Privacy Act of 1974; System of Records, 54175-54181 [2019-21583]

Agencies

• Department of Justice

[Federal Register Volume 84, Number 196 (Wednesday, October 9, 2019)]
[Notices]
[Pages 54175-54181]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 2019-21583]


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DEPARTMENT OF JUSTICE

[CPCLO Order No. 010-2019]


Privacy Act of 1974; System of Records

AGENCY: Federal Bureau of Investigation, United States Department of 
Justice.

ACTION: Notice of a Modified System of Records.

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SUMMARY: Pursuant to the Privacy Act of 1974 and Office of Management 
and Budget (OMB) Circular No. A-108, notice is hereby given that the 
Federal Bureau of Investigation (FBI), a component within the United 
States Department of Justice (DOJ or Department), proposes to modify a 
system of records notice titled the National Instant Criminal 
Background Check System (NICS), JUSTICE/FBI-018. The FBI proposes to 
consolidate and replace the following previous SORNs related to NICS: 
``National Instant Criminal Background Check System/FBI-018,'' 
published at 63 FR 65223 (Nov. 25, 1998), 65 FR 78190 (Dec. 14, 2000), 
66 FR 6676 (Jan. 22, 2001), 66 FR 8425 (Jan. 31, 2001), 66 FR 12959 
(Mar. 1, 2001), and 82 FR 24147 (May 25, 2017). This notice also 
updates the ``PURPOSE(S) OF THE SYSTEM,'' ``CATEGORIES OF INDIVIDUALS 
COVERED BY THE SYSTEM,'' ``CATEGORIES OF RECORDS IN THE SYSTEM,'' and 
``ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING 
CATEGORIES OF USERS AND THE PURPOSES OF SUCH USES'' of the SORN.

DATES: In accordance with 5 U.S.C. 552a(e)(4) and (11), the public has 
30 days in which to comment on the routine uses, described below. 
Therefore, please submit any comments by November 8, 2019.

ADDRESSES: The public, OMB, and Congress are invited to submit any

[[Page 54176]]

comments: By mail to the Department of Justice, Office of Privacy and 
Civil Liberties, ATTN: Privacy Analyst, 145 N St. NE, Suite 8W-300, 
Washington, DC 20530; by facsimile at 202-307-0693; or by email at 
[email protected]. To ensure proper handling, please 
reference the above CPCLO Order No. on your correspondence.

FOR FURTHER INFORMATION CONTACT: Katherine M. Bond, Assistant General 
Counsel, Privacy and Civil Liberties Unit, Office of the General 
Counsel, FBI, 935 Pennsylvania Avenue NW, Washington, DC 20535-0001; 
telephone (202) 324-3000.

SUPPLEMENTARY INFORMATION:
    The NICS system notice has been amended on several occasions to 
reflect changes in law and corresponding routine uses. The FBI proposes 
to consolidate, revise, and update the NICS SORN as required by changes 
in statutes, regulations, and practice. Proposed changes to the NICS 
SORN include updating the following sections: ``PURPOSE(S) OF THE 
SYSTEM,'' ``CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM,'' 
``CATEGORIES OF RECORDS IN THE SYSTEM,'' and ``ROUTINE USES OF RECORDS 
MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES OF USERS AND THE 
PURPOSES OF SUCH USE''. Due to the number of revisions to this SORN and 
for ease of reference, the FBI is republishing it here, as revised, in 
its entirety.
    The FBI is revising the ``PURPOSE(S) OF THE SYSTEM'' section of the 
notice (1) to provide information regarding additional databases that 
are used during NICS checks of non-U.S. citizens, (2) to clarify that 
the NICS System also maintains records for appeal purposes, and (3) to 
explain that the NICS System provides investigative support to law 
enforcement agencies that investigate, prosecute, and/or enforce 
violations of criminal or civil laws or regulations that may come to 
light during the NICS operation.
    In addition, the FBI has revised the ``CATEGORIES OF INDIVIDUALS 
COVERED BY THE SYSTEM'' section of the notice by dividing the former 
Category L into distinct covered categories for subjects of background 
checks, appellants, and individuals who have opted into the Voluntary 
Appeal File. The FBI has also added two categories to cover individuals 
maintained in the NICS System for law enforcement disclosures as set 
forth in Routine Use C. An additional category of individuals--and 
corresponding category of records--has been added to reflect the 
maintenance of records on individuals who have been granted relief from 
a firearm disability by the Bureau of Alcohol, Tobacco, Firearms and 
Explosives (ATF). Maintaining information on individuals granted relief 
from a firearm disability allows the NICS more expeditiously to approve 
firearm transfers to these individuals.
    The ``CATEGORIES OF RECORDS IN THE SYSTEM'' section of the notice 
has been updated to provide more clarity on the types of information 
the NICS may have on individuals, including the fact that the NICS may 
contain fingerprints. Fingerprints maintained in the NICS are 
voluntarily provided by individuals and are used to confirm whether a 
prospective transferee or appellant matches an individual with a 
criminal history in the Next Generation Identification (NGI) System. 
The ``CATEGORIES OF RECORDS IN THE SYSTEM'' section is also being 
updated to include the Voluntary Appeal File, which contains 
information about individuals who have provided the FBI with written 
consent to maintain such information so that NICS will not erroneously 
deny or extensively delay a future firearm transfer; as well as a 
table, which contains biographic information about individuals under 
investigation by a law enforcement agency which investigates, 
prosecutes, and/or enforces violations of criminal or civil laws or 
regulations that may come to light during the NICS operation. 
Maintaining identities of individuals within the table allows the NICS 
to better fulfill its public safety mission and disseminate information 
under Routine Use C.
    Several routine uses have been updated to provide more clarity on 
the application of existing routine uses. The ``ROUTINE USES OF RECORDS 
MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES OF USERS AND THE 
PURPOSES OF SUCH USES'' section has also been consolidated to include 
all existing routine uses that apply to records in the NICS. 
Furthermore, three new routine uses have been added. The first new 
routine use (Routine Use N) permits disclosures to parties during 
litigation and is an extension of the existing routine use to provide 
information to courts during litigation.This routine use ensures that 
individuals challenging NICS action have access to relevant and 
appropriate information in the NICS. The second new routine use 
(Routine Use O) permits disclosures as required or allowed by Federal 
regulation, statute, or treaty. This routine use has been added to 
reinforce the fact that the FBI discloses information pursuant to 
Federal law. The third new routine use (Routine Use P) provides greater 
clarity on the types of agencies and entities the FBI may contact while 
conducting research to determine whether an individual may be 
prohibited from receiving a firearm, explosive, or related permit. 
Information disseminated under Routine Use P is limited to the 
information necessary to elicit from the receiving entity information 
to assist the NICS section in finalizing a NICS transaction. The FBI 
will share information from NICS pursuant to the requirements of the 
Privacy Act, Brady Act, corresponding federal regulations or statutes, 
and when the disclosure is compatible with the purpose for which the 
information was collected.
    The FBI is also adding more detail in sections such as the ``SYSTEM 
LOCATION'' section and the ``RECORD SOURCE CATEGORIES'' section. The 
``POLICIES AND PRACTICES FOR RETENTION AND DISPOSAL OF RECORDS'' 
section has been modified to provide the record retention schedule job 
number as assigned by the National Archives and Record Administration 
(NARA). By referencing the NARA job numbers, individuals will be able 
to access the actual record retention schedule, which will provide the 
most complete and up-to-date record retention schedule for the NICS. 
The ``RECORD ACCESS PROCEDURES'' and ``CONTESTING RECORD PROCEDURES'' 
sections have been updated to reflect the current FBI process for 
accessing and contesting records. References to the NICS Index have 
been changed to the NICS Indices to reflect an FBI name change to the 
database. Other stylistic changes have been made to the notice to 
conform to the new requirements of OMB Circular A-108.
    Despite changes to the system as described in this notice, the FBI 
continues to assert, and is not changing the Privacy Act exemptions for 
the system set forth in 28 CFR Sec.  16.96(p) and (q). As stated in the 
regulations, these Privacy Act exemptions apply only to the extent that 
information in the system is within the scope of 5 U.S.C. 552a(j)(2), 
(k)(2), or (k)(3), and to the extent it is, the rationale for asserting 
the exemptions has not changed.
    In accordance with 5 U.S.C. 552a(r), the Department has provided a 
report to OMB and Congress on this notice of a modified system of 
records.


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    Dated: September 30, 2019.
Peter Winn,
Acting Chief Privacy and Civil Liberties Officer, United States 
Department of Justice.
JUSTICE/FBI-018

SYSTEM NAME AND NUMBER:
    National Instant Criminal Background Check System (NICS), JUSTICE/
FBI-018

SECURITY CLASSIFICATION:
    Unclassified.

SYSTEM LOCATION:
    Records are maintained at the FBI Criminal Justice Information 
Services (CJIS) Division, 1000 Custer Hollow Road, Clarksburg, West 
Virginia 26306, but may be accessible electronically from any location 
at which the Federal Bureau of Investigation (FBI) operates or at which 
FBI operations are supported, including: J. Edgar Hoover Building, 935 
Pennsylvania Ave. NW, Washington, DC 20535-0001; FBI Academy and FBI 
Laboratory, Quantico, Virginia 22135; and FBI field offices, legal 
attaches, information technology centers, and other components listed 
on the FBI's internet website, https://www.fbi.gov. Some or all system 
information may also be duplicated at other locations for purposes of 
system backup, emergency preparedness, and/or continuity of operations. 
Records may also be maintained in secure cloud computing environments. 
The cloud computing service provider on the date of this publication is 
Amazon Web Services, located at 12900 Worldgate Drive, Herndon, VA 
20170. Cloud computing service providers may change. For information 
about the current cloud computing service provider, please contact the 
Unit Chief, Privacy and Civil Liberties Unit, Office of the General 
Counsel, FBI, 935 Pennsylvania Avenue NW, Washington, DC 20535-0001; 
telephone 202-324-3000.

SYSTEM MANAGER(S):
    Director, Federal Bureau of Investigation, J. Edgar Hoover FBI 
Building, 935 Pennsylvania Avenue NW, Washington, DC 20535-0001.

AUTHORITY FOR MAINTENANCE OF THE SYSTEM:
    18 U.S.C. 922, as amended by the Brady Handgun Violence Prevention 
Act (the ``Brady Act'') (Pub. L. 103-159, Nov. 30, 1993, codified in 
relevant part at 18 U.S.C. 922(t) and 34 U.S.C. 40901); the NICS 
Improvement Amendments Act of 2007 (Pub. L. 110-180, Jan. 8, 2008); 
Consolidated Appropriations Act (``Fix NICS Act of 2018'') (Pub. L. 
115-141, March 23, 2018, codified in relevant part at 34 U.S.C. 40901); 
28 U.S.C. 534, as amended (Pub. L. 103-322, Title IV, 4060(a), Sep. 13, 
1994, 105 Stat. 1950); and 28 CFR part 25 Subpart A.

PURPOSE(S) OF THE SYSTEM:
    The purpose of the NICS, which was established pursuant to the 
Brady Act, is to provide the means of checking available information to 
determine immediately whether a person is disqualified from possessing 
a firearm under Federal or State law.
    Prior to the transfer of a firearm from a Federal Firearms Licensee 
(FFL), a prospective transferee, who is not licensed under 18 U.S.C. 
923, must obtain a firearms transaction form from an FFL and provide 
the information required by the Bureau of Alcohol, Tobacco, Firearms 
and Explosives (ATF), Department of Justice. The completed firearms 
transaction form is returned to the FFL, who is required by the Brady 
Act to contact the NICS and furnish the name and certain other 
identifying data provided by the transferee prior to completing the 
transaction and transferring the firearm. NICS conducts a search which 
compares the information about the transferee with information in or 
available to the NICS.
    The NICS Section or a Point of Contact (POC)--a State or local law 
enforcement agency serving as an intermediary between the FFL and the 
Federal databases checked by NICS--receives inquiries from FFLs; 
initiates NICS background searches; checks--if needed--available 
Federal, State, local, tribal, foreign, international, and/or other 
pertinent databases or sources; determines whether prospective 
transferee records match any available information; determines whether 
matching records provide information demonstrating that an individual 
is disqualified from possessing a firearm under Federal or State law; 
and responds back to the FFLs.
    In addition to a review of the NICS Indices (formerly known as the 
NICS Index), every NICS search includes a review of the pre-existing, 
separately-managed FBI databases of the National Crime Information 
Center (NCIC) (JUSTICE/FBI-001) and the Next Generation Identification 
(NGI) System (JUSTICE/FBI-009), to the extent such searches are 
possible with the available information. NCIC and NGI are cooperative 
Federal-State programs for the exchange of criminal history record and 
other information among criminal justice agencies. The search conducted 
of NCIC and NGI, in conjunction with the search of the NICS Indices, is 
to determine whether information indicating that an individual firearm 
transferee is identical to an individual in one or more of categories A 
through J listed below under the heading ``CATEGORIES OF INDIVIDUALS IN 
THE SYSTEM.''
    The Attorney General directed the FBI to work with the Bureau of 
Immigration and Customs Enforcement (ICE) to check the immigration 
status of all non-United States citizens who are firearms purchasers. 
When an FFL contacts the FBI NICS Section, the FFL will be asked 
whether the prospective buyer is a United States citizen. If the 
prospective buyer is not a United States citizen, the FBI NICS Section 
will contact ICE to request a search of ICE databases to determine 
whether the alien is illegally or unlawfully in the United States or 
whether the individual is a non-immigrant alien and therefore 
prohibited from receiving a firearm (unless he or she falls within an 
exception to the non-immigrant alien prohibition).
    In addition to maintaining records to assist with NICS checks of 
potential firearm and explosives transferees, NICS maintains records to 
process appeals, to ensure individuals who have prevailed on appeal are 
not delayed in receiving a permissible firearm, and to provide 
investigative support to law enforcement agencies which investigate, 
prosecute, and/or enforce violations of criminal or civil laws or 
regulations that may come to light during operation of the NICS.

CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:
    The categories of individuals covered by the system include any 
person who:
    A. Is under indictment for, or has been convicted in any court of, 
a crime punishable by imprisonment for a term exceeding one year;
    B. Is a fugitive from justice;
    C. Is an unlawful user of or addicted to any controlled substance;
    D. Has been adjudicated as a mental defective or has been committed 
to a mental institution;
    E. Is an alien who is illegally or unlawfully in the United States 
or who has been admitted to the United States under a non-immigrant 
visa;
    F. Has been discharged from the Armed Forces under dishonorable 
conditions;
    G. Having been a citizen of the United States, has renounced such 
citizenship;
    H. Is subject to a court order that restrains the person from 
harassing, stalking, or threatening an intimate partner or child of 
such intimate partner (issued after a hearing of which actual notice 
was received);
    I. Has been convicted in any court of a misdemeanor crime of 
domestic

[[Page 54178]]

violence (involving the use or attempted use of physical force 
committed by a current or former spouse, parent, or guardian of the 
victim or by a person with a similar relationship with the victim);
    J. Is otherwise disqualified from possessing a firearm under State 
law;
    K. Is or claims to be a Federal Firearms Licensee (FFL), (i.e., a 
person licensed by the Bureau of Alcohol, Tobacco, Firearms and 
Explosives (ATF), Department of Justice, as a manufacturer, dealer, or 
importer of firearms), or an authorized representative or contact 
person of an FFL;
    L. Has applied for the transfer of a firearm, explosive, or a 
related permit or license, or has otherwise had his or her name 
forwarded to the NICS as part of a request for a NICS background check 
as authorized by 28 CFR part 25 or other Federal law. (Identifying 
information about this category of individuals is maintained for system 
administration and security purposes in the ``NICS Audit Log,'' a 
system transaction log described below under the headings ``CATEGORIES 
OF RECORDS IN THE SYSTEM'');
    M. Has requested the reason for a firearm transfer denial or delay 
from the FBI, or from a law enforcement agency serving as a POC state, 
and/or challenged the accuracy or validity of a disqualifying record, 
or otherwise inquired about a NICS transaction. (Identifying 
information about this category of individuals may be maintained in 
appeal files);
    N. Has provided the FBI with written consent to maintain 
information about himself or herself in the Voluntary Appeal File;
    O. Has been granted relief from a firearms or explosives-related 
disability and/or granted a pardon. For example, in order to permit 
faster evaluation and approval of future transactions, NICS may 
maintain information on individuals who have been granted relief by ATF 
from firearms or explosive disabilities, as well as information on 
individuals who have been granted a Presidential pardon;
    P. Is under investigation by a law enforcement agency which 
investigates, prosecutes, and/or enforces violations of criminal or 
civil laws or regulations that may come to light during operation of 
the NICS;
    Q. Is employed by a law enforcement agency which investigates, 
prosecutes, and/or enforces violations of criminal or civil laws or 
regulations that may come to light during operation of the NICS; or
    R. Processes NICS transactions or has access to the NICS.

CATEGORIES OF RECORDS IN THE SYSTEM:
    Records in the NICS may include biographic and biometric 
information about the categories of individuals above under the heading 
``CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM,'' such as name, 
phone number, address, email address, sex, race, date of birth, state 
of residence, a unique identifying number (such as a Social Security 
number, military number, or number assigned by Federal, State, local, 
or other authorities), other personal descriptive data (such as height, 
weight, eye and hair color, and place of birth), and fingerprints. The 
NICS also contains information about individuals collected while 
researching whether a potential transferee is prohibited by Federal or 
State law from receiving a firearm, explosive, or related permit. This 
includes documents received from criminal justice and other agencies or 
entities (e.g. arrest reports, court transcripts, disposition 
information, involuntary commitments, and court orders).
    The ``NICS Indices'' is a database maintained by the FBI that was 
created specifically for the NICS. The NICS Indices contains records 
obtained by the Attorney General from Federal, State, local, tribal, 
foreign, and international agencies/organizations, or other entities on 
individuals who fall into the categories of individuals listed above 
under the heading ``CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM'' A 
through J. These records may contain an individual's name; sex; race; 
and other personal descriptive data; complete date of birth; state of 
residence; sometimes a unique identifying number, such as a Social 
Security number (but NICS does not require it to be furnished), a 
military number, or a number assigned by Federal, State, local, or 
other authorities; and other descriptors and information supporting an 
entry into the NICS Indices, such as information collected as a result 
of arrest, conviction, incarceration, or involuntary commitment.
    The ``NICS Audit Log'' is a chronological record of system 
(computer) activities that enables the reconstruction and examination 
of a sequence of events and/or changes in an event related to the NICS. 
With regard to a specific NICS transaction, the audit log will include: 
The name and other identifying information about the prospective 
transferee; the type of transaction (inquiry or response); transaction 
code data elements (e.g., line number and header); time; date of 
inquiry; Originating Agency Identifier and FFL identifier; inquiry/
response data, such as an assigned NICS Transaction Number (NTN) (a 
unique number assigned to each valid background request inquiry); 
information found by the NICS Section during research; and the reason 
for a denial, if an individual is denied. Audio recordings of phone 
calls from FFLs may also be attached to the corresponding NICS 
transaction and maintained in the audit log until the transaction 
purges. In cases of allowed transfers, all identifying information 
submitted by or on behalf of the transferee in the NICS Audit Log, 
other than the FFL identity, the NTN, purpose code, source, date of 
notification, and the date and time the NTN was assigned will be 
destroyed not more than 24 hours after the FFL receives communication 
of the determination that the transfer may proceed. All other 
information, except the NTN and the date it was created will be 
destroyed after not more than 90 days from the date of the inquiry.
    In addition, the NICS contains information on entities or persons 
that are FFLs (or claim to be). This information includes the FFL name, 
address, phone numbers, ATF number, access code words, email addresses, 
date of birth, user names, names of authorized representatives and 
contact persons, and similar information used by the NICS to identify, 
validate, and communicate with FFLs in the course of NICS operations.
    The NICS also contains ``appeals records'' which reflect inquiries 
by individuals regarding the reason for a delay or denial by the FBI or 
a POC state, and/or challenges to the accuracy or validity of a 
disqualifying record, or other types of inquiries made by individuals 
about a NICS transaction. Appeal records include biographic and 
biometric records on individuals.
    The NICS contains, in the Voluntary Appeal File, record information 
about individuals who have provided the FBI with written consent to 
maintain such information so that NICS will not erroneously deny or 
extensively delay a future firearm transfer. Records in the Voluntary 
Appeal File may include, but are not limited to, biographic information 
(e.g. name, address, email address, social security number, and date of 
birth), fingerprint cards, photographs, court documentation, 
correspondence, and information contained in the applicant's appeal 
file, if one exists.
    The NICS also contains records of individuals who have been granted 
relief from a firearms or explosive-related disability and/or granted a

[[Page 54179]]

pardon. This information may include an individual's name, date of 
birth, social security number, race, gender, height, weight, and other 
identification numbers and personal descriptors.
    The NICS maintains a table that contains biographic information 
about individuals described in ``CATEGORY OF INDIVIDUALS'' P above 
(e.g. name, date of birth, social security number, other personal 
descriptive data) and contact information for individuals described in 
``CATEGORY OF INDIVIDUALS'' Q above (such as name and email address).

RECORD SOURCE CATEGORIES:
    Information contained in the NICS is obtained from individual 
persons as well as Federal, State, local, tribal, foreign, and 
international agencies or organizations.

ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES 
OF USERS AND PURPOSES OF SUCH USES:
    In addition to those disclosures generally permitted under 5 U.S.C. 
552a(b), all or a portion of the records or information contained in 
this system of records may be disclosed as a routine use pursuant to 5 
U.S.C. 552a(b)(3) under the circumstances or for the purposes described 
below, to the extent such disclosures are compatible with the purposes 
for which the information was collected.
    A. Limited information may be provided by a POC state or the NICS 
Section to an FFL who has contacted the NICS concerning a prospective 
firearm transferee. If a matching record found by the NICS provides 
information demonstrating that the prospective transferee is 
disqualified from possessing a firearm under Federal or State law, the 
FFL will be notified only that the application is ``denied,'' with none 
of the underlying information provided. If additional record analysis 
is required by the NICS representative (e.g., to confirm that a record 
relates to the potential transferee or to pursue supplemental 
information to clarify whether the potential transferee is disqualified 
from receiving a firearm), the response will read ``delayed'' and will 
include the NICS-determined date after which the FFL may lawfully 
transfer the firearm if the FFL has not received a final determination 
status from NICS. If no disqualifying record is located by the NICS, 
the FFL will be told that it may ``proceed.'' A unique identification 
number will be provided to the FFL for all responses received from the 
NICS, which number shall be recorded on the firearms transaction form. 
If an FFL is unable to provide the information required to conduct a 
NICS check or for other reasons (e.g., the NICS detects false entries 
have been made on the ATF 4473 that are not grounds for a deny 
response), then the NICS check is discontinued and the FFL will be 
provided with a ``canceled'' response.
    B. Information from the NICS-checked databases may be provided to 
Federal, State, local, tribal, and territorial criminal justice 
agencies and organizations, including POC states and contributors of 
information to the NICS Indices, to enable them to determine whether 
the transfer of a firearm to any person not licensed under 18 U.S.C. 
923 would be in violation of Federal or State law; whether the issuance 
of a license or permit for the transfer, possession, or sale of a 
firearm or firearms, or to carry a concealed firearm, or to import, 
manufacture, deal in, or purchase explosives would be in violation of 
Federal or State law or regulation; whether appeals should be granted 
or denied; and whether to add to, delete from, revise, or update 
information previously provided by the contributor. This includes 
responding to inquiries by the ATF in connection with civil or criminal 
enforcement of the Gun Control Act (18 U.S.C. Chapter 44); the National 
Firearms Act (26 U.S.C. Chapter 53); or 18 U.S.C. Chapter 40 
(Importation, Manufacture, Distribution and Storage of Explosive 
Materials); responding to inquiries from the Nuclear Regulatory 
Commission (NRC) in connection with the clearance of its licensee and 
certificate holder security personnel pursuant to the Atomic Energy Act 
of 1954, as amended, section 161A (42 U.S.C. 2201a); and responding to 
inquiries from criminal justice agencies regarding the disposition of 
firearms in their possession.
    C. If, during the course of any activity or operation of the system 
authorized by the regulations governing the system (28 CFR part 25 
Subpart A), any record is found by the system which indicates, either 
on its face or in conjunction with other information, a violation or 
potential violation of law (whether criminal or civil) and/or 
regulation, the pertinent record may be disclosed to the appropriate 
agency/organization/task force (whether Federal, State, local, tribal, 
or joint) and/or to the appropriate foreign or international agency/
organization charged with the responsibility of investigating, 
prosecuting, and/or enforcing such law or regulation, e.g., disclosure 
of information from the system to a law enforcement agency with an 
active warrant for an individual denied a NICS transaction on the basis 
of that warrant. (This routine use does not apply to the NICS Indices 
because access to the information in the NICS Indices is limited to the 
specific purposes set forth in 28 CFR 25.6(j).)
    D. System records may be disclosed to contractors, grantees, 
experts, consultants, students, volunteers, detailees, and other non-
FBI employees performing or working on a contract, service, grant, 
cooperative agreement, job, or other assignment for the Federal 
Government when necessary to accomplish an agency function related to 
this system of records and under requirements (including Privacy Act 
requirements) specified by the FBI.
    E. System records may be disclosed to the news media or members of 
the general public or to a victim or potential victim in furtherance of 
a legitimate law enforcement or public safety function, e.g., to assist 
in locating fugitives; to provide notification of arrests; to provide 
alerts, assessments, or similar information on potential threats to 
life, health, or property; or to keep the public appropriately informed 
of other law enforcement or FBI matters of legitimate public interest 
where disclosure could not reasonably be expected to constitute an 
unwarranted invasion of personal privacy. (The availability of 
information in pending criminal cases will be governed by the 
provisions of 28 CFR 50.2.) (This routine use does not apply to the 
NICS Indices because access to the information in the NICS Indices is 
limited to the specific purposes set forth in 28 CFR 25.6(j).)
    F. Where the disclosure of system records has been determined by 
the FBI to be reasonable and necessary to resolve a matter in 
litigation or in anticipation thereof, such records may be disclosed to 
a court or adjudicative body, before which the FBI is authorized to 
appear, when: (a) The FBI or any FBI employee in his or her official 
capacity; (b) any FBI employee in his or her individual capacity where 
the Department of Justice has agreed to represent the employee; or (c) 
the United States, where the FBI determines it is likely to be affected 
by the litigation, is or could be a party to the litigation, or has an 
official interest in the litigation. Similar disclosures may be made in 
analogous situations related to assistance provided to the Federal 
government by non-FBI employees (see Routine Use D). This routine use 
would include disclosures in actual and/or anticipated litigation 
involving POC states in matters relating to NICS operations.
    G. System records may be disclosed to a Member of Congress or staff 
acting on the Member's behalf when the Member or staff requests the 
information on

[[Page 54180]]

behalf of and at the written request of the individual who is the 
subject of the record.
    H. System records may be disclosed to the National Archives and 
Records Administration for records management inspections and such 
other purposes conducted under the authority of 44 U.S.C. 2904 and 
2906.
    I. Information pertaining to individuals who are the subject of a 
denied transaction by the NICS may be disclosed, either electronically 
or otherwise, to a Federal, State, local, tribal, joint, foreign, 
international, or other public agency/organization where such 
disclosure may promote, assist, or otherwise serve law enforcement 
interests. By way of example and not limitation, such disclosures may, 
for instance, include posting all NICS denials on a centralized 
database that would be electronically accessible to law enforcement 
agencies.
    J. Information in the NICS Audit Log (including records of 
approved, open, and denied transfers) may be disclosed to the Bureau of 
Alcohol, Tobacco, Firearms, and Explosives (ATF) in connection with 
ATF's inspection of FFL records. The information which may be disclosed 
to the ATF regarding approved and open records is governed by the 
provisions of 28 CFR part 25.
    K. Pursuant to subsection (b)(3) of the Privacy Act, the Department 
of Justice may disclose relevant and necessary information to a former 
employee of the Department for purposes of: Responding to an official 
inquiry by a Federal, State, or local government entity or professional 
licensing authority, in accordance with applicable Department 
regulations; or facilitating communications with a former employee that 
may be necessary for personnel-related or other official purposes where 
the Department requires information and/or consultation assistance from 
the former employee regarding a matter within that person's former area 
of responsibility.
    L. To appropriate agencies, entities, and persons when (1) the 
Department suspects or has confirmed that there has been a breach of 
the system of records; (2) the Department has determined that as a 
result of the suspected or confirmed breach there is a risk of harm to 
individuals, DOJ (including its information systems, programs, and 
operations), the Federal Government, or national security; and (3) the 
disclosure made to such agencies, entities, and persons is reasonably 
necessary to assist in connection with the Department's efforts to 
respond to the suspected or confirmed breach or to prevent, minimize, 
or remedy such harm.
    M. To another Federal agency or Federal entity, when the Department 
determines that information from this system of records is reasonably 
necessary to assist the recipient agency or entity in (1) responding to 
a suspected or confirmed breach or (2) preventing, minimizing, or 
remedying the risk of harm to individuals, the recipient agency or 
entity (including its information systems, programs, and operations), 
the Federal Government, or national security, resulting from a 
suspected or confirmed breach.
    N. To an actual or potential party or his or her attorney for the 
purpose of negotiating or discussing such matters as a settlement of 
the case or matter, or informal discovery proceedings, in matters in 
which the FBI has an official interest and in which the FBI determines 
records in the system to be arguably relevant.
    O. To such recipients and under such circumstances and procedures 
as are required or allowed by Federal regulation, statute, or treaty.
    P. To a Federal, State, local, tribal, territorial, or foreign 
governmental agency when necessary to elicit information from that 
agency regarding an individual's eligibility to receive a firearm, 
explosive, or related permit.

POLICIES AND PRACTICES FOR STORAGE OF RECORDS:
    Computerized records are stored electronically on hard disk, 
removable storage devices, in a government approved cloud computing 
infrastructure (e.g., FedRAMP approved) offered by a cloud service 
provider (e.g. Amazon Web Services), or other digital media. Some 
information may be retained in hard copy format.

POLICIES AND PRACTICES FOR RETRIEVAL OF RECORDS:
    Records are retrieved by name, sex, race, date of birth, state of 
residence, other personal descriptive data, the NTN, FFL number, and in 
some instances, unique numeric identifier, e.g., a Social Security 
number or military identification number.

POLICIES AND PRACTICES FOR RETENTION AND DISPOSAL OF RECORDS:
    Records in this system are maintained and disposed of in accordance 
with job numbers N1-065-07-003 and N1-065-10-005 of the National 
Archives and Records Administration.

ADMINISTRATIVE, TECHNICAL, AND PHYSICAL SAFEGUARDS:
    Records in the NICS are located in secure government buildings with 
limited physical access or in a government approved cloud computing 
infrastructure (e.g. FedRAMP approved) offered by a cloud service 
provider (e.g. Amazon Web Services). Computerized data is password 
protected. All FBI personnel and contractors are required to pass an 
extensive background investigation. The information is accessed only by 
authorized FBI personnel or by non-FBI personnel properly authorized 
access to these records. Access to the results of a NICS record search 
is further restricted to authorized employees of Federal, State, and 
local law enforcement agencies. Paper records are temporarily stored in 
hard copy until they are scanned into electronic format and stored in 
the system. The paper records are retained and disposed of as 
authorized by the National Archives and Records Administration.
    When a Federal, State, local, or tribal agency places information 
in the NICS Indices, it uses its agency identifier and a unique agency 
record identifier for each record provided to the NICS. Federal, State, 
local, and tribal agencies can modify or cancel only the data that they 
have provided to the NICS Indices.

RECORD ACCESS PROCEDURES:
    The Attorney General has exempted this system of records from the 
notification, access, amendment, and contest procedures of the Privacy 
Act. These exemptions apply only to the extent that the information in 
this system is subject to exemption pursuant to 5 U.S.C. 552a(j) or 
(k). Where compliance would not appear to interfere with or adversely 
affect the purposes of the system, or the overall law enforcement/
intelligence process, the applicable exemption (in whole or in part) 
may be waived by the FBI in its sole discretion.
    All requests for access should follow the guidance provided on the 
FBI's website at https://www.fbi.gov/services/records-management/foipa. 
A request for access to a record from this system of records must be 
submitted in writing and comply with 28 CFR, Part 16. Individuals may 
mail, fax, or electronically submit a request, clearly marked ``Privacy 
Act Access Request,'' to the FBI, ATTN: FOI/PA Request, Record/
Information Dissemination Section, 170 Marcel Drive, Winchester, VA 
22602-4843; facsimile: 540-868-4995/6/7; electronically: https://www.fbi.gov/services/records-management/foipa/requesting-fbi-records. 
The request should include a general description of the records sought, 
and must include the requester's full name, current address, and date 
and place of birth. The request must be signed and dated and either 
notarized or

[[Page 54181]]

submitted under penalty of perjury. While no specific form is required, 
requesters may obtain a form (Form DOJ-361) for use in certification of 
identity, which can be located at the above link. In the initial 
request, the requester may also include any other identifying data that 
the requester may wish to furnish to assist the FBI in making a 
reasonable search. The request should include a return address for use 
by the FBI in responding; requesters are also encouraged to include a 
telephone number to facilitate FBI contacts related to processing the 
request. A determination of whether a record may be accessed will be 
made after a request is received.
    Alternative procedures are available to a person who has been 
denied the transfer of, or permit for, a firearm because of information 
in the NICS. The procedures provide for an appeal of a denial and a 
method to seek correction of erroneous data searched by or maintained 
in the system. The alternative procedures can be found at 28 CFR part 
25 Subpart A.

CONTESTING RECORD PROCEDURES:
    The Attorney General has exempted this system of records from the 
notification, access, amendment, and contest procedures of the Privacy 
Act. These exemptions apply only to the extent that the information in 
this system is subject to exemption pursuant to 5 U.S.C. 552a(j) or 
(k). Where compliance would not appear to interfere with or adversely 
affect the purposes of the system, or the overall law enforcement/
intelligence process, the applicable exemption (in whole or in part) 
may be waived by the DOJ in its sole discretion.
    Individuals desiring to contest or amend information maintained in 
the system should direct their requests according to the ``RECORD 
ACCESS PROCEDURES'' paragraph above. All requests to contest or amend 
records must be in writing and the envelope and letter should be 
clearly marked ``Privacy Act Amendment Request.'' All requests must 
state clearly and concisely what record is being contested, the reason 
for contesting it, and the proposed amendment to the record. Some 
information may be exempt from the amendment provisions as described in 
the ``EXEMPTIONS PROMULGATED FOR THE SYSTEM'' paragraph, below. An 
individual who is the subject of a record in this system of records may 
contest or amend those records that are not exempt. A determination of 
whether a record is exempt from the amendment provisions will be made 
after a request is received.
    More information regarding the Department's procedures for amending 
or contesting records in accordance with the Privacy Act can be found 
at 28 CFR 16.46, ``Requests for Amendment or Correction of Records.''
    In addition, as described above under the ``RECORD ACCESS 
PROCEDURES'' section, an alternative procedure is available to a person 
who has been denied the transfer of, or permit for, a firearm because 
of information in the NICS, by which the individual may seek the 
correction of erroneous data in the system. The procedures are further 
described at 28 CFR part 25 Subpart A.

NOTIFICATION PROCEDURES:
    This system of records has been exempted from the notification 
procedures of subsections (d) and (e)(4)(G), to the extent permitted by 
subsections (j)(2), (k)(2), and (k)(3) of the Privacy Act. Requests for 
notification should be addressed to the Systems Manager. Requirements 
for a request are the same as set forth in the ``RECORD ACCESS 
PROCEDURES'' paragraph, above.

EXEMPTIONS PROMULGATED FOR THE SYSTEM:
    The Attorney General has exempted this system from subsections 
(c)(3) and (4); (d); (e)(1), (2), and (3); (e)(4)(G) and (H); (e)(5) 
and (8); and (g) of the Privacy Act, pursuant to 5 U.S.C. 552a(j)(2). 
In addition, the Attorney General has exempted this system from 
subsections (c)(3), (d), (e)(1), and (e)(4)(G) and (H) of the Privacy 
Act, pursuant to 5 U.S.C. 552a(k)(2) and (k)(3). Rules have been 
promulgated in accordance with the requirements of 5 U.S.C. 553(b), 
(c), and (e) and have been published in the Federal Register. See 28 
CFR 16.96(p) and (q).

HISTORY:
    National Instant Criminal Background Check System (NICS), JUSTICE/
FBI-018, 63 FR 65223 (Nov. 25, 1998), as amended by 65 FR 78190 (Dec. 
14, 2000), 66 FR 6676 (Jan. 22, 2001), 66 FR 8425 (Jan. 31, 2001), 66 
FR 12959 (Mar. 1, 2001), and 82 FR 24147 (May 25, 2017).

[FR Doc. 2019-21583 Filed 10-8-19; 8:45 am]
 BILLING CODE 4410-02-P