Attachments for FIST collection

Attachments: Table of Contents
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Attachment I. BJS authority

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Attachment II. Proposed 2016 FIST survey

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Attachment III. Screenshots of proposed 2016 FIST web-form

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Attachment IV. Approved non-substantive change request to OMB

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Attachment V. Proposed 2016 FIST project schedule

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Attachment VI. Proposed 2016 FIST correspondence

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Attachment VII. FIST reporting structure, 2016

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Attachment VIII. Proposed 2016 FIST sample determination and allocation

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Attachment IX. Base weights for NSR states, 2015

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Attachment X. Estimated standard errors, 2014

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Attachment XI. FIST terminology for firearm checks and permits, by jurisdiction

Attachment I. BJS Authority
DERIVATION
Title I
THE OMNIBUS CRIME CONTROL AND SAFE STREETS ACT OF 1968
(Public Law 90-351)
42 U.S.C. § 3711, et seq.
AN ACT to assist State and local governments in reducing the incidence of crime, to increase the effectiveness, fairness, and
coordination of law enforcement and criminal justice systems at all levels of government, and for other purposes.
As Amended By
THE OMNIBUS CRIME CONTROL ACT OF 1970
(Public Law 91-644)
THE CRIME CONTROL ACT OF 1973
(Public Law 93-83)
THE JUVENILE JUSTICE AND DELINQUENCY PREVENTION ACT OF 1974
(Public Law 93-415)
THE PUBLIC SAFETY OFFICERS’ BENEFITS ACT OF 1976
(Public Law 94-430)
THE CRIME CONTROL ACT OF 1976
(Public Law 94-503)
THE JUSTICE SYSTEM IMPROVEMENT ACT OF 1979
(Public Law 96-157)
THE JUSTICE ASSISTANCE ACT OF 1984
(Public Law 98-473)
STATE AND LOCAL LAW ENFORCEMENT ASSISTANCE ACT OF 1986
(Public Law 99-570-Subtitle K)
THE ANTI-DRUG ABUSE ACT OF 1988
TITLE VI, SUBTITLE C - STATE AND LOCAL NARCOTICS CONTROL
AND JUSTICE ASSISTANCE IMPROVEMENTS
(Public Law 100-690)
THE CRIME CONTROL ACT OF 1990
(Public Law 101-647)
BRADY HANDGUN VIOLENCE PROTECTION ACT
(Public Law 103-159)
VIOLENT CRIME CONTROL AND LAW ENFORCEMENT ACT OF 1994
(Public Law 103-322)
NATIONAL CHILD PROTECTION ACT OF 1993, AS AMENDED
(Public Law 103-209) and
CRIME IDENTIFICATION TECHNOLOGY ACT OF 1998 (Public Law 105-251)

Attachment I. BJS Authority

BUREAU OF JUSTICE STATISTICS
CHAPTER 46 - SUBCHAPTER III
[TITLE I - PART C]
42 USC § 3731

[Sec. 301.] Statement of purpose

It is the purpose of this subchapter [part] to provide for and encourage the collection and analysis
of statistical information concerning crime, juvenile delinquency, and the operation of the
criminal justice system and related aspects of the civil justice system and to support the
development of information and statistical systems at the Federal, State, and local levels to
improve the efforts of these levels of government to measure and understand the levels of crime,
juvenile delinquency, and the operation of the criminal justice system and related aspects of the
civil justice system. The Bureau shall utilize to the maximum extent feasible State governmental
organizations and facilities responsible for the collection and analysis of criminal justice data and
statistics. In carrying out the provisions of this subchapter [part], the Bureau shall give primary
emphasis to the problems of State and local justice systems.
42 USC § 3732

[Sec. 302.] Bureau of Justice Statistics

(a) Establishment. There is established within the Department of Justice, under the general
authority of the Attorney General, a Bureau of Justice Statistics (hereinafter referred to in this
subchapter [part] as “Bureau”).
(b) Appointment of Director; experience; authority; restrictions. The Bureau shall be headed
by a Director appointed by the President, by and with the advice and consent of the Senate. The
Director shall have had experience in statistical programs. The Director shall have final
authority for all grants, cooperative agreements, and contracts awarded by the Bureau. The
Director shall report to the Attorney General through the Assistant Attorney General. The
Director shall not engage in any other employment than that of serving as Director; nor shall the
Director hold any office in, or act in any capacity for, any organization, agency, or institution
with which the Bureau makes any contract or other arrangement under this Act.
(c) Duties and functions of Bureau. The Bureau is authorized to–
(1) make grants to, or enter into cooperative agreements or contracts with public
agencies, institutions of higher education, private organizations, or private individuals for
purposes related to this subchapter [part]; grants shall be made subject to continuing
compliance with standards for gathering justice statistics set forth in rules and regulations
promulgated by the Director;
(2) collect and analyze information concerning criminal victimization, including crimes
against the elderly, and civil disputes;

Attachment I. BJS Authority

(3) collect and analyze data that will serve as a continuous and comparable national social
indication of the prevalence, incidence, rates, extent, distribution, and attributes of crime,
juvenile delinquency, civil disputes, and other statistical factors related to crime, civil
disputes, and juvenile delinquency, in support of national, State, and local justice policy
and decision making;
(4) collect and analyze statistical information, concerning the operations of the criminal
justice system at the Federal, State, and local levels;
(5) collect and analyze statistical information concerning the prevalence, incidence, rates,
extent, distribution, and attributes of crime, and juvenile delinquency, at the Federal,
State, and local levels;
(6) analyze the correlates of crime, civil disputes and juvenile delinquency, by the use of
statistical information, about criminal and civil justice systems at the Federal, State, and
local levels, and about the extent, distribution and attributes of crime, and juvenile
delinquency, in the Nation and at the Federal, State, and local levels;
(7) compile, collate, analyze, publish, and disseminate uniform national statistics
concerning all aspects of criminal justice and related aspects of civil justice, crime,
including crimes against the elderly, juvenile delinquency, criminal offenders, juvenile
delinquents, and civil disputes in the various States;
(8) recommend national standards for justice statistics and for insuring the reliability and
validity of justice statistics supplied pursuant to this chapter [title];
(9) maintain liaison with the judicial branches of the Federal and State Governments in
matters relating to justice statistics, and cooperate with the judicial branch in assuring as
much uniformity as feasible in statistical systems of the executive and judicial branches;
(10) provide information to the President, the Congress, the judiciary, State and local
governments, and the general public on justice statistics;
(11) establish or assist in the establishment of a system to provide State and local
governments with access to Federal informational resources useful in the planning,
implementation, and evaluation of programs under this Act;
(12) conduct or support research relating to methods of gathering or analyzing justice
statistics;
(13) provide for the development of justice information systems programs and assistance
to the States and units of local government relating to collection, analysis, or
dissemination of justice statistics;

Attachment I. BJS Authority

(14) develop and maintain a data processing capability to support the collection,
aggregation, analysis and dissemination of information on the incidence of crime and the
operation of the criminal justice system;
(15) collect, analyze and disseminate comprehensive Federal justice transaction statistics
(including statistics on issues of Federal justice interest such as public fraud and high
technology crime) and to provide technical assistance to and work jointly with other
Federal agencies to improve the availability and quality of Federal justice data;
(16) provide for the collection, compilation, analysis, publication and dissemination of
information and statistics about the prevalence, incidence, rates, extent, distribution and
attributes of drug offenses, drug related offenses and drug dependent offenders and
further provide for the establishment of a national clearinghouse to maintain and update a
comprehensive and timely data base on all criminal justice aspects of the drug crisis and
to disseminate such information;
(17) provide for the collection, analysis, dissemination and publication of statistics on the
condition and progress of drug control activities at the Federal, State and local levels with
particular attention to programs and intervention efforts demonstrated to be of value in
the overall national anti- drug strategy and to provide for the establishment of a national
clearinghouse for the gathering of data generated by Federal, State, and local criminal
justice agencies on their drug enforcement activities;
(18) provide for the development and enhancement of State and local criminal justice
information systems, and the standardization of data reporting relating to the collection,
analysis or dissemination of data and statistics about drug offenses, drug related offenses,
or drug dependent offenders;
(19) provide for research and improvements in the accuracy, completeness, and
inclusiveness of criminal history record information, information systems, arrest warrant,
and stolen vehicle record information and information systems and support research
concerning the accuracy, completeness, and inclusiveness of other criminal justice record
information;
(20) maintain liaison with State and local governments and governments of other nations
concerning justice statistics;
(21) cooperate in and participate with national and international organizations in the
development of uniform justice statistics;
(22) ensure conformance with security and privacy requirement of section 3789g of this
title and identify, analyze, and participate in the development and implementation of
privacy, security and information policies which impact on Federal and State criminal
justice operations and related statistical activities; and

Attachment I. BJS Authority

(23) exercise the powers and functions set out in subchapter VIII [part H] of this chapter
[title].
(d) Justice statistical collection, analysis, and dissemination. To insure that all justice statistical
collection, analysis, and dissemination is carried out in a coordinated manner, the Director is
authorized to–
(1) utilize, with their consent, the services, equipment, records, personnel, information,
and facilities of other Federal, State, local, and private agencies and instrumentalities
with or without reimbursement therefor, and to enter into agreements with such agencies
and instrumentalities for purposes of data collection and analysis;
(2) confer and cooperate with State, municipal, and other local agencies;
(3) request such information, data, and reports from any Federal agency as may be
required to carry out the purposes of this chapter [title];
(4) seek the cooperation of the judicial branch of the Federal Government in gathering
data from criminal justice records; and
(5) encourage replication, coordination and sharing among justice agencies regarding
information systems, information policy, and data.
(e) Furnishing of information, data, or reports by Federal agencies. Federal agencies requested
to furnish information, data, or reports pursuant to subsection (d)(3) of this section shall provide
such information to the Bureau as is required to carry out the purposes of this section.
(f) Consultation with representatives of State and local government and judiciary. In
recommending standards for gathering justice statistics under this section, the Director shall
consult with representatives of State and local government, including, where appropriate,
representatives of the judiciary.
42 USC § 3733

[Sec. 303.] Authority for 100 per centum grants

A grant authorized under this subchapter [part] may be up to 100 per centum of the total cost of
each project for which such grant is made. The Bureau shall require, whenever feasible as a
condition of approval of a grant under this subchapter [part] , that the recipient contribute money,
facilities, or services to carry out the purposes for which the grant is sought.
42 USC § 3735

[Sec. 304.] Use of data

Attachment I. BJS Authority

Data collected by the Bureau shall be used only for statistical or research purposes, and shall be
gathered in a manner that precludes their use for law enforcement or any purpose relating to a
particular individual other than statistical or research purposes.

Attachment II. Proposed 2016 FIST survey

OMB NO. 1121-0314: Approval Expires (XX/XX/20XX)

U.S DEPARTMENT OF JUSTICE
BUREAU OF JUSTICE STATISTICS (BJS)

FORM FIST-1

(REJIS ACTING AS DATA COLLECTION AGENT)

2016 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, 2016, and December 31, 2016?
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
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RETURN INSTRUCTIONS
Please submit your completed form by using the web reporting option at rejis.org/FIST, mailing it to the
Regional Justice Information Service (REJIS) in the enclosed postage paid envelope, or faxing each page to 1314-535-1729.
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
Under the Paperwork Reduction Act, we cannot ask you to respond to a collection of information unless it displays a current OMB control number. The burden of
this collection 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 this form. 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.

Attachment II Proposed 2016 FIST survey
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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, 2016, and December 31, 2016,,
how many applications for Purchase Permits
(Transfer Permits) were processed or tracked by
your agency?
Applications

Mark ‘x’ if
estimate

_________________

4. How does your agency track reasons for denial?
(Please select all that apply)
Computer software keeps a running count of
reasons as 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 below or in Comments
section)

2. Between January 1, 2016, and December 31, 2016,,
how many applications for Purchase Permits
(Transfer Permits) were denied? A denial occurs
5. If MULTIPLE reasons are found for a denial, how
when an applicant is prohibited from receiving a
are found reasons tracked?
firearm or permit that can be used to obtain a
firearm because a disqualifying factor was found
during a background check.
All reasons for denial are tracked (skip to
Mark ‘x’ if
question 7)
Denials

estimate

_________________

3. Does your agency track the reason(s) why an
application was denied? (Please indicate “Yes” if
your agency had zero denials in 2016, 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.)
Yes

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 below
or in Comments section.)

No (skip to question number 8)
Don’t know

Attachment II Proposed 2016 FIST survey

7. For denials tracked in 2016, 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.
Purchase
Permits

Mark ‘x’ if
estimate

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….….…..……..
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 2016 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 below or 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 below or 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)

______
______
______
______

Attachment II Proposed 2016 FIST survey

11. Do any of the counts you provided for any of
the items throughout the survey cover only
part of the year?
Yes (please specify below or in Comments
section):
-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.
___________________________________________________________
___________________________________________________________
___________________________________________________________
___________________________________________________________
___________________________________________________________
___________________________________________________________
___________________________________________________________
___________________________________________________________
___________________________________________________________
___________________________________________________________
___________________________________________________________
___________________________________________________________
___________________________________________________________
___________________________________________________________
___________________________________________________________
___________________________________________________________
___________________________________________________________

Attachment III. Screenshots of proposed 2016 FIST web-form

0MB NO. 1121-0314: Approval �xpires

US DEPARTMENT OF JUSTICE
BUREAU OF JUSTICE STATISTICS
(REJIS ACTING AS DATA COLLECTION AGENT)

2016 FIREARMS INQUIRY STATISTICS (FIST)
A nnual Survey of Background Checks for Firearm Transfers and Permits
Burden Statement
Under the Paperwork Reduction Act, we cannot ask you to respond to a collection of information unless it displays a currently valid 0MB control
number. The burden of this collection 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 this form. 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, 18 0 Seventh Street,
NW, Washington, DC 20531 . The Omnibus Crime Control and Safe Streets Act of1968, as amended (42 USC 7
3 2
3 ), authorizes this information collection.
This Web stte is funded throlJllh a grant from the Bureau of Justice Statistics, 2014-BJ-CX-K016, Off
Name / Address

Dear ___:
Within the next few weeks you will receive via mail a request to complete a brief survey for the Firearm Inquiry
Statistics (FIST) Program. The Regional Justice Information Service (REJIS) is the data collection agent for the
FIST Program and is authorized to collect data on behalf of BJS.
BJS began the FIST Program in 1995 to provide national estimates of the total number of firearm purchase
applications received and denied pursuant to the Brady Act and similar state laws. The FIST program collects
counts of firearm transfers and permit checks conducted by state and local agencies and combines this
information with the Federal Bureau of Investigation (FBI) National Instant Criminal Background Check
System (NICS) transaction data to produce national estimates of background check activity. Additional
information on reasons for denials and law enforcement actions the FBI and the Bureau of Alcohol, Tobacco,
Firearms, and Explosives (ATF) take against denied persons is also collected.
Our records indicate that your agency currently collects information on <> for
your jurisdiction in the state of <>. You are receiving this letter to request in advance your cooperation
in this important data collection initiative. A survey will be enclosed with the request to participate in the 2016
FIST data collection that you will receive next week as well as instructions on how to complete a web-based
version of the survey. We anticipate that the completion of the survey will take you approximately 25 minutes
and REJIS will be available to answer any questions you may have about the survey or FIST Program.
Your participation in this data collection is critical to help ensure the reliability of the national estimates
produced for firearm background check activities. BJS and REJIS thank you in advance for your support of the
FIST Program and participation in the 2016 data collection. Should you have any immediate questions please
contact Connor Brooks, FIST Program Manager, at 202-514-8633, or [email protected].
Sincerely,

Gerard F. Ramker
Deputy Director, BJS

U.S. Department of Justice
Office of Justice Programs
Bureau of Justice Statistics

Washington, D.C. 20531

«AddressBlock»
«GreetingLine»
Since 1995, the Bureau of Justice Statistics (BJS) has conducted the Firearm Inquiry Statistics (FIST) survey.
With assistance from the Regional Justice Information Service (REJIS) of Saint Louis, Missouri, BJS has
collaborated with federal, state, and local agencies to collect data on firearm transfers and permits that are
regulated by the Brady Act and similar state laws. We are requesting your participation in this important data
collection to obtain data on background check activities conducted by your agency during calendar year 2016.
Participation by your agency in this voluntary effort will provide a wealth of data for policymakers, researchers,
administrators, and others who study background check trends and activities nationwide and help efforts to
assess the impact of the Brady Act over time. BJS will use the data provided by your agency and others to
produce a 2016 national estimate of firearm applications and denials, along with reasons for denials. The data
will be published in the “Background Checks for Firearm Transfers” series on the BJS website (bjs.gov).
We encourage you to complete the 2016 FIST survey via the secure FIST web-form at REJIS.org/FIST. Your
unique User ID and Password are «WebID» and «WebPsswd». For your convenience, we also enclosed a paper
survey form and prepaid return envelope. You can also submit the completed survey via fax to
314-535-1729, or by email to [email protected]. We would greatly appreciate the return of your completed
survey by .
BJS is authorized to conduct this data collection under 42 U.S.C. § 3732(c). BJS, its employees, and its data
collection agents will use the information you provide only for statistical and research purposes pursuant to 42
U.S.C. § 3735, and will protect it to the fullest extent under federal law. For more information on how BJS and
its data collection agents will use and protect your information, see https://www.bjs.gov/content/pub/pdf/
BJS_Data_Protection_Guidelines.pdf.
Thank you for your support of the FIST program and contributions to the FIST data collection. BJS and REJIS
greatly appreciate your efforts. You may direct general comments, feedback, or questions about the FIST
program to the FIST Project Manager at 1-800-531-2150, or send an e-mail to [email protected].

Sincerely,

Gerard F. Ramker
Deputy Director, BJS

On the 2016 Firearm Inquiry Statistics (FIST) survey was mailed to you as part
of a data collection effort on behalf of the Bureau of Justice Statistics.
If you have already completed and returned the survey, please accept our sincere thanks.
If not, we request that you do so as soon as possible so that we can complete our efforts
to produce national estimates of the total number of firearm transfer and permit
applications and denials resulting from the Brady Act and similar state laws. Your
efforts are critical to ensure the reliability of these estimates.
If you did not receive the survey or if it was misplaced, please call us toll-free at
1-800-531-2150 and we will send you another one right away.
Thank you again for your efforts.
Jennifer C. Karberg, FIST Project Manager

4255 West Pine Blvd
St. Louis, MO 63108
314.535.1950
www.rejis.org

«AddressBlock»
«GreetingLine»
Dear :

Dr. William Powell
Chairman
Chief Jon Belmar
Vice Chairman
Chief Sam Dotson
Secretary – Treasurer
Chief Michael Wiegand
Ms. Pamela Reitz
Mr. Dele Oredugba
Dr. Richard Rosenfeld

Ms. Regina Fowler
Interim General Manager

On we sent a survey packet to your office, on behalf of the Bureau
of Justice Statistics (BJS), that asked for data from your agency on specific
types of firearm transfers and permits (depending on the agency) including
counts for applications, denials, and reasons for denials. According to our
records, your agency has not provided a response as of this date.
We are writing again because of the importance of your agency’s totals in
helping us obtain accurate data for “Background Checks for Firearm
Transfers,” a series published on the BJS website. In order to accurately
paint a portrait of firearms background check activity (via counts of firearm
transfer and permit applications and denials), pursuant to the Brady Act
and similar state laws, we need your input.
If you have already submitted your agency’s data for 2016 and we simply
have not yet received it, we sincerely thank you for your participation. If
you still need to submit your data, a survey is enclosed with this letter to
collect information on the issuance and processing of firearm permits and
transfers conducted by your agency in 2016. The materials can be returned
by fax to 314-535-1729, by email ([email protected]), or by mail to the
address listed on this letter. We encourage you to avail yourself of the
secure Web reporting option as well. To complete the survey online, please
go to rejis.org/FIST and enter your User ID: (XXX) and Password:
(FXXX). In order for us to complete our analyses of the 2016 data, we
would greatly appreciate a response by .
Thank you for your assistance and continued participation in this important
effort. If you have any questions, comments, or concerns about this
request, or if there is any way we may be of assistance to you, please
contact us by phone at 1-800-531-2150 or by email at [email protected].
Sincerely,

Jennifer C. Karberg,
FIST Project Manager
Enclosures

FIST Phone Script
Hello, my name is (insert name) and I am calling from the Regional Justice Information Service on behalf
of the Bureau of Justice Statistics, United States Department of Justice. May I please speak with
(CONTACT)? [If contact no longer there, ask for person in charge of (insert state terminology).
(Caller can leave contact information if leaving a message).
(Again) Hello, my name is (insert name) and I am calling from the Regional Justice Information Service.
We are working with the Bureau of Justice Statistics to conduct the Firearm Inquiry Statistics Program
survey – also known as FIST.
Are you familiar with the FIST program? If yes, continue to next question. If no, provide a brief
explanation of purpose and data collected: Since 1995, BJS has been providing national estimates of the
total number of firearm purchase applications received and denied pursuant to the Brady Act and similar
state laws. The FIST program collects counts of firearm transfers and permit checks conducted by state
and local agencies and combined this information with FBI transaction data to produce national
estimates of background check activity. Additional information on reasons for denials is also collected.
We have previously mailed two surveys to your agency but have not received a response, so I am calling
to see if you received the survey. [If no, offer to send another copy] [If yes, would you be able to fill out
the survey or complete the online version. Provide directions for the web- form.]
[If respondent needs details of survey]:
We are asking for summary data on background checks for (use state terminology), which you could
report on the survey for (use FIST terminology).
•

Point – of – transfer background checks for firearm transfers

•

Background checks on permits to purchase a firearm (Purchase Permit)

•

Background checks on permits to carry a concealed weapon or purchase a firearm (Carry
Permit)

•

Background checks on permits both to just purchase a firearm, or to carry a concealed
weapon and/or purchase a firearm (P&C Permits)

•

Background checks on permits for a handgun license to purchase a firearm (NY –
Purchase Permit)

•

Background checks on permits to purchase a firearm (WA - Purchase Check)

We anticipate that the survey will take about 25 minutes to complete and we are more than happy to walk
you through it and discuss any questions you may have. This data collection is very important because it
highlights the application and denial rates for firearm background checks being conducted throughout the

country. Your agency’s responses are critical to ensure that BJS is able to produce the most reliable
national estimates of firearm background check activity.
(After phone data collection or a promise to return data at a later time)
We and the Bureau of Justice Statistics sincerely appreciate your time and efforts on this important
initiative.

Attachment VII. FIST reporting structure, 2016

Legend: 2016 Checks and Permits Covered by FIST

NICS Checks and Permits

FIST accounts for NICS checks
and permits on Federal,
state, and local levels. Under
the NICS system, firearm
buyers in all 50 states
undergo either an instant
firearm transfer check or a
check for a permit to
purchase a firearm. FIST
obtains complete counts for
states in categories 1-3. The
population in these states
accounts for about 93% of
the U.S. population. Only the
states in category 4 need to
be surveyed by FIST for
counts of NICS checks or
permits, as they are
conducted only by local
agencies. These states
account for 7% of the U.S.
population. Thus, for the
total of checks and permits in
the basic NICS system, only a
small portion is estimated.

Basic NICS System Checks and Permits- Ovals
1. NICS FBI (31)
FBI conducts checks on all types of firearm purchases. Counts obtained directly from FBI.
States in this category include: AL*, AK*, AZ*, AR*, DE, DC*, GA*, ID*, IN, KS*, KY*, LA*,
ME, MA*, MI*, MN*, MS*, MO, MT*, NM, NY*, ND*, OH*, OK, RI*, SC*, SD, TX*, VT,
WV*, WY*.
2. Full NICS POC States (13)
State POCs conduct all NICS checks for all types of firearm purchases. Counts obtained
by FIST. States in this category include: CA, CO, CT, FL, HI, IL*, NV*, NJ*, OR, PA, TN, UT*,
VA.
3. Partial NICS POC State Handgun Checks/FBI Long Gun Checks (3)
States run NICS handgun checks and provide counts to FIST. FBI runs NICS long gun
checks and provides counts to FIST. Partial NICS POC States include: MD*, NH, WI.
4. Partial NICS POC States with Local Handgun Checks or Purchase Permits/FBI Long Gun
Checks (4)
Local agencies run NICS handgun transfer or purchase permit checks and are surveyed
via sample by FIST. FBI runs NICS long gun checks and provides counts to FIST. States in
which local agencies are surveyed include: IA*, NE*, NC*, WA.
Note: The numbers in parentheses refer to the number of states utilizing that particular type of check or permit. For basic
NICS checks and permits, each state falls into only one category. The total of the numbers in parentheses sums to 50 for the
states plus one for the District of Columbia.
*Agency has a check or permit in addition to the FBI NICS check as required by state statute. See p. 2 for other check or permit
type.

Legend: 2016 Checks and Permits Covered by FIST
Other Checks and Permits

Used in 30 states and the
District of Columbia, these
checks or permits occur in
addition to basic NICS checks
and permits. These permits
are either qualified by ATF as
alternatives to a NICS pointof-sale check or are required
by state statute. FIST
obtains complete counts on
permits and checks in the
case of:
Category 5 –DC, IL, MA, MD,
MI, RI, and NJ
Category 6 – all states listed
Category 7 – MI, MN, & OH
FIST surveys the local
agencies in categories 5 and
7 for which complete statewide counts of checks or
permits are not available.
FIST survey estimates and
the complete counts
received for basic NICS and
other checks and permits are
combined to generate the
national FIST estimate.

Other Checks and Permits - Squares
5. States with Transfer Checks or Purchase Permits Required by State Law (9)
Transfer checks or purchase permits as required by state statute. Checks are
conducted on the state or local level. Except in the case of MN and NY, complete
counts of checks and permits are reported to FIST by the state: DC, IL, MA, MD, MI,
MN, NJ, NY, RI.
6. Exempt Concealed Carry Permits Issued by State Agencies (13)
Concealed carry permits issued by a state agency as an alternative to a point-of-sale
NICS check. States include: AK, AZ, AR, KS, KY, LA, MS, NE, ND, SC, TX, UT, WY.
7. Exempt Concealed Carry Permits Issued by Local Agencies under State Law or as a
NICS Alternative (11)
Concealed carry permits issued by a local agency as an alternative to a NICS point-ofsale check or as directed under state statute. States include: AL, GA, ID, IA, MI, MN,
MT, NC, NV, OH, WV.
Note: the number in parentheses refer to the number of states utilizing the type of check or permit it is listed after. A state
may utilize more than one type[s] of permit[s].

2016 Checks and Permits Covered by FIST
1. NICS FBI (31)

DC, MA,
NY, RI

MI,
MN

AL, GA,
ID, MT,
OH, WV

5. States with
Checks or
Permits
Required by
State Law (9)

DE, IN, ME, MO,
NM, OK, SD, VT

7. Exempt Carry Permits
Issued by Local Agencies
under State Law or as
NICS Alternative (11)

MD

3. Partial NICS
POC States with State
checks or permits (3)

NH, WI

NJ,
IL

IA,
NC

AK, AZ, AR,
KS, KY, LA,
MS, ND, SC,
TX, WY

4. Partial NICS
POC States with
Local Checks or
Permits (4)

NE

WA

NV
UT
2. Full NICS POC States (13)

CA, CO, CT, FL, HI, OR,
PA, TN, VA

6. Exempt
Concealed
Carry
Permits
Issued by
State
Agencies
(13)

Attachment VIII. Proposed 2016 FIST sample determination and allocation
Data for the FIST collection will be obtained from state agencies that report state-level data (thirty-four states), a statewide census of nine states in
which local agencies conduct checks and report to FIST on a local level only and a sample survey of three states that operate local checking
agencies and report only on a local level, but have a larger number of agencies than the other aforementioned six states. This decision equates to a
total data collection of 1,044 POCs plus the FBI NICS data.
In the three states that are to be sampled (GA, MN, & WA), a stratified sample based on population size will be created that roughly equates to 1)
rural – places of less than 10,000 population; 2) small cities – places of between 10,000 and 99,999 population; 3) small metropolitan areas –
places of between 100,000 and 199,999 population; and 4) large metropolitan areas – places of 200,000 or more population. The correlated
variable used to estimate variance (number of applications in 2010) had information for all strata in only one of the three states. The other two
states each had empty or a singular report of information in different strata. Without the estimate of variance, a stratified sample could not be
determined individually for each of the three states. Consequently, it was decided to utilize a random sample, proportional to size, for each state.
This increased the sample size sufficiently such that an estimate and resulting confidence interval can be determined for each of these three states.
The following formula was used to determine the sample size and weight allocation for the stratified sample of the three states taken as a group.

The formula used is:

𝑛𝑛 =

2 2
∑𝑁𝑁𝑖𝑖 𝜎𝜎 𝑖𝑖

𝑁𝑁 2 𝐷𝐷+∑ 𝑁𝑁𝑖𝑖𝜎𝜎 𝑖𝑖2

where

𝐷𝐷 =

Reference: Elementary Survey Sampling by Scheaffer, Mendenhall & Ott
Definitions:
n = sample size
Ni = population within stratum
σ2 i = stratum variance
wi = stratum weight
N = population
D = B2/Z2 (at a 95% confidence level Z2 ≈ 4)
B = error bound

𝐵𝐵2
4

The following formula was used to determine the sample size of a random sample in each state. The bound on error was 100
applications for GA and WA. The bound was fifty applications for MN.

1

The formula used is:

𝑛𝑛 =

𝑁𝑁𝜎𝜎2

𝑁𝑁2𝐷𝐷+𝜎𝜎2

where

𝐷𝐷 =

Reference: Elementary Survey Sampling by Scheaffer, Mendenhall & Ott
Definitions:
n = sample size σ2 = variance N = population
D = B2/Z2 (at a 95% confidence level Z2 ≈ 4) B = error bound

𝐵𝐵2
4

The proposed FIST sample size is 1,044 to account for potential nonresponse.
Following is a summary sheet of the actual sample for the three states (GA, MN, & WA) where local agencies will be sampled.

1010 Sum without states

Attachment IX. Base weights for non-self-representing (sampled) states, 2015
Population
Category
Category 1
Category 2
Category 3
Category 4

Population
Size

Base weights
GA
MN
1 to 9999
1.43
10000 to 99999
1.42
100000 to 199999
1.00
200000+
1.00
Total

WA
2.50
2.52
1.00
1.00

1.65
1.65
1.00
1.00

Attachment X. Estimated standard errors
Estimated standard errors for applications received and denied by local
agencies, 2014
Applications
Denials
Percent denied
Total
19,265
731
0.07%
Purchase permits
13,860
678
0.20%
Exempt carry permits
7,957
171
0.04%
Other approvals
7,658
56
0.04%
Source: Bureau of Justice Statistics, Firearm Inquiry Statistics (FIST) program,
2014.

Estimated standard errors for firearm applications received and denied
by local agencies, by community size and type of permit, 2014
Applications
Denials
Percent denied
Purchase permits
13,860
678
0.20%
Population served
9,999 or fewer
1,972
36
0.10%
10,000–99,999
5,904
245
0.30%
100,000–199,999
5,902
184
0.30%
200,000 or more
10,886
604
0.50%
Exempt carry permits
7,957
171
0.04%
Population served
9,999 or fewer
436
12
0.10%
10,000–99,999
4,274
115
0.10%
100,000–199,999
3,528
106
0.10%
200,000 or more
5,693
68
0.10%
Source: Bureau of Justice Statistics, Firearm Inquiry Statistics (FIST) program,

Attachment XI. FIST terminology for firearm checks and permits, by jurisdiction (2016)
Jurisdiction
Alabama

Point of Transfer

Purchase Permits

Point of Transfer

Purchase Permits (Pistol Permits &
Eligibility Certificates)
Firearm Registration Certificates

Alaska
Arizona

Arkansas

Connecticut
Dist. of Columbia
Florida
Georgia
Idaho

Illinois

Point of Transfer
Weapons Carry Licenses
Carry Permits (also Concealed
Weapon Permits or Concealed
Handgun Licenses)
Firearm Transfer Inquiry
Program (FTIP)

Iowa

Firearm Owners Identification (FOID)
Card
Purchase Permits (Permits to
Acquire/Purchase a Handgun)

Kansas

Louisiana
Maryland
Minnesota
Mississippi

Point of Transfer

Carry Permits (also Concealed
Weapon Permits or Concealed
Handgun Licenses)
Carry Permits (also Concealed
Weapon Permits or Concealed
Handgun Licenses)
5-year Concealed Handgun

Handgun Qualification License
Purchase Permits (Transfer Permits)

Montana

Nebraska

Exempt Carry Permits
Carry Permits (also Concealed
Weapon Permits or Concealed
Handgun Licenses)
NICS Exempt Concealed Handgun
Permits
Carry Permits (also Concealed
Weapon Permits or Concealed
Handgun Licenses)
Carry Permits (also Concealed
Weapon Permits or Concealed
Handgun Licenses)

Purchase Permits (Transfer Permits)

Carry Permits (also Concealed
Weapon Permits or Concealed
Handgun Licenses)
Carry Permits (also Concealed
Weapon Permits or Concealed
Handgun Licenses)
Carry Permits (also Concealed
Weapon Permits or Concealed
Handgun Licenses)

Jurisdiction
Nevada

Point of Transfer
Point of Transfer

New Hampshire
New Jersey

Point of Transfer
Handgun Permits & Firearms
Identification Cards
Pistol Permits/Licenses
Purchase Permits (Permits to
Acquire/Purchase a Handgun)

New York
North Carolina

North Dakota

Oregon
Pennsylvania
Virginia
Washington

Exempt Carry Permits
Carry Permits (also Concealed
Weapon Permits or Concealed
Handgun Licenses)

Carry Permits (also Concealed
Weapon Permits or Concealed
Handgun Licenses)
Carry Permits (also Concealed
Weapon Permits or Concealed
Handgun Licenses)

Point of Transfer
Point of Transfer
Point of Transfer
Handgun Transfers
(Handgun Purchases)

West Virginia

Wisconsin
Wyoming

Purchase Permits

Carry Permits (also Concealed
Weapon Permits or Concealed
Handgun Licenses)
Point of Transfer
Carry Permits (also Concealed
Weapon Permits or Concealed
Handgun Licenses)