All FIST Attachments with TOC

FIST Attachments with TOC.pdf

Firearms Inquiry Statistics (FIST) Program

All FIST Attachments with TOC

OMB: 1121-0314

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Attachments
• Attachment I. BJS authority
• Attachment II. Non-substantive change request to OMB
Contains:
Screenshots of FIST web-form
Responses to FIST survey testing
Analysis of burden
• Attachment III. 2013 FIST survey and proposed changes from 2012
instrument
• Attachment IV. FIST correspondence
• Attachment V. FIST universe
• Attachment VI. Proposed 2013 FIST sample determination and
allocation
• Attachment VII. 2010 FIST standard errors

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. Non-substantive change request to OMB
Includes:
•
•
•
•
•
•
•
•
•
•
•

Attachment I: Proposed CY 2012 FIST data collection schedule
Attachment II: FIST universe
Attachment III: Proposed sample allocation
Attachment IV: Data collection methodology
Attachment V: FIST tally sheet approved in OMB packet
Attachment VI: Revised FIST survey instrument
Attachment VII: Responses to survey testing *
Attachment VIII: Analysis of burden *
Attachment IX: Screenshots of web-based FIST survey form *
Attachment X: Web-based survey implementation plan
Attachment XI: Revised correspondence

*Referenced in clearance package

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

Washington, D.C. 20531
MEMORANDUM
TO:

Shelly Martinez
Desk Officer
Office of Statistical Science and Policy, Office of Management and Budget

THROUGH:

Lynn Murray
Clearance Officer, Justice Management Division
William J. Sabol
Acting Director, Bureau of Justice Statistics
Devon B. Adams
Chief, Criminal Justice Data Improvement Program, Bureau of Justice Statistics

FROM:

Allina Lee
Justice Statistics Policy Analyst, Bureau of Justice Statistics

SUBJECT:

Non-substantive Changes to OMB #1121-0314 to Firearm Inquiry Statistics Program

DATE:

May 23, 2013

The purpose of this memorandum is to advise the Office of Management and Budget (OMB) of changes to the
Firearm Inquiry Statistics (FIST) Program data collection schedule and provide copies of the revised sampling
plan and the web-form implementation plan to respond to the conditions of the OMB clearance. The Bureau of
Justice Statistics (BJS) is also requesting OMB approval of changes made to the approved survey form and to
the number of respondents in the collection. Briefly, the FIST program collects data on firearm background
check activities from a sample of local agencies authorized to conduct background checks and combines these
data with data obtained from state reporting agencies, the Federal Bureau of Investigation (FBI), and the Bureau
of Alcohol, Tobacco, Firearms, and Explosives (ATF) to produce a national estimate of firearm applications,
denials, reasons for denials, arrests, and appeals. Since 1995, BJS has conducted the FIST survey. The Regional
Justice Information Service (REJIS) was competitively awarded a cooperative agreement in FY 2011 to
collaborate with BJS and continue the FIST data collection efforts.
While the FBI reports on transaction data processed by the National Instant Criminal Background Check System
(NICS), the FIST collection is the only comprehensive source of national data on the number of applications
received and denied and post-denial activities pursuant to the Brady Handgun Violence Prevention Act of 1993
(the Brady Act) and similar state laws. Absent this collection, there would be no other means to assess the
enforcement of the Brady Act, including the effectiveness of post-denial activities, levels of background check
trends and activities nationwide, and appeal and arrest activities at the state and local levels. The FIST data

collection also contributes to the goals of the NICS by enhancing efforts to collect and analyze statistics on
denial for firearm purchase applications and to identify changing trends in disqualifying factors over time.
OMB clearance for the FIST collection, ICR reference #201010-1121-002, was approved on February 20, 2011.
Data Collection Schedule
The OMB clearance granted BJS approval to collect calendar year (CY) 2010 data using the same sample used
in previous years with the understanding that the subsequent data collection would be conducted with a revised
sampling frame. The FY 2011 FIST award to collect CY 2010 data was competitively awarded to REJIS in
August 2011. The time associated with competing the award and making a funding decision, coupled with the
delayed passage of the FY 2011 budget, resulted in significant delays in initiating the collection. Additionally,
BJS spent a significant amount of time reviewing the FIST methodology to both improve the reporting of 2010
data and to determine the sampling plan for future collections. The Background Checks for Firearm Transfers
2010 Statistical Tables publication was published to the BJS website in February 2013.
Due to the delayed start of the 2010 data collection and time spent on addressing methodological issues, BJS
was concerned that collecting CY 2011 data would create an unnecessary burden on respondent agencies by
asking them to report data so soon after their last submission. Moreover, BJS has prioritized collecting CY 2012
data because it has been a notable year in firearm background check activity, as evidenced by the increase in
transaction data reported by the FBI (up from 2010 and 2011), and a high demand for the most recent data on
background check activities observed since the school shooting in Newtown, Connecticut, in December 2012.
For these reasons, BJS decided to forgo the collection of CY 2011 data and will collect the next round of data
for CY 2012. Pending OMB approval of the changes outlined in this memo, the 2012 data collection is
scheduled to be initiated in June 2013 (see Attachment I).
Revised Sampling Frame
The sample of local checking agencies will be redrawn for the 2012 FIST collection. REJIS spent a significant
portion of time updating the FIST universe to ensure that all agencies that are authorized to conduct and are
known to conduct background checks are accounted for in the universe (see Attachment II). BJS and REJIS
worked extensively to develop the most appropriate sampling plan that will produce a reliable national estimate
while staying within the confines of the budget allocated for the FIST data collection. The new sampling plan
will also enable the creation of state-level estimates, which have become a source of increased public interest.
After considering multiple methodologies, BJS has decided to employ an enumeration of local agencies in eight
of the twelve states (DC, DE, IA, ID, MT, NC, NV, and NY) in which local checking agencies are responsible
for conducting background checks. Agencies in the remaining four states with local checking agencies (GA,
MN, NE, and WA) responsible for conducting background checks will be sampled due to the relatively greater
number of agencies in these states compared to the other eight. In these four states, the decision was to create a
stratified sample based on population size that roughly equates to Category 1) rural – places of less than 10,000
population; Category 2) small cities – places of between 10,000 and 99,999 population; Category 3) small
metropolitan areas – places of between 100,000 and 199,999 population; and Category 4) large metropolitan
areas – places of 200,000 or more population. These population categories were selected to be consistent with
definitions of various census place levels. Sampling will be done for agencies in Categories 1 and 2, while the
agencies in Categories 3 and 4 will be kept in the sample as certainty (see Attachment III).
BJS will plan for unknown nonresponse by creating two reserve samples within each of the four sampled states
with a 15% oversample for each. Agencies will be randomly assigned to one of the two reserve samples so that
the probability of selection will equal the initial probability of selection times the probability of being assigned
to a reserve sample. If a response rate within any state falls below 85%, the first reserve sample will be initiated.
If the response rate falls below 75% after the first reserve sample is instituted, the second reserve sample will be
employed. Appropriate sampling weights will be assigned such that state-level estimates may be made in
addition to a national estimate. BJS has initiated and will continue to employ a rigorous follow up schedule
based on Dillman, Smyth, and Christian’s work on mail and internet surveysi to maximize the response rate (see
Attachment IV).

A sample size of 791 is needed to implement this sampling design with the appropriate precision to calculate a
reliable national estimate and improve the overall robustness of the sample. The sample size also stays within
the budgetary parameters approved for the FIST data collection. BJS is requesting OMB approval to increase
the number of respondents from the currently approved 653 to 791. The impact of the increased number of
respondents on the overall burden hours is addressed in the following section.
Revised Survey
As part of BJS’ overall effort to improve the FIST methodology, BJS assessed the approved tally sheet that had
been used previously to collect FIST data and decided that changes were necessary to better clarify what data
are being requested and format the presentation to be more aligned with other BJS surveys. Copies of the
approved tally sheet and proposed revised survey are appended to this memorandum for OMB’s review
(Attachments V and VI). The following sections describe the changes that were made to the survey form and
underlying rationale for the changes.
Survey format
The revised survey is designed to collect the same data on firearm background check activity for the reference
year as the approved tally sheet. The revised survey includes screener questions to assist in maintaining the
universe file of agencies that conduct firearm background checks, a section to obtain information about agency
characteristics to better understand the sample population and assist efforts to conduct a nonresponse bias
analysis if necessary, and a section to identify how agencies collect and report their data. The majority of these
additions are in the form of a check box response, which will result in a minimal enhancement to the burden.
One of the greatest benefits of the revised survey is that additional clarification and directions are provided to
ensure that respondents are clear as to what data are being requested. BJS found that the lack of clear
instructions and definitions in the tally sheet was problematic because it introduced potential data quality issues
as it may have been unclear to respondents what information was being requested. Given the fact that the sample
will be redrawn to include new agencies that have not participated in past FIST data collections, it is imperative
that respondent agencies are provided with consistent guidance to improve the quality of data being collected
and inform BJS about how state and local agencies collect and report data.
Instructions and definitions were added to each section in addition to screener questions to determine if the
respondent agency tracked the requested data. A box was also added to applicable questions so the respondent
could check if the response was an estimate to help BJS to better understand the accuracy of the data.
The following enhancements were also made to the survey instrument:
 Page 1: Questions have been added to determine if the respondent agency is currently authorized to
and/or has conducted background checks during the reference year. These questions are designed to
help maintain the FIST universe of local checking agencies.
 Section I: A section titled “Agency Characteristics” has been added to request information about the
types of checks that the local agency conducted during the reference year. In the past, REJIS sent the
tally sheet to respondent agencies based on what types of checks they were known to conduct based on
state laws. These questions will help to verify the accuracy of and maintain the universe of local
checking agencies and help to monitor changes in how agencies conduct background checks.
 Section II: A question (#7) was added to ask if the agency tracked the reason(s) why an application was
denied. This question will help to determine which agencies are currently collecting this data. Two
questions (#9 and #10) were added to determine how the agency records and reports on reasons for
denial. This information is critical to inform BJS’s understanding of the tracking process and ensure that
the data can be accurately reported.
 Section III: No new questions have been added apart from the screener questions.
 Section IV: A section has been added to address the reporting of partial year counts. Prior experience
with the FIST survey has shown this to be a rare occurrence.
 Section VI: A section has been added to enable the respondent to provide a narrative response about its
data collection procedures and/or reporting of estimated totals

Feedback from testing
In accordance with approved OMB survey testing protocol, the survey was sent to five agencies with a request
to complete the revised survey and provide feedback. Of the five agencies, four were local agencies and one was
a state agency. The local agencies represented the different population strata (size A, B, and C) of those in the
sample. Three local agencies responded: one size A and two size B. Additionally, the revised survey was
presented to two subject matter experts who have significant experience in firearm background check activities
and procedures for comment. See Attachment VII for a list of pre-test questions asked and feedback received.
Burden
The respondent burden to complete the tally sheet approved in the original OMB package was estimated to be
fifteen minutes. Based on comments provided by the respondents and stakeholders that completed and/or
reviewed the revised survey and a corresponding analysis of estimated burden by number of permit types
checked (see Attachment VIII), BJS estimates that the respondent burden associated with completing the revised
survey will be approximately twenty-five minutes. As the new survey was developed and the burden associated
with responding to the questions was assessed, BJS concluded that the original estimated burden of fifteen
minutes to complete the tally sheet was too low and that the twenty-five minute estimate is a more accurate
reflection of the true burden associated with the FIST survey instrument to provide adequate time for the
respondent to read the instructions and accompanying definitions. Based on the results of a field test of the
revised survey instrument combined with REJIS’s fifteen years of experience administering the FIST data
collection, BJS estimates that the respondent burden will vary depending on the number of permit types the
respondent agency conducts background checks for.
The estimated respondent burden is as follows:
 20 minutes for agencies that conduct background checks for one permit type
 30 minutes for agencies that conduct background checks for two permit types
 30 minutes for state reporting agencies
As stated previously, the type of data that is being requested has not changed from the original tally sheet.
BJS does not anticipate that the twenty-five minute burden will negatively impact the response rate as the data
being requested are straightforward and are believed to be routinely tracked by most respondent agencies. While
respondents will be encouraged to utilize the new web-form reporting options, REJIS will also continue to
accept data via fax and paper survey to ensure that multiple response modes are available to minimize the
respondent burden. The FIST data collection received OMB approval in 2007 to administer and collect survey
data twice a year for an annual estimated burden of thirty minutes per respondent. BJS has not observed that the
change in burden has had any impact on the response rate over the years. Rather, the type and frequency of the
contact schedule has proven to be a key factor in the response rate. As noted, REJIS will employ a rigorous
contact schedule to maximize the response rate.
The FIST collection is currently approved for 653 respondents and 163 burden hours. With the increase in the
number of respondents to 791 and the estimated time to complete the survey at twenty-five minutes, the
recalculated number of burden hours totals 330 hours.
Web-Based Form and Implementation Plan
To satisfy the terms of the OMB clearance, BJS is submitting to OMB for review several screenshots of the
web-based FIST survey that was developed and will be employed in the 2012 FIST data collection (Attachment
IX). The web-based form was designed with input from survey methodologists, subject matter experts, and
background checking agency stakeholders. Following OMB testing protocol, four agencies were asked to
complete the web-form and provide feedback; despite multiple follow up requests, none of the agencies
responded to the request. Given that the web-form was designed to closely mirror the format of the paper
survey, BJS estimates that the respondent burden will be the same (twenty-five minutes).

The introduction of the web-based data collection instrument is intended to encourage participation by providing
a secure, convenient mode of responding to the FIST survey and is intended to streamline the survey process by
eliminating questions that the respondent may not need to see, thus also reducing response burden. It is also
designed to reduce item nonresponse by requiring that a response to critical items is submitted before continuing
to the next question. Each FIST participant will be provided a unique User ID and password that will allow
secure access to the web form. In order to reduce any differences in response as a result of the mode by which a
respondent chooses to participate in the survey (mode effects), particularly mode effects due to the different web
and mail response modes, the web form has been designed to mimic the visual presentation of the paper survey
as much as possible. The wording of the questions is consistent between the two modes. A detailed description
of the web-based survey implementation plan can be found in Attachment X.
Revised correspondences
BJS updated the approved correspondence letters and phone script to include information about the web-based
survey option. Copies of the updated communications can be found in Attachment XI.
Terms/condition of clearance
The approved OMB packet stipulated that the sample would be redrawn for the 2011 FIST data collection. As
addressed previously, BJS will initiate the next collection for CY 2012 data. The terms of the OMB clearance
stated that “OMB looks forward to a new analysis of sample design and size needed to meet precision
requirements after one round of experience with new procedures.” BJS will submit to OMB for review the
requisite analyses after the data collection for CY 2012 employing the new sampling frame is complete. The
current OMB approval for the FIST data collection expires in February 2014. BJS will be prepared to submit the
requisite package in advance of the expiration to avoid a delay to the data collection schedule for 2013 data.
Summary
BJS seeks OMB approval of the above noted changes to the FIST survey, revised sampling plan, and the plan to
implement the web-based survey form in adherence with the terms of the OMB clearance. In light of the fact
that gun control legislation and background checks are politically sensitive, high profile topics and there is
currently a high demand for data, specifically state-level data, BJS’s priority is to get into the field as quickly as
possible to collect and analyze CY 2012 data in order to report on recent data in next publication of the
Background Checks for Firearm Transfers series.
BJS respectfully requests OMB’s consideration of these factors during the review and will work to expeditiously
respond to any inquiries. Thank you in advance for your time and consideration.

Attachments:
Attachment I: Proposed CY 2012 FIST data collection schedule
Attachment II: FIST universe
Attachment III: Proposed sample allocation
Attachment IV: Data collection methodology
Attachment V: FIST tally sheet approved in OMB packet
Attachment VI: Revised FIST survey instrument
Attachment VII: Responses to survey testing
Attachment VIII: Analysis of burden
Attachment IX: Screenshots of web-based FIST survey form
Attachment X: Web-based survey implementation plan
Attachment XI: Revised correspondence

Dillman, Don A., Smyth, Jolene D., and Christian, Leah Melani. (2009). Internet, Mail and Mixed-Mode Surveys: The Tailored Design Method. John
Wiley and Sons: New York.

Attachments

Attachment I: Proposed CY 2012 FIST data collection schedule
Attachment II: FIST universe
Attachment III: Proposed sample allocation
Attachment IV: Data collection methodology
Attachment V: FIST tally sheet approved in OMB packet
Attachment VI: Revised FIST survey instrument
Attachment VII: Responses to survey testing
Attachment VIII: Analysis of burden
Attachment IX: Screenshots of web-based FIST survey form
Attachment X: Web-based survey implementation plan
Attachment XI: Revised correspondence

Attachment I. Proposed 2012 FIST Data Collection Schedule
Administration Division, Grants Unit - FIST Program Work Plan
Project/Task
2012 FIST Data Collection Schedule (Tentative)
A. Request FBI & ATF data
B. Download state internet data
C. Contact agencies & record responses
1. Pre-notification letter to local agencies/states
2. Local letters & state fax/email with survey
3. Thank you or second request note
4. Second survey to nonrespondents
5. Final contact with nonrespondents
D. Enter State & local data into databases
E. Data verification & quality checks
F. Update agency contact information

Start Date

Target
Complete

July
July
July
July
July
August
August
October
July
July
Continuous

July
July
July
July
July
August
September
October
October
October

Data analysis and report preparation
A. Prepare national estimate
B. Finalize statistical tables & footnotes
C. Write highlights & methodology summary
D. Transmit final draft to BJS for review
E. Respond to BJS requests for changes

October
December
December
March (2014)
March (2014)

December
February (2014)
February (2014)
March (2014)
March (2014)

Prepare responses to OMB on 2012 FIST redesign

November

January (2014)

Date
Completed

Attachment II: FIST Universe
The FIST universe and how to sample from it are key areas of interest for the FIST study redesign. The
FIST program is unique in the varied nature of the checking agencies to be surveyed. This uniqueness is
a product of Federal law (the Brady Act, specifically) plus a patchwork of state statues that govern how
background checks for firearm transfers and permits are conducted within certain states.
In addition to the FBI NICS states (those who rely entirely on the FBI’s instant background check system)
and thirty-two state agency reporters 1 the 2012 FIST universe includes local agencies in 12 states
(including Washington, D.C.) that conduct a background check for some type of firearm permit or
transfer. In these 12 states where local agencies are authorized to conduct checks, however, there is an
important distinction to be made between agencies authorized by statute to conduct background checks
and those that actually do the checks. Although in certain states local agencies are legally authorized to
conduct background checks for firearm transfers or permits, these agencies are not required to do so.
There are many instances in these states with local checking agencies in which a local agency, legally
authorized by state statute to conduct a background check, has never actually done so and will likely
never do so. Instead, transfer and permit applicants who might otherwise use such a local agency to apply
for a transfer or permit to purchase or carry a firearm are directed to another local authority (usually, but
not always the county sheriff) to apply for a transfer or permit. As such, the local agencies that do not in
reality conduct checks and have little likelihood of doing so were not included on the frame. The result is
that the numbers of local checking agencies are, in some cases, greatly reduced from that authorized by
state statute. Thus only agencies that are authorized to conduct checks are included on the FIST frame.
This decrease in the size of the frame combined with the majority of FIST reporting coming from the FBI
or state-level reporters means that a relatively small proportion of the FIST national estimate comes from
the local agency population.
In order to generate the new FIST frame, REJIS utilized multiple data sources combined with a large
known pool of past FIST responders. First, REJIS regularly included as part of its annual sample over one
third of the number of local agencies now determined to be in the new frame. These agencies were known
to have responded to the FIST survey at least once in the prior three years and had a verified status of
conducting background checks for firearm transfers. Other data sources used to expand and verify the
FIST frame were:
•
•
•
•

The 2008 Census of State and local law enforcement
A recent (as of the time of frame creation) FBI Originating Agency Identifier (ORI) file of all
known law enforcement agencies in the U.S.
Published lists from professional officer associations such as state Sheriffs’ and Police Chiefs’
association lists and officer standards and training office lists.
In most states where the authorized background check agency is a county level agency, it is
assumed that all of these agencies (often Sheriff’s offices) are eligible to be in the FIST frame.

State agency reporters include full or partial NICS Point of Contact (POC) states and those states for which local
agencies may conduct the background checks but local agencies report their activity to a state-level entity. It is this
state level entity that provides the complete state-wide counts of applications for firearms transfers or permits,
denials, and sometimes reasons for denial, to FIST.

•

In certain states, the authorized checking agency or reporting agency is not a law enforcement
agency at all, but rather another county government authority. In Georgia, the authorized
checking agencies are the county probate courts. In the state of New York, most of the agencies
reporting to FIST are county clerks’ offices.
Where the checking status of an agency, law enforcement or otherwise, could not be verified with
publicly available information (usually via the agency’s website), the agency was contacted
directly for verification of its checking status.

Attachment III. Proposed FIST Sample Determination and Allocation
Information for the FIST data collection will be obtained from state agency reporters (thirty-two states), statewide censuses of local checking agencies
(seven states plus Washington, D.C. and some local checking agencies from Michigan), and a sample of local checking agencies in four states. This
decision equates to a total data collection of 791 checking agencies plus the FBI NICS data.
In the four states in which agencies are to be sampled (GA, MN, NE & WA), a stratified sample based on population size will be created that roughly
equates to the following Categories: 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.
These population categories were selected to be consistent with definitions of various census place levels. They also allow the proposed collection to
maintain some consistency with portions of the methodology of past FIST collections. Further, using population categories in this manner was
determined to be an efficient mechanism for dividing the FIST universe in a way that kept the collection within current budgetary constraints while
allowing for a stratification and estimation strategy that would keep the burden close to the level approved by OMB.
The optimal situation would be to stratify these four states individually. However, this approach proved to be problematic because the correlated variable
used to estimate variance (number of applications in 2010) had information for all strata in only one of the four states. The other three 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 four states. Consequently, it was decided to utilize a simple 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 four states.
The following formula was used to determine the sample size and weight allocation for the stratified sample of the four states taken as a group.

The formula used is:

𝑛=

𝑁𝑖2 𝜎𝑖2�
∑
𝑤𝑖

𝑁2 𝐷+∑ 𝑁𝑖 𝜎𝑖2

where

𝐷=

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

𝐵2
4

The following formula was used to determine the sample size of a simple random sample in each state. The bound on error was 100
applications for GA, NE and WA. The bound was fifty applications for MN.
1

The formula used is:

𝑛=

𝑁𝜎 2

𝑁2 𝐷+𝜎 2

where

𝐷=

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

𝐵2
4

A 15% reserve sample will be randomly selected to cover nonresponse. Because all local checking agencies in Categories 3 and 4 are to be
surveyed, this reserve sample only impacts agencies in Categories 1 and 2. In total, there will be a 30% reserve sample for each of the four
states that are sampled. The 15% sample was taken of the entire population of units in any one category and is added on top of the sample
size.
Following is a summary sheet of the actual sample for the four states (Georgia, Minnesota, Nebraska and Washington) that will be sampled along with
the distribution of the reserve sample.

Sample Allocation, Simple Random Sample in 4 States, Census in 7 States

Population

Category

Size

States w POCs in

Sub

SRS prop to size

Sample

Add a

Add b

Census States

Sub

Other

Total
Sample

State-level
DC

Size

Reporters

Category 1

1 to 9999

181

266

Category 2

10000 to 99999

126

350

Category 3 100000 to 199999 16

Category 4

2
3

2
99

1
44

0
56

10
100

2
17

14
59

200000+

9
108

2
69

2
98

7
78

353

SRS n

334

Bound on error

100

Reserve Sample
Category 1

1 to 9999

Category 2

10000 to 99999

16
21

20
64

4
21

28
45

731

791

151

As addressed in Attachment II, the local checking agencies in the FIST frame conduct background checks for different types of permits or transfers as
authorized by state law or statute. The following breakdown shows for which types of permits or transfers, by state, local agencies in the FIST frame are
authorized to conduct background checks:
Exempt carry permits i: DE, GA, IA, ID, MI, MN, MT, NE, NV, NC, WA
Instant checks ii: DE, NV
Purchase permits iii: IA, MI, MN, NE, NC, NY
Other approvals iv: DC, MN, WA

State concealed weapons permits, issued after a background check, that exempt the holder from a new check at the time of purchase under an ATF ruling or state law.
Require a seller to transmit a buyer’s application to a checking agency by telephone or computer. The agency is required to respond immediately or as soon as
possible.
iii
Require a buyer to obtain, after a background check, a government-issued document such as a permit, license, or identification that must be presented to a seller before
the buyer can receive a firearm.
iv
Require a seller to transmit an application to a checking agency, with transfers delayed until a waiting period expires or the agency completes a check.
ii

Attachment IV. Data Collection Methodology
The data collection process will be initiated by a notification letter, sent to the appropriate point
of contact, which will explain the purpose of the survey, what the collected data will be used for,
and the estimated time burden of completing the survey. In addition to alerting the potential
respondent to the survey, REJIS will request to have the addressee of the letter contact the FIST
project manager via phone or email if the primary contact information for the survey respondent
needs to be updated.
Approximately one week following the mailing of the notification letter, the FIST survey packet
will be mailed to all agencies selected into the sample. Each survey packet will contain a cover
letter, a survey form, and a self-addressed stamped envelope. In addition to general instructions
and a deadline for returning the form, the cover letter contains a request for participation and
information for logging on to the web version of the survey form (user ID, password, and survey
web address). A toll-free help desk telephone number and email address are provided on both the
cover letter and the survey form. Respondents may send an email or call this number to get any
questions regarding the survey answered. They may also report their responses in this way. The
cover letter, signed by BJS’s Deputy Director, will indicate that several modes of data
submission are available to the respondent: mail, web, email, fax, and phone. In past FIST
collections, the primary modes of response have been mail and fax, with a few respondents
choosing to submit their data in an email or over the phone.
One week following the mailing of the survey packet, a survey reminder/thank-you post card or
letter will be sent to all agencies in the sample, serving the dual purpose of thanking those that
have already responded and reminding those who have not to do so. Approximately 3 weeks
after the initial survey packet mailing, a second survey packet will be mailed to agencies that
have not yet responded to the survey. The second packet will look much the same as the first, the
primary difference being a more strongly worded cover letter to encourage survey participation.
Two weeks after the second survey packet mailing, follow-up calls will be made to
nonrespondents to 1) if possible, try to obtain responses to critical survey items over the phone,
2) request participation in any other mode of the respondent’s choosing. We are confident that
these multiple contacts plus the multiple modes available for respondents to submit data will
work in concert to maximize response. Should a respondent refuse to participate in the course of
this follow-up, and attempt will be made to ascertain and document the reason for refusal.

ATTACHMENT V.
Survey Form (sent to local reporting agencies, as applicable)
OMB NO. 1121-0314: Approval Expires 02/28/2014

PLEASE RETURN BY
Special Tally Sheet for Firearm Statistics Inquiry (FIST) Program Purchase Permit Statistics
January - December 2011
«ORI» «Company»
Total
Applications
Rejections
Reasons for Rejection (if
known)
Felony Indicted
Felony Conviction
Felony No Disp.
Fugitive
Juvenile
Drug Related
Court Order
Mental Incompetence
Illegal Alien
State Law
Local Ordinance
Domestic Violence
Other*
Arrest and Appeal
Information**
Number of Arrests
Reconsiderations† Received
Reconsiderations Reversed
Appeals to Court Filed
Appeals to Court Reversed

*Other includes dishonorable discharge, renunciation of U.S. citizenship, and unspecified reasons.
**Arrest and appeal counts can be sent later, if more time is needed to collect data.
† A reconsideration occurs when the denied person objects to the original decision and asks your agency to
reconsider the denial.
If these statistics cover only part of a month, please enter the last date these statistics cover: ___________________
Please fill in at least the first two rows and fax or mail this form back to us as soon as possible. Even if your agency received zero (0)
applications, please send this information. Thank You! For any questions: 1-800-XXX-XXXX
FAX: (XXX) XXX-XXXX
Completed by: ______________________
Telephone: ________________________
FAX: _____________________________
E-mail: ______________________________

MAIL: FIST

Attachment VI. Revised survey

OMB NO. 1121-0314: Approval Expires 02/28/2014

FORM FIST-1

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

2012 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] the
appropriate box below.
Did your agency conduct background checks for firearm transfers or permits at any time between
January 1, 2012 and December 31, 2012?
Yes
No
If no, the authorized checking agency for
your jurisdiction is :

(Agency Name)

If your response to the above question is “No” or if any of the following conditions apply, 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://websurvey.rejis.org/FIST2012,
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) 2012. 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 V to describe how the estimates were calculated.
Please do not leave any items blank in unless otherwise directed.
Section I –AGENCY CHARACTERISTICS

1. Did your agency conduct background checks for
firearm transfers or permits for the entire calendar
year 2012, January 1, 2012, through December 31,
2012?

2. Does your agency conduct Point of Transfer
background checks? This is a check that occurs after a
seller transmits a prospective purchaser’s application
data to a checking agency by telephone, computer,
mail, or other means.
Yes

Yes

No  a. Did your agency start or
discontinue being the designated
checking agency for your jurisdiction
in 2012?

Don’t know

Started
Discontinued
b. When did your agency start or
discontinue conducting background
checks?

3. Does your agency conduct background checks for
Purchase Permits? A purchase permit is a document
(referred to as a permit, license, identification card, or
other name) that a prospective purchaser must present
to a seller to receive a firearm.
Yes
No
Don’t know

______ /______ /___________
mm/ dd/ yyyy

c. Name of old/new designated
checking agency:

Agency Name

4. Does your agency conduct background checks for
exempt Concealed Carry Permits? An exempt
concealed carry permit, for the purposes of this survey,
is a state concealed firearm permit (issued after a
background check) that exempts the holder from a
check at the time of a firearm purchase under a Bureau
of Alcohol, Tobacco, Firearms, and Explosives (ATF)
regulation or state law.
Yes
No
Don’t know

Section II –APPLICATIONS AND DENIALS
5. Between January 1, 2012, and December 31, 2012,
how many applications were received by your
agency?
Mark ‘x’ if
estimate

a. Point of transfer checks
(if applicable)

8. For denials issued in 2012, 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.
Concealed
Point of Purchase
carry
Transfer Permit
Permit

____________

b. Purchase permits
(if applicable)

____________

c. Concealed carry permits
(if applicable)

____________

a. Felony indictment
or charge......................
b.Felony conviction.......

6. Between January 1, 2012, and December 31, 2012,
how many applications 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

a. Point of transfer checks
(if applicable)

____________

b. Purchase permits
(if applicable)

____________

c. Concealed carry permits
(if applicable)

____________

7. In 2012, did your agency track the reason(s) why an
application was denied?
Yes
No (skip to question number 11)

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).....................

9. If multiple reasons are found for a denial, what is
recorded and reported?
All reasons for denial are recorded and reported
(skip to question 11)
Only one reason for the denial is recorded and
reported

13. In 2012, did your agency track appeals made to
your agency for reconsideration of denial? An
appeal, for the purposes of this survey, is an objection
to a denial decision and includes reconsiderations,
challenges, and other informal procedures.
Yes
No (skip to question number 15)

Don’t know (skip to question 11)
10. If only one reason for the denial is recorded or
reported, what reason is reported?
The first reason found during the background
check
The most serious charge listed on the criminal
history record
Other method (Please explain. If more space is
needed, please use the space provided in
Section V)

14. How many denied persons appealed to your
agency, requesting that your agency reconsider its
initial denial decision between January 1, 2012, and
December 31, 2012?
Mark ‘x’ if
estimate

a. Point of transfer checks
(if applicable)

____________

b. Purchase permits
(if applicable)

____________

c. Concealed carry permits
(if applicable)

____________

Don’t know
15. In 2012, did your agency track reversals by your
agency of initial denial decisions?

Section III –ARRESTS AND APPEALS

Yes

No (skip to question number 17)
11. In 2012, did your agency track arrests that occurred
as a result of a denied application?
An arrest, for the purposes of this survey, occurs when 16. Between January 1, 2012, and December 31, 2012,
a denied person who submitted a false application or
how many initial denial decisions were reversed by
has an outstanding warrant is arrested by the checking
your agency?
agency or another agency that is notified.
Mark ‘x’ if
estimate

Yes
No (skip to question number 13)
12. Between January 1, 2012, and December 31, 2012,
how many arrests occurred as a result of a denied
application?
Mark ‘x’ if
estimate

a. Point of transfer checks
(if applicable)

____________

b. Purchase permits
(if applicable)

____________

c. Concealed carry permits
(if applicable)

____________

a. Point of transfer checks
(if applicable)

____________

b. Purchase permits
(if applicable)

____________

c. Concealed carry permits
(if applicable)

____________

17. In 2012, did your agency track appeals to a court of
any denial decision?
Yes
No (skip to question number 19)

18. How many denials were appealed to a court
between January 1, 2012, and December 31, 2012?
Mark ‘x’ if
estimate

a. Point of transfer checks
(if applicable)

____________

b. Purchase permits
(if applicable)

____________

c. Concealed carry permits
(if applicable)

____________

19. In 2012, did your agency track reversals by a court
of initial denial decisions?
Yes
No (skip to question 21)
20. Between January 1, 2012, and December 31, 2012,
how many denials were reversed after being
appealed to a court?
Mark ‘x’ if
estimate

a. Point of transfer checks
(if applicable)

____________

b. Purchase permits
(if applicable)

____________

c. Concealed carry permits
(if applicable)

____________

Section IV – Partial Year Counts
21. Do any of the counts you provided for any of the
items throughout the survey cover only part of the
year?
Yes (please specify in Section IV which counts
cover only part of the year and the months that
are covered)
No

Section V - COMMENTS
Please include any comments that would better explain
how your agency collects information on background
checks. If the reported totals are estimates please provide
a brief explanation to describe how the estimates were
calculated.

__________________________________
__________________________________
__________________________________
__________________________________
__________________________________
__________________________________
__________________________________
__________________________________
__________________________________
__________________________________
__________________________________
__________________________________
__________________________________
__________________________________
__________________________________
__________________________________
__________________________________
__________________________________
__________________________________
__________________________________
__________________________________
__________________________________
__________________________________
__________________________________
__________________________________

Attachment VII. Responses to survey testing
In accordance with approved OMB survey testing protocol, the survey was sent to five agencies with a
request to complete the revised survey and provide feedback. Of the five agencies, four were local
agencies and one was a state agency. The local agencies represented the different population strata (size
A, B, and C) of those in the sample. Three local agencies responded (referred to as respondents): Clarke
County, IA Sheriff (size A); Caldwell County, NC Sheriff (size B); and Cortland County, NY Clerk (size
B). Additionally, the revised survey was presented to two subject matter experts that have significant
experience in firearm background check activities and procedures for review and comment.
Respondents and subject matter experts were asked to complete a pretest evaluation form and respond

to the following seven questions:
1.
2.
3.
4.

Were the return instructions on the form clear?
Were the instructions on how to complete the form clear?
Were the instructions accompanying each question clear?
The definitions provided with certain questions are intended to be generic and apply to all states
in the survey. Do the definitions included with the applicable questions (ex. the definition of
Purchase Permit) make clear what is being referred to?
5. How easy or difficult were most of the questions to understand?
6. Did the order of the questions asked and the flow of the survey make sense to you?
7. How much time did you spend on the survey (including review of instructions, searching existing
data sources, gathering data, and filling out the form)?

Questions used a four-point semantic differential scale, ranging from Clear to Unclear for
questions 1-4; Easy to Difficult for question 5; and Made Sense to Did Not Make Sense for
question 6. Question 7 was open-ended.
Summary of results:
• Respondents and subject matter experts indicated that all questions were “Clear” with the
exception of one definition on the survey for exempt carry permits. One respondent indicated that
this question was “Unclear.” The question has since been reworded to provide additional
clarification.
• Two of the respondent local checking agencies were responsible for conducting background
checks for two permit type and one respondent local checking agency was responsible for
conducting background checks for one permit type. The median time it took for the respondents
to complete the survey was thirty minutes. BJS estimates the respondent burden to complete the
survey will be twenty-five minutes. This estimate is based on the fact that agencies that
completed background checks for two permit types were overrepresented in the respondent pool
and also on BJS’s prior experience administering the FIST survey. BJS also factored into the
estimate the fact that some of the reported burden was likely associated with time spent on the
cognitive review of the survey to assess its readability and clarity. See also Attachment VIII.
• Respondents and subject matter experts were given the option to provide additional comments
and suggestions. One subject matter expert felt that the form was too long. However, this
individual did not actually complete the form. No other comments were provided.

Attachment VIII.
Local Checking Agencies with 1 Permit Type
Number of reporting
agencies
State
1
DC
Assuming an average of 20 min per agency with one type
DE
3
of permit, total burden estimate = 9,640 total min
GA
108
ID
44
MI*
27
MN
69
MT
56
NE
98
NV
17
NY
59
Total
482
*Some local agencies in MI will be sampled.
Local Checking Agencies with 2 Permit Types
Number of reporting
agencies
State
Assuming an average of 30 min per agency with
IA
99
two permits, total burden estimate = 8,310 total min
NC
100
WA
78
Total
277
State Checking Agencies
State POC
Number of reporting
agencies
agencies
Total
32

Assuming an average of 30 min, total burden estimate = 960 min

Total number of agencies conducting checks = 791
Total combined minutes for all agencies = 18,910
Avg minutes per agency = 23.9 (rounded up to 25)

Attachment IX. Screenshots of web-based FIST survey form

Attachment X. Web-based survey implementation plan
Previous iterations of the FIST collection experienced continually declining response rates prior
to the 2010 collection. In 2010 a regimented multiple follow-up contact strategy was employed
and this strategy helped to improve the local agency response rate from 69% to 85%. For the
2012 FIST collection, with the multiple contact strategy and extensive follow up with nonrespondents, in conjunction with a redesign of the data collection instrument and the introduction
of a web response mode, BJS seeks to increase the response rate to greater than 90%, and
minimize both unit and item nonresponse. Please see the Data Collection Methodology section of
this document for a detailed description of the multiple stages involved in contacting respondents
and the efforts to maximize response through these multiple follow-ups.
The redesigned data collection instrument was designed with input from survey methodologists,
subject matter experts and stakeholders in the background checking agency community. In
adherence with OMB testing protocol, four agencies were asked to complete the web-form and
provide feedback; despite multiple follow up requests, none of the agencies responded to the
request. Given that the web-form was designed to closely mirror the format of the paper survey,
BJS estimates that the respondent burden will be the same (twenty-five minutes). To ensure
clarity of the questions asked and to encourage better item response, explanations of terms are
included with each question. To reduce burden, the respondent is given multiple opportunities to
skip through questions that do not pertain to them. Participants in the test of the revised survey
form reported that the instructions for completing the form were quite clear, and that the
questions were either clear or somewhat clear.
The introduction of the web-based data collection instrument is intended to encourage
participation by providing a secure, convenient mode of responding to the FIST survey. The web
survey is designed streamline the survey process by eliminating questions that the respondent
may not need to see, and thus also reduce burden. It is also designed to reduce item nonresponse,
by requiring a response to critical items before continuing on in the survey. While the web form
is designed to ensure logical responses given previous responses, data will be monitored as it is
submitted to check for item completeness and logic to ensure data quality.
Each FIST participant will be given their own unique User ID and password in the survey
packet, with which to securely access the web form. Following data entry into the web survey,
respondents will have the opportunity to review their responses for accuracy prior to submission,
and will be able to print their responses easily with a built-in print button. Should any responses
require correction, respondents will be able to access and amend their previous responses. If at
any time, a web respondent has a question, a toll-free help number is provided at the bottom of
each screen, in addition to two email addresses (one for technical issues, and one for questions
about the survey itself) that when clicked upon, will sync with Outlook to easily generate an
email.
In order to help reduce any differences in response as a result of the mode by which a respondent
chooses to participate in the survey (mode effects), particularly mode effects due to the different
web and mail response modes, the web form has been designed to mimic the look and feel of the

paper survey as much as possible. All question wording remains the same between the two
modes.
Further, the web-based survey is linked to the data management database. Because data from
both modes will reside in the same database and any data not submitted via the web survey will
be entered from a web-based portal (though it will still be possible to decipher the mode by
which a survey was submitted), logical consistency checks on both response modes will be the
same, as will data quality monitoring. As data is obtained, analyses will be conducted on the two
response modes prior to the end of the survey period to see what differences, if any emerge.
Because this is the inaugural year of the web-based collection for FIST, BJS cannot yet be
certain what proportion of our survey response will come from the web mode. BJS anticipates
somewhere around 40% of response to come from the web. Though past FIST respondents who
remained in the perennial FIST sample have been conditioned to a different survey form and
mail and fax response modes, BJS is confident that, given past feedback from some respondents
that the web form will be well received and utilized.

Attachment XI. Revised correspondence
• Pre-notification letter
• Survey cover letter
• Thank you letter and 1st follow up
• 2nd follow up letter
• Phone script

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

Washington, D.C. 20531

January __, 2013
Name / Address

Dear ___:
Within the next week you will receive via 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, appeals of 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 conducts for 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 FIST data collection that you will
receive next week as well as instructions on how to complete a new 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 2012 data collection. Should you have any immediate questions please
contact Allina Lee, FIST Program Manager, at 202-305-2696, or [email protected].

Sincerely,

Gerard R. Ramker
Deputy Director, BJS

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

Washington, D.C. 20531

January __, 2013
Name / Address

Dear ___:
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 provide 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 2012.
Data provided by your agency and other background checking agencies from across the nation will be combined
with information obtained from the Federal Bureau of Investigation (FBI) and the Bureau of Alcohol, Tobacco,
Firearms, and Explosives (ATF) to produce 2012 national estimate of firearm applications and denials, along
with reasons for denials, appeals, and arrests. The data obtained will be published in the “Background Checks
for Firearm Transfers” series on the BJS website (www.bjs.gov).
The survey form enclosed is designed to capture your data for the 2012 calendar-year. Instructions for
completing and returning the survey are included on the form. You may return the form by mail via the enclosed
postage-paid envelope, by fax to 314-535-1729, or by email to [email protected]. There is also the option of
entering your data on our secure web site. To complete the survey online, please go
to https://websurvey.rejis.org/FIST2012 and enter your User ID (Agency ID) and Password (psswd1). This
unique identifying information can be found in the enclosed packet. We would greatly appreciate your return
of a completed survey by ____ __, 2013.
Participation by your agency and other agencies in this voluntary effort has provided a wealth of data for
policymakers, researchers, administrators, and others who use the data to study background check trends and
activities nationwide and to understand the impact of the Brady Act and its enforcement. Please note that the
data collected are summary statistics of an administrative nature and do not allow for identification of any
individual. Data collected are in the public domain and are not subject to confidentiality assurances.
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 REJIS FIST Project Manager at 1-800-531-2150, or send an e-mail to [email protected].
Sincerely,
Gerard F. Ramker
Deputy Director, BJS

<>
On _________, 2013, a survey on background check activity for firearm transfers and permits (FIST) was mailed to you as part of the Firearm Inquiry Statistics
(FIST) data collection effort by the Bureau of Justice Statistics (BJS), United States Department of Justice. The Regional Justice Information Service (REJIS) is
the data collection agent authorized by BJS to collect data for this collection.
If you have already completed and returned the survey, please accept our sincere appreciation. 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 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. You can also
complete the survey online at https://websurvey.rejis.org/FIST2012. Directions including your username and password were included in the information packet
we sent you. Please call us at the above number if you need help accessing this information.
Thank you again for your efforts.
Jennifer C. Karberg, FIST Project Manager, REJIS

Date

4255 West Pine Blvd.
St. Louis, MO 63108
314.535.1950

Name
Title
Address
Dear ______ :

www.rejis.org

In ____________ we sent a letter to your office, on behalf of the Bureau of Justice
Statistics (BJS), United States Department of Justice, that requested data from your
agency on background checks for firearm transfers and permits, including the
number of applications received, denials, reasons for denials, arrests, and appeals.
This information is collected as part of BJS’s Firearms Inquiry Statistics (FIST)
Program. According to our records, we have not yet received the requested
information.

Jerald L. Kent
Chairman
Lewis E. Reed
Secretary-Treasurer
Chief Daniel Isom
Chief Tim Fitch
Pamela Reitz
Robbyn Wahby

Dr. William R. Powell, Jr.
General Manager

We are following up with you to again request your participation in the FIST data
collection and convey the importance that your agency’s totals will have on our
efforts to obtain accurate data for the “Background Checks for Firearm Transfers”
series published on the BJS website (www.bjs.gov). This series provides a national
estimate of firearm background check activity pursuant to Brady Act and similar
state laws. Your input is critical to ensure the reliability of these estimates.
If you have already submitted your agency’s data for 2012 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
background check activities conducted by your agency in 2012. The materials can be
returned by fax to 314-535-1729, by email ([email protected]), or by mail to the address
listed on the accompanying postage-paid envelope. We encourage you to also avail
yourself of the secure Web reporting option as well. To complete the survey online,
please go to https://websurvey.rejis.org/FIST2012 and enter your User ID (Agency
ID) and Password (psswd1). In order for us to complete our analyses of the 2010
data, please complete the online survey or return the completed survey and your
signed review by __________, 2013.
Thank you for your assistance and 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, appeals, and law enforcement actions the FBI and ATF take
against denied persons 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-based 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 III. 2013 FIST survey and proposed changes from 2012 instrument
A key change that BJS is proposing to make to the 2013 FIST survey methodology is to tailor the
language for background check activities used in the survey instrument to match the terms that the local
agency is familiar with (e.g., using state-specific terminology for the type of permit that the agency is
responsible for issuing); this would result in having one version of the survey for the state agency
reporters and different versions that are sent to agencies in the ten states that operate local checking
agencies. 1 This enhancement to the survey instrument is being proposed to address issues that are unique
to the respondents in the FIST collection, which are described in more detail in Part B.
Briefly, BJS and REJIS identified that the terminology used for background check functions varies across
jurisdictions and that these variations have the potential to create significant confusion for local FIST
respondents because the FIST survey uses terms that generally describe the types of checks conducted
and permits issued. To this end, BJS is proposing to deploy a survey instrument with state-specific
terminology to improve the accuracy and reliability of the FIST data, as well as to lessen burden and
maximize the response rate. The critical data elements (information on applications, denials, and reasons
for denials) that are being requested will remain the same. The key change will be that the terminology
used to describe the type of firearm transfers and permits that the agency is responsible for issuing,
tracking, or conducting background checks for will be modified based on the individual agency’s
characteristics and checking responsibilities. Attachment III provides a copy of the proposed survey
instrument for state agency reporters and two versions of the survey for local agencies in New York and
North Carolina. Surveys for the remaining eight states will most closely resemble the North Carolina
survey format, with some minor modifications to the specific transfer and permit type titles. The New
York version of the survey is included to show how the FIST survey instrument will be customized to
address the especially unique procedures related to this state’s firearm background check activities (as
described in Part B).
Through the agency’s extensive history working with the FIST collection and its ongoing frame
maintenance activities, REJIS maintains a comprehensive record of the firearm permits and transfers that
are conducted within each state and the terminology that is used, which will ensure that the appropriate
version of the survey is provided to each agency respondent. In the unlikely event that the terminology
used and/or the relevant permit or transfer changes within a state, or if the incorrect version of the survey
is sent, the revised survey instrument will include an option for the respondent to report if the agency
performs activities for any type of transfer or permit type not listed on the form.
Proposed changes to survey
The main changes BJS proposes to make to the 2013 FIST survey instrument are detailed below. These
same changes will also be made to the web-form since it is designed to closely mirror the paper survey.

Due to the fact that state agency reporters use the same or very similar terminology for their firearm background
check activities, one version of the survey is needed. BJS and REJIS determined that the variation in terminology
used for firearm background check activity is mainly a source of confusion for local checking agencies. BJS is
proposing to use a survey instrument with agency-specific terminology for the ten states that operate local checking
agencies.

Survey Cover Page
This page provides basic information for the respondent, return instructions, and the burden statement.
The survey for local agencies will include screener questions to verify the agency’s eligibility to
participate in the FIST collection. These questions are not necessary for the survey sent to state agency
reporters because their eligibility as the state reporter is certain. Respondents have the ability to update
and correct contact information for the agency and appropriate POC, which will help to maintain the
accuracy of the FIST universe.
•

•

Throughout the survey, language pertaining to the activity of “conducting background checks”
has been expanded to include the three basic functions that FIST participants are responsible for:
“issue permits for, keep track applications and denials for, or conduct background checks for”
firearm transfers or permits. BJS is recommending this change to account for the diverse
involvement in background check activities and responsibilities that is indicative of the agencies
within the FIST universe. For example, a probate court in Georgia may or may not conduct a
background check for a firearms permit, but all probate courts issue permits. Thus, asking probate
courts only if they conduct background checks for firearms transfers or permits is not sufficient.
Similarly, the Hawaii Attorney General's office, a state agency reporter, does not issue permits or
conduct background checks. The office does, however, maintain data on the number of
applications and denials for firearm permits issued by local agencies throughout the state. Thus,
the wording in the survey must reflect all of the ways that an agency may maintain relevant FIST
data in order to ensure that agencies are reporting critical data items.
The screener questions were removed from the cover page for the survey sent to the state agency
reporters because it is known with certainty that these agencies conduct background check
activity. The screener questions on the survey for local agencies were revised to collect
information from agencies that may conduct activities on behalf of another agency and/or to
obtain the name of the authorized checking agency in the respondent’s jurisdiction.

Section I. Agency Characteristics
This section provides information on the agency’s background check responsibilities, including the type
of checks conducted, permits issued, or applications tracked. This information will help to maintain the
accuracy of the FIST universe and sampling frame and will provide information about the types of checks
that respondent agencies currently conduct.
•

•

Q1 “Did your agency conduct background checks for firearm transfers or permits for the entire
calendar year?” This question was removed from both the state agency reporter survey and from
the survey for local agencies due to the fact state agency reporters are known to conduct related
activities with certainty and because the questions on the survey for local agencies are repetitive
of information that is requested in the revised screener questions. The follow up questions
relating to whether an agency started or discontinued conducting background checks during the
reference year were added to the 2012 form to identify ineligible agencies. BJS determined that
the questions did not yield useful information and are not necessary for the 2013 FIST survey.
Terminology related to the type of permit issued or transfer check conducted will be modified so
it is state specific (as addressed previously).

Section II. Applications and Denials
This section provides information on the number of applications for a firearm that were received and
denied as well as information on the reasons for denial. This information will be combined with data from
the FBI to produce the national estimate of firearm applications and denials and reasons for denials. This
data will provide a comprehensive overview of background check activity from application for a firearm
transfer to prosecution as a result of denial and will serve as a means to assess the impact of the Brady
Act and of BJS’s NCHIP and NARIP initiatives. Additionally, this question will provide more insight into
changes in trends over time on reasons why applications are denied.
•

•
•
•

The current Q6 was reworded so it is not year-specific to “Does your agency track the reason(s)
why an application was denied? BJS’s intent with this question is to determine if an agency
actively tracks reasons for denial, even in the rare event that no denials were issued during the
reference year.
The estimate box was moved from the inside of each cell to its own column based on feedback
received from respondents that the smaller boxes within the larger ones were confusing.
State-specific terminology will be referred to in the survey to local agencies.
The current Q9 and Q10 were reworded to include the use of the action “tracked” instead of
“recorded and reported.” FIST collects information from agencies that conduct and track denial
decisions and BJS determined that the question should be reworded to provide additional clarity
after receiving feedback from 2012 respondents that the wording was confusing.

Section III. Arrests and Appeals
This section provides information on arrests and appeals that occurred as a result of a denied
application. This information will be combined with data obtained from FBI on appeals and from ATF on
referrals for investigation and prosecution to provide a comprehensive overview of post-denial activities.
•

There will be no substantive changes made to the questions. These questions will remain in the
survey sent to state agency reporters but will be removed from the survey sent to local agency
respondents due to the small number of local agencies that reported collecting these data on the
2012 FIST survey and BJS’s determination that there was limited utility in reporting the data for
the handful of agencies that submitted information.

BJS will continue to evaluate comments and suggestions for improvement provided by respondents for
possible incorporation into the next FIST survey.
FIST web-form
BJS implemented the new FIST web-form option as part of the 2012 data collection. The web-form was
designed with input from survey methodologists, subject matter experts, and background checking agency
stakeholders and provides a secure, convenient mode of responding to the FIST survey. The web-form is
designed to streamline the survey process by eliminating questions that the respondent may not need to
see, thus also reducing respondent burden. It is also designed to reduce item nonresponse, by requiring a
response to critical items before continuing on in the survey. While the web-form is designed to ensure

logical responses given previous responses, data will be monitored as it is submitted to check for item
completeness and logic to ensure data quality.

Attachment III. Proposed 2013 FIST Survey
• Survey form for local agencies in North Carolina
• Survey form for local agencies in New York
• Survey form for state agency reporters

Attachment III. Proposed FIST survey for local agencies in North Carolina
FORM FIST-1

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

2013 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 issue, keep track of applications for, or conduct background checks for firearm transfer permits at any
time between January 1, 2013, and December 31, 2013?
Yes
If applicable, please list any other agencies for whom you conduct these activities:
(Agency Name(s))

No  The authorized permit issuing, 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 (FOR LAW ENFORCEMENT AGENCIES
ONLY) 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://survey6.spss-asp.com/REJIS,
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) 2013. 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 III to describe how the estimates were calculated.
Please do not leave any items blank unless otherwise directed.
Section I –AGENCY CHARACTERISTICS

1. Does your agency issue, process, track, or conduct
background checks for Purchase Permits?
A purchase permit is a document that a prospective
purchaser must present to a seller to receive a
firearm.
Yes
No
Don’t know
2. Does your agency issue, process, track, or conduct
background checks for exempt Carry Permits?
An exempt carry permit (may be concealed), for the
purposes of this survey, is a state firearm carry permit
(issued after a background check) that exempts the
holder from a check at the time of a firearm purchase
under a Bureau of Alcohol, Tobacco, Firearms, and
Explosives (ATF) regulation or state law.
Yes

Section II –APPLICATIONS AND DENIALS
4. Between January 1, 2013, and December 31, 2013,
how many applications for firearm transfers or
permits were received or tracked by your agency?
Mark ‘x’ if
estimate

a. Purchase permits
(if applicable)

____________

b. Carry permits
(if applicable)

____________

c. Other transfer or
permit type
(if applicable)

____________

5. Between January 1, 2013, and December 31, 2013,
how many applications 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

No
Don’t know
3. Does your agency issue, process, track, or conduct
background checks for any other firearm transfer
or permit type?
Yes Please describe the type of permit
(If more space is needed, please use the
space provided in Section III):

No
Don’t know

a. Purchase permits
(if applicable)

____________

b. Carry permits
(if applicable)

____________

c. Other transfer or
permit type
(if applicable)

____________

Does your agency track the reason(s) why an
application was denied? (If your agency had zero
denials in 2013, please still indicate whether or not you
would track the reasons for denial if one were issued.)

All reasons for denial are tracked (skip to
question 10)
Only one reason for the denial is tracked
Don’t know (skip to question 10)

Yes
No (skip to question number 10)
7.

For denials issued in 2013, 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
Permit

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)......................

Carry
Permit

Mark ‘x’ if
estimate

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

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 is tracked
Other method of tracking (Please explain. If more
space is needed, please use the space provided in
Section III)
Don’t know

10. Do any of the counts you provided for any of the
items throughout the survey cover only part of
the year?
Yes (please specify in Section III which counts
cover only part of the year and the months that
are covered)
No
Section III - COMMENTS
Please include any comments that would better explain
how your agency collects information for firearm
transfers and permits. 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. Proposed FIST survey for local agencies in New York

FORM FIST-1

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

2013 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 issue, keep track of applications for, or conduct background checks for firearm permits at any time
between January 1, 2013, and December 31, 2013?
Yes
If applicable, Please list any other agencies that you conduct these activities for:
(Agency Name(s))

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

If your response to the above question is “No” or if following condition (FOR LAW ENFORCEMENT AGENCIES
ONLY) 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://survey6.spss-asp.com/REJIS,
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) 2013. 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 V to describe how the estimates were calculated.
Please do not leave any items blank unless otherwise directed.
Section I –AGENCY CHARACTERISTICS

Section II –APPLICATIONS AND DENIALS

1. Does your agency issue or track or conduct
background checks for Pistol Permits? A
pistol/revolver permit is a document that a prospective
purchaser must present to a seller to receive and
possess a firearm. May also be referred to as a pistol
license. Applies to all permit/license types (Carry
Concealed, Possess on Premises, and Possess/Carry
During Employment).

3. Between January 1, 2013, and December 31, 2013,
how many applications for Pistol Permits were
received or tracked by your agency? (Include any
license amendment applications to acquire a firearm
that required another background check. These may
also be referred to as purchase coupons.)
Mark ‘x’ if
estimate

Yes
No
Don’t know
2. Does your agency issue or track or conduct
background checks for any other firearm transfer
or permit type?
Yes Please describe the type of permit
(If more space is needed, please use the
space provided in Section III):
No
Don’t know

Pistol Permits (and
license amendments)

b. Other transfer or
permit type
(if applicable)

____________

4. Between January 1, 2013, and December 31, 2013,
how many applications 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

Pistol permits
(and license
amendments)

____________

b. Other transfer or
permit type
(if applicable)

____________

5. Does your agency track the reason(s) why an
application was denied? (If your agency had zero
denials in 2013, please still indicate whether or not you
would track the reasons for denial if one were issued.)
Yes
No (skip to question number 9)

6. For denials issued in 2013, why was an 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.
Pistol 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).............
7. If MULTIPLE reasons are found for a denial, how
are reasons tracked?
All reasons for denial are tracked (skip to
question 9)
Only one reason for the denial is tracked
Don’t know (skip to question 9)

8. If ONLY ONE reason for the 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
Section III)

Don’t know
9. Do any of the counts you provided for any of the
items throughout the survey cover only part of the
year?
Yes (please specify in Section III which counts cover
only part of the year and the months that are
covered)
No
Section III - COMMENTS
Please include any comments that would better explain
how your agency collects information on background
checks. If the reported totals are estimates please provide
a brief explanation to describe how the estimates were
calculated.

Attachment III. Proposed FIST survey for state agency reporters

FORM FIST-1

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

2013 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
RETURN INSTRUCTIONS
Please submit your completed form by using the web reporting option at https://survey6.spss-asp.com/REJIS,
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.
•

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) 2013. 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 III to describe how the estimates were calculated.
Please do not leave any items blank unless otherwise directed.

Attachment III. Proposed FIST survey for state agency reporters

Section I –APPLICATIONS AND DENIALS
1. Between January 1, 2013, and December 31, 2013,
how many applications for firearm transfers were
received or tracked by your agency? This is a check
that occurs after a seller transmits a prospective
purchaser’s application data to a checking agency by
telephone, computer, mail, or other means.
Mark ‘x’ if
estimate

Applications

____________

Mark ‘x’ if
estimate

____________

3. Does your agency track the reason(s) why an
application was denied? (If your agency had zero
denials in 2013, please still indicate whether or not you
would track the reasons for denial if one were issued.)
Yes
No (skip to question number 7)

Transfer
Check

Mark ‘x’ if
estimate

a. Felony indictment or charge.....
b.Felony conviction……………..........

2. Between January 1, 2013, and December 31, 2013,
how many applications 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.
Denials

4. For denials issued in 2013, 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.

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)...............
5. If MULTIPLE reasons are found for a denial, how
are 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)

10. How many denied persons appealed to your
agency, requesting that your agency reconsider its
initial denial decision between January 1, 2013,
and December 31, 2013?
Mark ‘x’ if
estimate

Appeals to agency

____________

11. In 2013, did your agency track reversals by your
agency of initial denial decisions?
Yes
No (skip to question number 13)

Don’t know

12. Between January 1, 2013, and December 31, 2013,
how many initial denial decisions were reversed by
your agency?

Section II –ARRESTS AND APPEALS
7.

In 2013, did your agency track arrests that
occurred as a result of a denied application?
An arrest, for the purposes of this survey, occurs
when a denied person who submitted a false
application or has an outstanding warrant is arrested
by the checking agency or another agency that is
notified.
Yes

Mark ‘x’ if
estimate

____________

13. In 2013, did your agency track appeals to a court
of any denial decision?

No (skip to question number 19)

Between January 1, 2013, and December 31, 2013,
how many arrests occurred as a result of a denied
application?
Arrests

Reversals by agency

Yes

No (skip to question number 9)
8.

Mark ‘x’ if
estimate

____________

In 2013, did your agency track appeals made to
your agency for reconsideration of denial? An
appeal, for the purposes of this survey, is an objection
to a denial decision and includes reconsiderations,
challenges, and other informal procedures.

14. How many denials were appealed to a court
between January 1, 2013, and December 31, 2013?
Mark ‘x’ if
estimate

Appeals to a court

____________

15. In 2013, did your agency track reversals by a court
of initial denial decisions?
Yes
No (skip to question 17)

Yes
No (skip to question number 11)

16. Between January 1, 2013, and December 31, 2013,
how many denials were reversed after being
appealed to a court?
Mark ‘x’ if
estimate

Reversals by a court

____________

Section III – PARTIAL YEAR COUNTS
17. Do any of the counts you provided for any of the
items throughout the survey cover only part of
the year?
Yes (please specify in Section III which counts
cover only part of the year and the months that
are covered)
No
Section IV - COMMENTS
Please include any comments that would better explain
how your agency collects information on firearm transfers
and permits. 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 IV. FIST Correspondence
• Pre-notification letter
• Survey cover letter
• Survey cover email
• Thank you letter and 1st follow up
• 2nd follow up letter
• Phone script

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

Washington, D.C. 20531

Date
Name / Address

Dear ___:
Within the next week you will receive via 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
the Bureau of Justice Statistics (BJS), Department of Justice (DOJ).
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, appeals of 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 conducts for 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 FIST data collection that you will
receive next week as well as instructions on how to complete a new 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 2014 data collection. Should you have any immediate questions please
contact Allina Lee, FIST Program Manager, at 202-305-2696, or [email protected].

Sincerely,

Gerard R. Ramker
Deputy Director, BJS

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

Washington, D.C. 20531

January __, 2013
Name / Address

Dear ___:
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 provide 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 2012.
Data provided by your agency and other background checking agencies from across the nation will be combined
with information obtained from the Federal Bureau of Investigation (FBI) and the Bureau of Alcohol, Tobacco,
Firearms, and Explosives (ATF) to produce 2013 national estimate of firearm applications and denials, along
with reasons for denials, appeals, and arrests. The data obtained will be published in the “Background Checks
for Firearm Transfers” series on the BJS website (www.bjs.gov).
The survey form enclosed is designed to capture your data for the 2013 calendar-year. Instructions for
completing and returning the survey are included on the form. You may return the form by mail via the enclosed
postage-paid envelope, by fax to 314-535-1729, or by email to [email protected]. There is also the option of
entering your data on our secure web site. To complete the survey online, please go
to https://websurvey.rejis.org/FIST2013 and enter your User ID (Agency ID) and Password (psswd1). This
unique identifying information can be found in the enclosed packet. We would greatly appreciate your return
of a completed survey by ____ __, 2014.
Participation by your agency and other agencies in this voluntary effort has provided a wealth of data for
policymakers, researchers, administrators, and others who use the data to study background check trends and
activities nationwide and to understand the impact of the Brady Act and its enforcement. Please note that the
data collected are summary statistics of an administrative nature and do not allow for identification of any
individual. Data collected are in the public domain and are not subject to confidentiality assurances.
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 REJIS FIST Project Manager at 1-800-531-2150, or send an e-mail to [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

Date
Name / Address

Dear ___:
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 provide 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 2012.
Data provided by your agency and other background checking agencies from across the nation will be combined
with information obtained from the Federal Bureau of Investigation (FBI) and the Bureau of Alcohol, Tobacco,
Firearms, and Explosives (ATF) to produce 2013 national estimate of firearm applications and denials, along
with reasons for denials, appeals, and arrests. The data obtained will be published in the “Background Checks
for Firearm Transfers” series on the BJS website (www.bjs.gov).
The FIST survey is designed to capture your data for the 2013 calendar-year. To complete the survey online via
a secure web site, please go to https://websurvey.rejis.org/FIST2013 and enter your User ID (Agency ID) and
Password (psswd1). Instructions for completing the survey are included in the web-form. We would greatly
appreciate your return of a completed survey by ____ __, 2014.
Participation by your agency and other agencies in this voluntary effort has provided a wealth of data for
policymakers, researchers, administrators, and others who use the data to study background check trends and
activities nationwide and to understand the impact of the Brady Act and its enforcement. Please note that the
data collected are summary statistics of an administrative nature and do not allow for identification of any
individual. Data collected are in the public domain and are not subject to confidentiality assurances.
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 REJIS FIST Project Manager at 1-800-531-2150, or send an e-mail to [email protected]. Please
contact REJIS directly if you prefer to submit data via a paper survey or fax and a survey form will be provided.
Sincerely,
Gerard F. Ramker
Deputy Director, BJS

<>
On _________, 2014, a survey on background check activity for firearm transfers and permits (FIST) was mailed to you as part of the Firearm Inquiry Statistics
(FIST) data collection effort by the Bureau of Justice Statistics (BJS), United States Department of Justice. The Regional Justice Information Service (REJIS) is
the data collection agent authorized by BJS to collect data for this collection.
If you have already completed and returned the survey, please accept our sincere appreciation. 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 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. You can also
complete the survey online at https://websurvey.rejis.org/FIST2013 and enter your User ID (Agency ID) and Password (psswd1). Please call us at the above
number if you need help accessing this information.
Thank you again for your efforts.
Jennifer C. Karberg, FIST Project Manager, REJIS

Date

4255 West Pine Blvd.
St. Louis, MO 63108
314.535.1950

Name
Title
Address
Dear ______ :

www.rejis.org

Jerald L. Kent
Chairman
Lewis E. Reed
Secretary-Treasurer
Chief Daniel Isom
Chief Tim Fitch
Pamela Reitz
Robbyn Wahby

Dr. William R. Powell, Jr.
General Manager

We are following up with you to again request your participation in the FIST data
collection and convey the importance that your agency’s totals will have on our
efforts to obtain accurate data for the “Background Checks for Firearm Transfers”
series published on the BJS website (www.bjs.gov). This series provides a national
estimate of firearm background check activity pursuant to Brady Act and similar
state laws. Your input is critical to ensure the reliability of these estimates.
If you have already submitted your agency’s data for 2013 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
background check activities conducted by your agency in 2013. The materials can be
returned by fax to 314-535-1729, by email ([email protected]), or by mail to the address
listed on the accompanying postage-paid envelope. We encourage you to also avail
yourself of the secure web-form option as well. To complete the survey online,
please go to https://websurvey.rejis.org/FIST2012 and enter your User ID (Agency
ID) and Password (psswd1). In order for us to complete our analyses of the 2013
data, please complete the online survey or return the completed survey and your
signed review by __________, 2014.
Thank you for your assistance and 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, appeals, and law
enforcement actions the FBI and ATF take against denied persons 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)

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 V. Reporting of data to FIST program, by state
State
Total
Alabama
Alaska
Arizona
Arkansas
California
Colorado
Connecticut
Delaware
District of Columbia
Florida
Georgia
Hawaii
Idaho
Illinois
Indiana
Iowa
Kansas
Kentucky
Louisiana
Maine
Maryland
Massachusetts
Michigan
Minnesota
Mississippi
Missouri
Montana
Nebraska
Nevada
New Hampshire
New Jersey
New Mexico
New York
North Carolina
North Dakota
Ohio
Oklahoma
Oregon
Pennsylvania
Rhode Island
South Carolina
South Dakota
Tennessee
Texas
Utah
Vermont
Virginia
Washington
West Virginia
Wisconsin
Wyoming

FBI reports all NICS State agency reports for
firearm checks
entire state
Local agencies report
31
32
10
X
X
X
X
X
X
X
X
X
X
X
X
X
X
X
X
X
X
X
X
X
X
X
X
X
X
X
X
X
X
X
X
X
X
X
X
X
X
X
X
X
X
X
X
X
X
X
X
X
X
X
X
X
X
X
X
X
X
X
X
X
X
X
X
X
X
X
X
X
X
X
X
X

Notes: FBI reports only long gun NICS data for 7 additional states (IA, MD, NE, NC, NH, WA, and
WI). States in more than one category have division of NICS checks and/or more than one type of
check or permit. The FBI conducts all firearm background checks for the five U.S. Territories:
American Samoa, Guam, Northern Mariana Islands, Puerto Rico, and the Virgin Islands. Data from
the Territories are not reported in the FIST collection.

Attachment VI. Proposed 2013 FIST Sample Determination and Allocation

Data for the FIST collection will be obtained from state agencies that report state-level data (thirty-two states), a statewide census of six states in
which local agencies conduct checks and report to FIST on a local level only and a sample survey of four 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 761 POCs plus the FBI NICS data.
In the four states that are to be sampled (GA, MN, NE & 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 four states. The other three
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 four states. Consequently, it was decided to utilize a simple 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 four
states.
The following formula was used to determine the sample size and weight allocation for the stratified sample of the four states taken as a group.

The formula used is:

𝑛=

𝑁2 𝜎 2
∑ 𝑖 𝑖 �𝑤𝑖

𝑁2 𝐷+∑ 𝑁𝑖 𝜎𝑖2

where

𝐷=

𝐵2
4

The formula used is:

𝑛=

𝑁𝜎 2

𝑁2 𝐷+𝜎 2

where

𝐷=

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

𝐵2
4

A 15% reserve sample will be randomly selected to cover nonresponse. Because all local checking agencies in Categories 3 and 4 are
to be surveyed, this reserve sample only impacts agencies in Categories 1 and 2. In total, there will be a 30% reserve sample for each
of the four states that are sampled. The 15% sample was taken of the entire population of units in any one category and is added on top
of the sample size.
Following is a summary sheet of the actual sample for the four states (GA, MN, NE & WA) that will be sampled along with the distribution of the
reserve sample.

Sample Allocation, Simple Random Sample in 4 States, Census in 7 States (including Washington, D.C.)
States w POCs in

Sub

Census States

Sub

SRS prop to size

Sample

Add a

Add b

Other

Total

Population

File Type	application/pdf
Author	Allina Boutilier
File Modified	2014-02-04
File Created	2014-01-15