US. Department of Justice Federal Bureau of Investigation Washington, D. C. 20535-0001 September 22, 2016 The Honorable Michael E. Horowitz Inspector General Of?ce of the Inspector General US. Department of Justice 950 Avenue, NW. Washington, DC 20530 Dear Mr. Horowitz: The Federal Bureau of Investigation (FBI) appreciates the opportunity to review and respond to your of?ce?s report entitled, Audit of the Handling of Firearms Purchase Denials Through The National Instant Criminal Background Check System We are pleased that you found, related to NICS checks, . .the FBI generally has an effective internal control system and quality control process.? We agree that it is important to develop a process to ensure research of open ?rearms transactions as well as communication of dispositions to dealers is handled in a timely fashion. We also acknowledge the need for the review of additional databases for NICS use as well as the importance of conveying to states the need to update NICS records in a timely manner. In that regard, we concur with your three recommendations for the FBI. Should you have any questions, feel free to contact me. We greatly appreciate the professionalism of your audit staff throughout this matter. Sincerely, James C. Langenberg Section Chief External Audit and Compliance Section Inspection Division Enclosure The Federal Bureau of Investigation?s Response to the Of?ce of the Inspector General?s Audit of the Handling of Firearms Purchase Denials Through the National Instant Criminal Background Check System Report Recommendation Develop a follow-up process to ensure research is initiated for all open ?rearms transactions, that information received from that research is reviewed and followed up on, as appropriate, and that transaction decisions are communicated to dealers in a timely manner. FBI Response to Report Recommendation Concur. The NICS Section has plans to move in the recommended direction provided technology and resources are implemented and available. To ensure research is initiated for all open ?rearm transactions, the FBI requested additional resources for the FBI Criminal Justice Information Services (Cl IS) Division?s NICS Section. This will allow the NICS Section to process background checks within the ?rst 24 hours, provide thorough and continuous research, and to communicate decisions to the dealers in a timely manner. Report Recommendation Implement the FBI Inspection Division recommendation that the NICS Section should seek to identify and review additional database resources or stakeholders both internal and external to the FBI. FBI Response to Report Recommendation Concur. The NICS Section supports the 01G recommendation and provides the following explanation below. The NICS Section has identi?ed two potential internal databases to obtain additional information which could assist in making transaction decisions. The internal databases are the National Data Exchange (N and Sentinel. The NICS Section would need law enforcement approval (by the Advisory Policy Board) and a regulation change (Title 28, Code of Federal Regulations, Part 25) in order to access the N-DEX to conduct ?rearm background checks. The NICS Section is still exploring access to the Sentinel database. Additionally, the CJ IS Division?s Biometric Services Section has received contract staff to research and to update dispositions on criminal history records. The NICS Section will continue to explore other state and federal Web sites that can be accessed to assist in the adjudication of NICS checks. The NICS Section may opt to explore this opportunity at a universal level through the Advisory Process. The NICS Section is also in the process of reconciling its state contact lists to ensure all applicable agencies/stakeholders are listed as possible resources for the NICS Section?s employees. Through on-going liaison efforts, the NICS Section will continue to actively seek information and opportunities to gain resources and data in support of the NICS Section?s mission. Report Recommendation Consider additional mechanisms to implement, and encourage state points of contact to update NICS records in a timely manner, including updating NICS regulations and CJIS system user agreements to create enforceable timeframes for updates, and coordinate with other FBI units and DOJ components to explore legislation or regulations providing for timely record updates to include criminal history, the NICS Index, and status updates, and to identify best practices. FBI Response to Report Recommendation Concur. The NICS Section believes this recommendation by OIG will be most challenging to implement. The records maintained by the FBI are done in a shared environment with the local, state, tribal and federal law enforcement agencies. Shared management is de?ned as: the FBI along with local, state, tribal, and federal data providers and system users share responsibility for the operation and management of all systems administered by the FBI for the bene?t of the criminal justice community. The NICS Section will collaborate with additional entities within the CJ IS Division to explore updating the agreements for the NICS Point-of?Contact (POC) states to include recommended timeframes to provide status updates. The NICS Section will work on an of?cial document for state agencies, in particular, on providing information to the NICS Index and ensuring maintenance of records in a timely manner. The NICS Section will also review current agreements for federal agencies on providing information to the NICS Index and ensuring maintenance of records in a timely manner. The NICS Section will work with other FBI partners and the Department of Justice to explore legislation or regulation changes for timely record updates to include criminal history, the NICS Index, and POC status updates. Lastly, the NICS Section will collaborate with state and federal partner agencies through the Advisory Process to identify if there are prior published results in any of the areas for timely record updates that can be utilized to springboard the recommendation on identifying best practices.