed.
Please also indicate “Yes” if you can provide estimates
for reasons for denial.)

4. How does your agency track reasons for denial?
(Please select all that apply)
Computer software keeps a running count of
reasons a part of standard operations
Computer software can be queried for counts of
reasons if needed
Counts of reasons are tallied on paper as part of
standard operations
Counts of reasons are tallied by hand if requested
Other (please explain in Comments section)
5. If MULTIPLE reasons are found for a denial, how
are found reasons tracked?
All reasons for denial are tracked (skip to
question 7)
Only one reason for the denial is tracked
Don’t know (skip to question 7)
6. If ONLY ONE reason for a denial is tracked, how is
that reason tracked?
The first reason found during the background
check is tracked
The most serious charge listed on the criminal
history record is tracked
Other method of tracking (Please explain. If
more space is needed, please use the space
provided in the Comments section.)

Yes
No (skip to question number 8)

Don’t know

7. For denials tracked in 2015, why was the
application denied? List total counts (including
zeros, where applicable) for each reason for a denial
(please include all federal, state, and local law
reasons for denial within the most appropriate
category). Mark ‘x’ in the checkbox provided for any
estimated counts.
_________
_______
_______
a. Felony indictment or
charge………………….………

________________

b. Felony conviction…..........

________________

c. Felony arrest with no
disposition...............................
d. Fugitive or outstanding
warrant………………………..…..
e. Domestic violence
misdemeanor…....…….….......
f. Domestic violence,
protective or restraining
order………………………..………
g. Addicted to or unlawful
user of a controlled
substance….…………….…….…
h. Mental health
commitment or
adjudication….….…..……..

Mark ‘x’ if
estimate

________________
________________
________________

________________

________________

________________

i. Illegal or unlawful alien…... ________________
j. State law prohibitor
(if not included in above
categories)………………..….….. ________________
k. Local law prohibitor
(if not included in above
categories)………….…..……….. ________________
l. Other reasons not
included above (including
juveniles and dishonorable
discharge)……………………… _____________
(After answering this question, skip to question
number 11)

8. Why is your agency unable to track reasons for
denial? (Please select all that apply)
No record of the reason for a denial is saved
Records for 2015 were saved temporarily but
purged before the survey was received
Staff or budget is not available to look up or
compile statistics on reasons for denial
Records of reasons for denial are not in an easily
accessible format
Other (please explain in Comments section)
9. What would enable your agency to keep
summary statistics on reasons for denial? (Please
select all that apply)
Computer software that tracks applications,
denials, and reasons for denial
Form for recording a monthly summary of
application denial decisions
Form for recording an application denial when
the decision is made
Additional personnel or funds to keep track of
application denial decisions
Other (please explain in Comments section)
10. If possible, please estimate what proportion
(percentage) of your agency’s denials are made
up of the following reasons:
Felony arrests, charges, and convictions
Domestic violence convictions and
protective (restraining) orders
State law prohibitor (if not included in
above categories)
Other reasons not included above
(including juveniles and dishonorable
discharge)

______
______
______
______

11. Do any of the counts you provided for any of the
items throughout the survey cover only part of
the year?
(formatting to be finalized)
Yes (please specify):
Which counts cover only part of the year:
The months that are covered:
No

Section II - COMMENTS

Please include any comments that would better explain how your agency collects information for firearm transfers
or permits, including the names of any permit or transfer types not listed on this form that you process, track, or
conduct background checks for. If the reported totals are estimates please provide a brief explanation to describe
how the estimates were calculated. (Use back of page if more space is needed.)
__________________________________________________________________________________________________________________________
__________________________________________________________________________________________________________________________
___________________________________________________________________________________________________________________________
__________________________________________________________________________________________________________________________
__________________________________________________________________________________________________________________________
__________________________________________________________________________________________________________________________
__________________________________________________________________________________________________________________________
__________________________________________________________________________________________________________________________
__________________________________________________________________________________________________________________________
__________________________________________________________________________________________________________________________
__________________________________________________________________________________________________________________________
__________________________________________________________________________________________________________________________
__________________________________________________________________________________________________________________________
__________________________________________________________________________________________________________________________
__________________________________________________________________________________________________________________________
__________________________________________________________________________________________________________________________
__________________________________________________________________________________________________________________________
__________________________________________________________________________________________________________________________
__________________________________________________________________________________________________________________________
__________________________________________________________________________________________________________________________
__________________________________________________________________________________________________________________________
__________________________________________________________________________________________________________________________
__________________________________________________________________________________________________________________________

Attachment III: Summary of pretest results

Pretest Summary
Evaluation of New Survey Questions
2015 Firearm Inquiry Statistics (FIST) Survey
(3/31/16)
Summary of Respondents
Agencies receiving pretest – 9 (past respondents who have not given reasons for denial)
Respondents – 6
Returned evaluation form – 5
Returned survey with data – 3 (2 also returned evaluation, 1 only returned survey)
Summary of Responses
The number of responses is next to each choice, in bold.
1.

Were Questions 4 and 8 to 10 easy to understand?
☐ Easy (1)
☐ Somewhat Easy (4)
☐ Somewhat Difficult
☐ Difficult
Which questions were the most difficult to understand and why? (0 responses)

2.

Did the order of Questions 4 and 8 to 10 make sense to you in the context of the rest of the survey?
☐ Made Sense (3)
☐ Made Some Sense (2)
☐ Made Little Sense
☐ Did Not Make Sense

3.

Do you think Question 4 includes the most common methods used to track reasons for denial?
☐ Yes (4)
☐ No (1)
If no, what other methods should be included for tracking reasons for denial? (1 response)
We are a small agency and software is not an option. [Sanders Co. Sheriff, MT]

4.

Do you think Question 8 includes the most common barriers to tracking reasons for denial?
☐ Yes (5)
☐ No
If no, what other barriers should be included for tracking reasons for denial? (0 responses)

Attachment III: Summary of pretest results
5.

Question 9 includes some common record keeping enhancements that could enable an agency to keep statistics
on reasons for denial. Do you think these are the most likely enhancements that could be made?
☐ Yes (4)
☐ No
If no, what other enhancements should be included in the choices? (1 response)
Unknown [Blue Earth Co. Sheriff, MN]

6.

Would your agency be able to provide the estimates requested in Question 10?
☐ Yes (5) [Blue Earth Co. Sheriff, MN added comment: “possible”]
☐ No

7.

Do you have any recommendations for how we could help agencies like yours track or estimate reasons for
denials? (3 responses)
I believe you have given great suggestions in your questions that you ask in your survey. [Barrow Co.
Probate Court, GA]
Our method of a file folder with a copy of the application, background check and letter stating the reason
for rejection works for us. [Sanders Co. Sheriff, MT]
Having a ‘standard list’ of denial categories that can be checked off by the authorizing judge / individual
and tracked on a pistol permit database. [Westchester Co. Clerk, NY]

8.

How much time did you spend on your evaluation, including reading of the survey form and filling out the
evaluation form? (5 responses)
10, 15, 20, 30, and 45 minutes.

Please use the remainder of this form to supply any additional comments, questions, recommendations, or general
impressions of survey overall and/or the new questions. Thank you for your participation. We value your input. (0
responses)

Attachment IV: Screenshots of current FIST web-form

Attachment IV: Screenshots of current FIST web-form

Attachment IV: Screenshots of current FIST web-form

Attachment IV: Screenshots of current FIST web-form

Attachment IV: Screenshots of current FIST web-form

Attachment IV: Screenshots of current FIST web-form

Attachment IV: Screenshots of current FIST web-form

Attachment IV: Screenshots of current FIST web-form