[Federal Register Volume 63, Number 227 (Wednesday, November 25, 1998)]
[Notices]
[Pages 65223-65228]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 98-31503]


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DEPARTMENT OF JUSTICE

[AAG/A Order 154-98]


Privacy Act of 1974; Notice of Modified System of Records

    Pursuant to the provisions of the Privacy Act of 1974 (5 U.S.C. 
552a), notice is hereby given that the Department of Justice, Federal 
Bureau of Investigation (FBI), is modifying the following system of 
records which was last published in the Federal Register on June 4, 
1998 (63 FR 30514):
    The National Instant Criminal Background Check System (NICS) 
JUSTICE/FBI-018.
    In the rules section of today's Federal Register, the Department of 
Justice is also providing a final rule exempting the NICS from certain 
provisions of the Privacy Act.
    This notice addresses comments received by the Department of 
Justice following publication of the Notice of New System of Records 
for the NICS, published in the Federal Register on June 4, 1998 (63 FR 
30514), in which, in accordance with 5 U.S.C. 552a(e)(4) and (11), the 
public, the Office of Management and Budget, and the Congress were 
invited to comment on the new routine uses. The Department of Justice/
FBI accepted comments on the NICS system notice from the public dated 
on or before July 6, 1998.

Significant Comments

    A number of comments raised matters that were more pertinent to 
other notices of proposed rulemaking relating to the NICS: The National 
Instant Criminal Background Check System Regulation published in the 
Federal Register on June 4, 1998 (63 FR 30430), and the National 
Instant Criminal Background Check System User Fee Regulation, published 
in the Federal Register on August 17, 1998 (63 FR 43893). Such comments 
have been addressed in the final NICS rule, the National Instant 
Criminal Background Check System Regulation, published in the Federal 
Register on October 30, 1998 (63 FR 58303). Other comments raised 
matters that were more pertinent to the proposed rule exempting the 
NICS from certain provisions of the Privacy Act, published in the 
Federal Register on June 4, 1998 (63 FR 30429). Such comments are 
addressed in a final rule, Exemption of System of Records Under the 
Privacy Act, published in the rules section of today's Federal 
Register.
    A number of comments opposed retention by the NICS of a temporary 
log of background check transactions that allow a firearm transfer to 
proceed. (For a more detailed discussion of this issue, see the final 
NICS rule, the National Instant Criminal Background Check System 
Regulation, published in the Federal Register on October 30, 1998 (63 
FR 58303).) Although the Brady Handgun Violence Prevention Act (Brady 
Act) mandates the destruction of all personally identified information 
in the NICS associated with approved firearms transactions (other than 
the identifying number and the date the number was assigned), the 
statute does not specify a period of time within which records of 
approvals must be destroyed. At the same time, the Brady Act requires 
that the Department ensure the privacy and security of the NICS and the 
proper operation of the system. The Department has attempted to balance 
various interests involved and comply with both statutory requirements 
by retaining such records in the NICS Audit Log for a limited, but 
sufficient, period of time to conduct audits of the NICS. The original 
NICS records system notice indicated that records of firearm 
transaction approvals would be maintained for eighteen months. However, 
in recognition of the numerous comments objecting to this retention 
period as too long, the Department reexamined the time period needed to 
perform audits of the NICS. The Department determined that the general 
retention period for records of allowed transfers in the NICS Audit Log 
should be the minimum reasonable period for performing audits on the 
system, but in no event more than six months. The final NICS 
regulations reflect this (but also provide that such information may be 
retained for a longer period if necessary to pursue identified cases of 
misuse of the system). The Department further determined that the FBI 
shall work toward reducing the retention period to the shortest 
practicable period of time less than six months that will allow basic 
security audits of the NICS. By February 28, 1999, the Department will 
issue a notice of a proposed revision of the regulation setting forth a 
further reduced period of retention that will be observed by the 
system. The NICS system of records has been modified to reflect these 
changes.
    Various comments expressed concern that the Audit Log would allow 
states acting as NICS Points of Contact (POCs) and law enforcement 
agencies access to records of approved transfers. This is not a well-
founded concern because only the FBI will be able to directly access 
information in the transaction log. Section 25.9(b)(2) of the final 
rule was revised to provide explicitly that such information is 
directly available only to the FBI, and only for the purposes of 
conducting audits of the use and performance of the NICS or pursuing 
cases of misuse of the system.
    In addition to several comments which objected to particular 
routine uses, one comment pointed out that the list of ``routine uses'' 
in the original NICS system notice appeared broader than the uses 
addressed in the regulations for both the National Crime Information 
Center (NCIC) (citing 28 CFR 20.20(c) and 20.21(b)) and for the NICS 
(citing 28 CFR 25.6(j)). Specifically, 28 CFR 25.6(j) limits the

[[Page 65224]]

access to the NICS Index for purposes that are unrelated to NICS 
background checks required by the Brady Act to providing information to 
criminal justice agencies in connection with the issuance of firearm-
related and explosives-related permits or licenses or to the ATF in 
connection with enforcement of the Gun Control Act (18 U.S.C. Chapter 
44) or the National Firearms Act (26 U.S.C. Chapter 53). The comment 
objected that the original NICS system notice provided no justification 
for any such apparent differences and expressed the opinion that a 
significant number of the uses are ``inconsistent with Congress' 
intent.''
    The Department acknowledges that these apparent differences warrant 
clarification. The NICS regulations were issued to establish policies 
and procedures implementing the Brady Act. As explained in the final 
NICS rule (63 FR 58305), the purpose of the limitation on access to the 
NICS Index was to prevent checks of the NICS Index for general law 
enforcement purposes.
    The NICS Index is a separate database within the NICS which 
contains records provided by Federal agencies to the FBI on persons 
prohibited from receiving firearms under Federal law and records 
provided voluntarily by some states on persons who have been denied the 
purchase of a firearm or who are known to be disqualified from 
possessing a firearm under federal law. Information in the NICS Index 
generally relates to individuals who fall within categories ``C'' 
through ``G'' of the categories of individuals covered by the system 
described in the NICS system notice below. For the most part, criminal 
history records are not pertinent to these categories; instead the NICS 
Index consists of data relating to such matters as mental incompetence, 
renunciations of citizenship, immigration matters, and dishonorable 
discharges. Largely due to privacy-related concerns expressed by the 
federal agencies supplying such sensitive records to the NICS Index, 
the Department will limit generalized non-Brady law enforcement 
disclosures of the NICS Index to those uses provided in 28 CFR 25.6(j) 
(which are embodied in this notice as routine uses ``A'' and ``B'').
    However, the NICS Index is only one of several parts of the NICS, 
and the express language of the regulation clearly limits the scope of 
25 CFR 25.6(j) to the contents of the NICS Index. The NICS Audit Log is 
separate from the NICS Index. In the course of conducting a NICS 
search, the NICS will query the NICS Index, and any ``match'' found in 
the NICS Index will be replicated in the NICS Audit Log. The 
limitations in 28 CFR 25.6(j) do not extend to information in the NICS 
Audit Log derived from individual ``hits'' in the NICS Index. (Nor, 
apart from the NICS Index, do these limitations extend to other 
components of the NICS,) Thus--as to these other NICS components--28 
CFR 25.6(j) does not preclude the generalized law-enforcement 
disclosures established in routine use ``C.'' Routine use ``C'' would 
not, however, apply to the NICS Index, and this routine use is being 
revised to make this clear.
    Nor was 28 CFR 25.6(j) intended to limit certain other disclosures 
incident to management and administration of the NICS when properly 
authorized pursuant to the Privacy Act. Although this may not be 
readily apparent from the express terms of the NICS regulation, it is 
clearly evidenced by the Department's publication of the original NICS 
Privacy Act system notice--which included the routine uses--
simultaneously with the publication of the proposed NICS regulations, 
in which the system notice was expressly referenced. The NICS 
regulations are to be read together with the NICS system notice. 
(Indeed, this same result is a mirror of the NCIC, in which disclosures 
addressed in the NCIC regulations are supplemented in NCIC's system 
notice (60 FR 19775).) Thus, for instance, the NICS regulations must be 
read together with routine use ``D,'' which provides for disclosures to 
contractors, grantees, experts, consultants, volunteers, detailees, and 
other non-FBI employees performing or working on a contract, service, 
grant, cooperative agreement, or job 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. The need to utilize outside service providers, 
particularly in the creation, maintenance, and management of highly 
complex systems, is a fact of life for virtually every public and 
private entity. Further, when an agency provides by contract for the 
operation of a system of records to accomplish an agency function, the 
Privacy Act itself provides for considering the contractor and any 
employee of such contractor as an employee of the agency for purposes 
of Privacy Act sanctions (5 U.S.C. 552a(m)). The persons covered by 
this use are the functional equivalent of FBI employees, and this use 
confirms authority for disclosures to these persons to the same extent 
as if they were actual FBI employees.
    All of the routine uses contained in the NICS system notice comport 
with Congress' intent and are fully compatible with the Brady Act. As 
noted in House Report 103-344, the Brady Act was enacted in an effort 
to stem the appalling consequences of an epidemic of gun violence by 
preventing the acquisition of firearms by those prohibited under 
federal or state law. The routine uses further the Brady Act's 
preventive goals not only by preventing transfers of firearms to 
disqualified individuals, but also by enhancing the deterrent prospect 
of capture and prosecution of those who pursue unlawful transfers or 
otherwise seek to unlawfully subvert the Brady Act. Prevention is also 
furthered by routine uses which could permit prophylactic advisories to 
the public and/or potential victims. Finally, it is entirely compatible 
with the Brady Act to provide the FBI with the necessary flexibility to 
carry out its responsibilities, and to facilitate inquiries by Members 
of Congress to ensure their constituents have been treated 
appropriately under the Brady Act. Accordingly, except as noted below, 
this notice continues the routine uses as originally published.
    Routine use ``C'' provides the necessary authority for further 
coordination among law enforcement agencies for the purposes of 
investigating, prosecuting, and/or enforcing violations of criminal or 
civil law or regulation that may come to light during the NICS 
operations. This provides a mechanism for pursuing criminal or civil 
sanctions against those attempting to thwart governing laws or 
regulations, which will strengthen and further the Brady Act's 
deterrence goal. One comment objected to this routine use's additional 
provision for disclosing violations of contract. Although this 
additional provision was modeled after other systems where such 
authority is useful and appropriate, it does appear not to be necessary 
in the NICS. We are modifying this routine use to delete the provision 
relating to disclosures of a violation or potential violation of a 
contract. (As previously discussed, we are also modifying this routine 
use to expressly provide that it does not apply to the NICS Index.)
    Routine use ``E'' provides for appropriate disclosures to the 
public (including a victim or potential victim) in furtherance of a 
legitimate law enforcement or public safety function, or to keep the 
public appropriately informed of other law enforcement or FBI matters 
of legitimate public interest where disclosure would not constitute a 
clearly unwarranted invasion of personal privacy. As for all routine 
uses, such disclosures would only include those compatible with the 
purposes for

[[Page 65225]]

collecting the information under the Brady Act. Such disclosures might 
include local media announcements asking the public's assistance in 
locating a dangerous fugitive who attempted to purchase a firearm in 
the area, or alerting a protected spouse when the subject of a 
protective order attempts to purchase a firearm. Such disclosures would 
fully comport with the violence-prevention goals of Brady Act. As 
another example, providing the public examples of the NICS' 
effectiveness in particular cases could help deter disqualified persons 
who might otherwise be tempted to test the system. On further review, 
however, we conclude that it is unnecessary to also provide for public 
disseminations not related to law enforcement or FBI matters. We are 
modifying this routine use to delete the provision allowing disclosures 
to the news media or general public in situations not related to law 
enforcement or FBI matters. In addition, we are further modifying this 
routine use to expressly provide that it does not apply to information 
in the NICS Index.

Changes

    This notice modifies the NICS system of records to reflect recent 
statutory and regulatory changes affecting the NICS, and to make 
various editorial and clarifying revisions. To the extent possible, the 
changes and additions are italicized throughout the attached system 
notice, and brief descriptions of the more noteworthy ones are provided 
below.
    As discussed above, the system has been modified to reflect that 
the general retention period for records of allowed transfers in the 
NICS Audit Log should be the minimum reasonable period for performing 
audits on the system, but in no event more than six months, provided 
that such information may be retained for a longer period if necessary 
to pursue identified cases of misuse of the system.
    Also as discussed above, routine use ``C'' has been modified to 
delete the provision for disclosing violations or potential violations 
of contracts, routine use ``E'' has been modified to delete provisions 
for public disclosures not related to law enforcement or FBI matters, 
and both of these routine uses have been modified to expressly provide 
that they do not apply to the NICS Index.
    In consonance with other changes made in the final NICS rule, the 
NICS system notice has been modified to replace the term ``password'' 
with ``code word''; replace words such as ``purchase'' and 
``purchaser'' with words such as ``transfer'' and ``transferee''; 
change terminology relating to NICS denials from ``reason to believe'' 
to ``information demonstrating''; and to clarify that allowable non-
Brady Act uses of the NICS Index include responding to inquiries by 
criminal justice agencies in connection with licenses or permits to 
carry a concealed firearm or to import, manufacture, deal in, or 
purchase explosives, and to inquiries by the ATF in connection with 
enforcement of the Gun Control Act (18 U.S.C. Chapter 44) or the 
National Firearms Act (26 U.S.C. Chapter 53).
    The original NICS records system notice indicated that NICS' 
searches of the National Crime Information Center (NCIC) and the 
Interstate Identification Index (III) would be specifically directed 
towards locating information that an individual is within the system-
notice categories A, B, H, and I of persons covered by the system. The 
NICS searches of NCIC and III will also be directed towards locating 
information that an individual is within the system-notice categories C 
(unlawful user of or addicted to any controlled substance), and D 
(adjudicated as a mental defective or has been committed to a mental 
institution). The NICS system notice has been modified to reflect this.
    The original NICS records system notice indicated that the 
categories of individuals covered by the system included persons who 
were FFLs authorized by the FBI to request NICS checks. The system will 
also cover persons who claim on applications submitted to the FBI for 
NICS access to be FFLs even though they are not, and FFLs on record 
with the ATF that have not been granted authority to request NICS 
checks. In addition, the original notice may not have been clear that 
these FFL records are separate from the NICS Index and the NICS Audit 
Log. The NICS system notice has been modified to clarify this.
    The NICS system notice has been modified to expressly confirm that 
in advising an FFL that a response will be ``delayed,'' the NICS may 
apprise an FFL of an estimated time for completing the analysis.

    Dated: November 19, 1998.
Stephen R. Colgate,
Assistant Attorney General for Administration.
JUSTICE/FBI-018

SYSTEM NAME:
    National Instant Criminal Background Check System (NICS).

SYSTEM LOCATION:
    Federal Bureau of Investigation, 1000 Custer Hollow Road, 
Clarksburg, West Virginia 26306.

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;
    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 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 and Firearms (ATF), 
United States Department of Treasury, as a manufacturer, dealer, or 
importer of firearms; or
    L. Has applied for the transfer of a firearm or a firearms-related 
permit or license and has had his or her name forwarded to the NICS as 
part of a request for a NICS background check. (Identifying information 
about this category of individual is maintained for system 
administration and security purposes only in the ``NICS Audit Log,'' a 
system transaction log described below under the headings ``CATEGORIES 
OF RECORDS IN THE SYSTEM'' AND ``RETENTION AND DISPOSAL.'' In cases 
where the NICS background check does not locate a disqualifying record, 
information about the individual will only be retained temporarily for 
the minimum reasonable period necessary for performing audits on the 
system, but in

[[Page 65226]]

no event more than six months or such shorter period of time that the 
Department establishes by regulation, provided that such information 
may be retained for a longer period if necessary to pursue identified 
cases of misuse of the system. The system will not contain any details 
about the type of firearm which is the subject of the proposed transfer 
(other than the fact that it is a handgun or a long gun) or whether a 
sale or transfer of a firearm has actually taken place.

CATEGORIES OF RECORDS IN THE SYSTEM:
    The ``NICS Index'' is the only database maintained by the FBI which 
was created specifically for the NICS. The NICS Index contains records 
obtained by the Attorney General from Federal agencies or States on 
individuals who fall into the categories of individuals listed above 
under the heading ``CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM,'' 
C through G. These records contain an individual's name; sex; race; 
other personal descriptive data (such as scars and tattoos); 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, or local law enforcement authorities.
    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); line number; 
time; date of inquiry; header; message key; Originating Agency 
Identifier; and inquiry/response data, such as a NICS Transaction 
Number (a unique number assigned to each valid background request 
inquiry) and information found by the NICS search.
    In addition, the NICS contains information on persons that are FFLs 
(or claim to be). This information includes the FFL name, address, 
phone numbers, ATF number, access code words, 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.

AUTHORITY FOR MAINTENANCE OF THE SYSTEM:
    (1) 18 U.S.C. 922, as amended by the Brady Handgun Violence 
Prevention Act (the ``Brady Act'') (Pub. L. 103-159, Nov. 30, 1993); 
(2) 28 U.S.C. 534, as amended (Pub. L. 103-322, Title IV, 4060(a), Sep. 
13, 1994, 105 Stat. 1950).

PURPOSE(S):
    The purpose of the NICS, which was established pursuant to the 
Brady Act, is to provide a means of checking available information to 
determine whether a person is disqualified from possessing a firearm 
under Federal or State law.
    Prior to the transfer of a firearm, a prospective transferee, not 
licensed under 18 U.S.C. 923, must obtain a firearms transaction form 
from an FFL and provide the information required by the ATF. The 
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. NICS conducts a 
search which compares the information about the transferee with 
information in or available to NICS.
    State and local law enforcement agencies may serve as Points of 
Contact (POCs) for the NICS. Where there is no POC, the FBI's NICS 
Operations Center serves in its place. The POC (or the NICS Operations 
Center) receives inquiries from FFLs, initiates NICS background 
searches, may check available state and local record systems, 
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 Index, a NICS search includes a 
review of the pre-existing, separately-managed FBI criminal history 
databases of the National Crime Information Center (NCIC)(JUSTICE/FBI-
001), including the Interstate Identification Index (III), to the 
extent such searches are possible with the available information. NCIC 
and III are cooperative Federal-State programs for the exchange of 
criminal history record and other information among criminal justice 
agencies to locate wanted and missing persons and for other 
identification purposes. The search conducted of the NCIC and III, in 
conjunction with the search of the NICS Index, attempts to locate only 
information indicating that an individual firearm transferee is 
identical to an individual in one or more of categories A through J 
listed above under the heading CATEGORIES OF INDIVIDUALS IN THE SYSTEM, 
with the search of NCIC and III specifically directed towards locating 
information that an individual is within categories A, B, C, D, H, and 
I.

ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES 
OF USERS AND THE PURPOSES OF SUCH USES:
    A. Limited information may be provided by a POC or the NICS 
Operations Center 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 may read ``delayed'' and may 
include an estimated time for completing the analysis. 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.
    B. Information in the NICS may be provided through the NCIC lines 
to Federal criminal justice agencies, criminal justice agencies in the 
fifty States, the District of Columbia, Puerto Rico, U.S. Possessions, 
and U.S. Territories, including POCs and contributors of information in 
the NICS Index, 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 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 from denials 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 enforcement of the Gun Control Act (18 
U.S.C. Chapter 44), or the National Firearms Act (26 U.S.C. Chapter 
53).
    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,

[[Page 65227]]

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, joint, or tribal) 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 the ATF, United 
States Department of Treasury, regarding violations or potential 
violations of 18 U.S.C. 922(a)(6).  (This routine use does not apply to 
the NICS Index.)
    D. System records may be disclosed to contractors, grantees, 
experts, consultants, volunteers, detailees, and other non-FBI 
employees performing or working on a contract, service, grant, 
cooperative agreement, or job 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. 
(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 Index.)
    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.
    G. System records may be made available to a Member of Congress or 
staff acting on the Member's behalf when the Member or staff requests 
the information on behalf 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.

Policies and Practices for Storing, Retrieving, Accessing, Retaining, 
and Disposing of Records in the System:
Storage:
    Records are stored electronically for use in a computer environment 
in areas safe from access by unauthorized persons or exposure to 
environmental hazards. In general, the security policy for the NCIC 
(JUSTICE/FBI-001) is followed.

Retrievability:
    Records are retrieved by name, sex, race, date of birth, state of 
residence, other personal descriptive data, the NICS Transaction 
Number, FFL number, and, in some instances, unique numeric identifier, 
e.g., a Social Security number or a military identification number. (A 
Social Security number is not required by the NICS.)

Safeguards:
    Records searched by the NICS are located in secure government 
buildings with limited physical access. Access to the results of a NICS 
record search is further restricted to authorized employees of Federal, 
State, and local law enforcement agencies who make inquiries by use of 
identification numbers and code words.
    When a Federal, State, or local agency places information in the 
NICS Index, it uses its agency identifier and a unique agency record 
identifier for each record provided to the NICS. Federal, State, or 
local agencies can modify or cancel only the data that they have 
provided to NICS Index.

Retention and Disposal:
    Information provided by other Federal agencies or State or local 
governments will be maintained in the NICS Index unless updated or 
deleted by the agency/government which contributed the data.
    The FBI will maintain an Audit Log of all NICS transactions. 
Firearms transaction approvals will be maintained for the minimum 
reasonable period necessary for performing audits on the system, but in 
no event more than six months or such shorter period of time that the 
Department establishes by regulation (except that such information may 
be retained for a longer period if necessary to pursue identified cases 
of misuse of the system). The NICS Transaction Number (the unique 
number assigned to the NICS transaction) and the date on which it was 
assigned will be maintained indefinitely. Information related to 
firearms transfer denials will be retained for 10 years and then 
disposed of as directed by the National Archives and Record 
Administration.

System Manager(s) and Address:
    Director, Federal Bureau of Investigation, J. Edgar Hoover FBI 
Building, 935 Pennsylvania Avenue, NW, Washington, DC 20535-0001.

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 below under the heading 
``RECORD ACCESS PROCEDURES.''

RECORD ACCESS PROCEDURES:
    This system of records has been exempted from the access procedures 
of subsections (d) and (e)(4)(H) to the extent permitted by subsections 
(j)(2), (k)(2), and (k)(3) of the Privacy Act. A request for access to 
a non-exempt record from the system should be addressed to the System 
Manager, shall be made in writing, and should have the envelope and the 
letter marked ``Privacy Act Request.'' The request must include the 
full name, complete address, date of birth, and place of birth of the 
requester. The requester must sign the request; and, to verify it, the 
signature must be notarized or submitted under 28 U.S.C. 1746, a law 
that permits statements to be made under penalty of perjury as a 
substitute for notarization.
    Alternative procedures are available to a person who has been 
denied the transfer of, or permit for, a firearm or explosives because 
of information in the NICS. The procedures provide for an appeal of a 
denial and a method to seek the 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:
    This system of records has been exempted from the contest and 
amendment procedures of subsections (d) and (e)(4)(H) to the extent 
permitted by subsections (j)(2),(k)(2), and (k)(3) of

[[Page 65228]]

the Privacy Act. Requests should be addressed to the System Manager and 
should clearly and concisely describe the precise information being 
contested, the reasons for contesting it, and the proposed amendment or 
correction proposed to the information. In addition, as described above 
under ``RECORD ACCESS PROCEDURES,'' an alternative procedure is 
available to a person who has been denied the transfer of, or permit 
for, a firearm or explosives 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.

RECORD SOURCE CATEGORIES:
    Information contained in the NICS is obtained from local, State, 
Federal, and international records.

SYSTEM EXEMPTED FROM CERTAIN PROVISIONS OF THE ACT:
    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 his 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. 
[FR Doc. 98-31503 Filed 11-24-98; 8:45 am]
BILLING CODE 4410-12-P