GUN CONTROL

Analyzing Available 

Data Could Help 

Improve Background

Checks Involving 

Domestic Violence 

Records

Report to the Acting Ranking Member, 

Subcommittee on Commerce, Justice, 

Science, and Related Agencies,

Committee on Appropriations, House of

Representatives

July 2016

GAO-16-483

United States Government Accountability Office
United States Government Accountability Office

Highlights of GAO-16-483, a report to the 

Acting Ranking Member, Subcommittee on 

Commerce, Justice, Science, and Related 

Agencies, Committee on Appropriations, 

House of Representatives

July 2016

GUN CONTROL

Analyzing Available Data Could Help Improve 

Background Checks Involving Domestic Violence 

Records

Why GAO Did This Study

The FBI and designated state and local 

criminal justice agencies use the FBI's 

NICS to conduct background checks 

on individuals seeking to obtain 

firearms. Persons prohibited by federal 

law from possessing firearms include 

individuals who have domestic 

violence records that meet federal 

disqualifying criteria. Under federal 

law, firearm dealers may transfer a 

firearm to an individual if the FBI has 

not made a proceed or denial 

determination within 3 business days.

GAO was asked to review NICS 

checks involving domestic violence 

records. This report (1) describes the 

extent to which states identify domestic 

violence records that prohibit an 

individual from obtaining a firearm and 

(2) evaluates the extent to which NICS 

checks involving domestic violence 

records are completed before firearm 

transfers take place and any related

challenges in completing these checks.

GAO reviewed laws and regulations;

analyzed FBI data from 2006 through 

2015 on domestic violence records that 

states submitted to the FBI, FBI total 

checks and denial determinations, and 

DOJ firearm retrieval actions; and

interviewed officials from DOJ and 

eight states (chosen based on number 

of domestic violence records submitted

to NICS and other factors). State 

interview results are not generalizable 

but provide insights on state practices.

What GAO Recommends

GAO recommends that FBI monitor the 

timeliness of NICS checks to assist

DOJ entities in establishing priorities

for improving the timeliness of checks.

FBI agreed with the recommendation.

What GAO Found

Most of the 50 states submit domestic violence records—misdemeanor crime of 

domestic violence (MCDV) convictions and domestic violence protection 

orders—to the Department of Justice’s (DOJ) Federal Bureau of Investigation 

(FBI) for use during National Instant Criminal Background Check System (NICS) 

checks, but states vary in their efforts to identify (“flag”) such records that prohibit 

an individual from obtaining a firearm under federal law. For example, in 2015, 22 

states voluntarily participated in a program to identify criminal history records that 

prohibit individuals from obtaining firearms, which can include domestic violence 

records. FBI data also show that 47 states identified domestic violence protection 

orders that prohibit firearm purchases. Since not all domestic violence records 

that states submit to the FBI meet federal prohibiting criteria, flagging prohibiting 

records can help expedite NICS checks. The total number of prohibiting domestic 

violence records that states submit to the FBI is generally unknown because 

states are not required to flag prohibiting records and there is no automated

process to disaggregate such records from other records checked by NICS.

For fiscal years 2006 to 2015, FBI data show that most NICS checks involving 

domestic violence records that resulted in denials were completed before firearm 

transfers took place (see table). However, about 6,700 firearms were transferred 

to individuals with prohibiting domestic violence records, which resulted in the 

FBI referring these cases to DOJ’s Bureau of Alcohol, Tobacco, Firearms and 

Explosives for firearm retrieval. Under federal law, firearm dealers may (but are 

not required to) transfer a firearm to an individual if the dealer has not received a 

response (proceed or denial) from the FBI after 3 business days. 

Table: Background Check Denials and Firearm Transfers for Misdemeanor Crimes of

Domestic Violence (MCDV) Convictions and Protection Orders, Fiscal Years 2006 to 2015

Category Total denials Within 3 days After 3 days Firearm transfers

MCDV convictions 59,000 41,000 18,000 6,221

Protection orders 30,000 28,000 2,000 559

Source: GAO analysis of Federal Bureau of Investigation data. I GAO-16-483

FBI data also show that during fiscal year 2015, the FBI completed 90 percent of 

denials that involved MCDV convictions within 7 business days, which was 

longer than for any other prohibiting category (e.g., felony convictions). The FBI 

completed 90 percent of denials that involved domestic violence protection 

orders in fewer than 3 business days. According to federal and selected state 

officials GAO contacted, the information needed to determine whether domestic 

violence records—and in particular MCDV convictions—meet the criteria to 

prohibit a firearm transfer is not always readily available in NICS databases and 

can require additional outreach to state agencies to obtain information. DOJ has 

taken steps to help states make prohibiting information more readily available to 

NICS—such as through training and grant programs—but does not monitor the 

timeliness of checks that result in denials by prohibiting category. Ongoing 

monitoring could help the FBI determine if specific prohibiting categories present 

greater challenges in making determinations than other categories and, in turn,

the FBI could provide the results to other DOJ entities to help them establish 

priorities, such as for grants, state outreach, or training.

View GAO-16-483. For more information, 

contact Gretta L. Goodwin at (202) 512-8777 

or goodwing@gao.gov.
Page i GAO-16-483 Gun Control

Letter 1

Background 5

States Vary in Their Use of Indicators That Identify Domestic 

Violence Records That Prohibit a Firearm Transfer 11

Most NICS Checks Involving Domestic Violence Records Are 

Completed before Firearm Transfers Take Place, but About 

6,700 Firearms Were Transferred to Prohibited Individuals 

Since 2006; DOJ Could Analyze Denial Data to Help Establish 

Priorities 24

Conclusions 37

Recommendation for Executive Action 37

Agency Comments and Our Evaluation 38

Appendix I Scope and Methodology 39

Appendix II State Options for Conducting Background Checks Using the 

National Instant Criminal Background Check System (NICS) 43

Appendix III Protection Orders in the National Crime Information Center 

Protection Order File for States, District of Columbia, and 

Territories, 2006 through 2015 45

Appendix IV Comments from the Department of Justice 49

Appendix V GAO Contact and Staff Acknowledgments 51

Table

Table 1: Protection Orders in the National Crime Information 

Center Protection Order File for States, District of 

Columbia, and Territories, 2006 through 2015 45

Contents
Page ii GAO-16-483 Gun Control

Figures

Figure 1: National Instant Criminal Background Check System 

(NICS) Process for Purchasing a Firearm from a Dealer 8

Figure 2: Total Number of Protection Orders with a Disqualifying 

Brady Indicator in the National Crime Information Center 

Protection Order File, 2006 through 2015 16

Figure 3: Number of Misdemeanor Crime of Domestic Violence 

(MCDV) Records in the National Instant Criminal 

Background Check System (NICS) Index, Fiscal Years 

2008 through 2015 21

Figure 4: Number of Protection Orders in the National Instant 

Criminal Background Check System (NICS) Index, Fiscal 

Years 2008 through 2015 23

Figure 5: Percentage of National Instant Criminal Background 

Check System (NICS) Checks Denied by Prohibiting 

Category, Fiscal Years 2006 through 2015 25

Figure 6: Business Days Needed for the Federal Bureau of 

Investigation to Determine 90 Percent of National Instant 

Criminal Background Check Denials, Fiscal Years 2006 

through 2015 27

Figure 7: Business Days Needed to Determine 90 Percent of 

Misdemeanor Crimes of Domestic Violence Denials, 

Fiscal Years 2006 through 2015 28

Figure 8: Federal Bureau of Investigation (FBI) Domestic Violence 

Delayed Denial Referrals to the Bureau of Alcohol, 

Tobacco, Firearms and Explosives (ATF) for Firearm 

Retrieval, Fiscal Years 2006 through 2015 31

Figure 9: Point of Contact States as of May 2016 44
Page iii GAO-16-483 Gun Control

Abbreviations

ATF Bureau of Alcohol, Tobacco, Firearms and Explosives

BJS Bureau of Justice Statistics

CJIS Criminal Justice Information Services

DOJ Department of Justice

FBI Federal Bureau of Investigation

FFL Federal Firearms Licensee

IFFS Identification for Firearm Sales

III Interstate Identification Index

MCDV misdemeanor crime of domestic violence

NARIP NICS Act Record Improvement Program

NCHIP National Criminal History Improvement Program

NCIC National Crime Information Center

NCSC National Center for State Courts

NIAA NICS Improvement Amendments Act of 2007

NICS National Instant Criminal Background Check System

OVW Office on Violence Against Women

POC point of contact

SEARCH National Consortium for Justice Information and Statistics

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Page 1 GAO-16-483 Gun Control

441 G St. N.W.

Washington, DC 20548

July 5, 2016

The Honorable Michael M. Honda

Acting Ranking Member

Subcommittee on Commerce, Justice, Science, 

 and Related Agencies

Committee on Appropriations

House of Representatives

Dear Mr. Honda:

Persons prohibited by federal law from possessing firearms include 

individuals who have been convicted of a misdemeanor crime of domestic 

violence (MCDV) and individuals who are subject to a qualifying domestic 

violence restraining or protection order—(hereafter referred to as 

domestic violence records)—among others, such as convicted felons and 

fugitives.1 Under the Brady Handgun Violence Prevention Act and 

implementing regulations,2 the Federal Bureau of Investigation (FBI), 

within the U.S. Department of Justice (DOJ), and designated state and 

local criminal justice agencies use the FBI’s National Instant Criminal 

Background Check System (NICS) to conduct background checks on 

individuals seeking to purchase firearms from federally licensed firearm 

dealers or obtain permits to possess, acquire, or carry firearms.

During the NICS check, descriptive data provided by an individual—such 

as name and date of birth—are used to search databases containing 

criminal history and other relevant records to determine whether or not 

the person is disqualified by law from possessing firearms.3 If the FBI or 

state agency cannot complete a background check within 3 business 

days and make a final determination (i.e., proceed or denied) the gun 

 1

18 U.S.C. § 922(g) and (n). Qualifying domestic violence restraining or protection orders 

meet all federal criteria for prohibiting a person from possessing a firearm.

2

Pub. L. No. 103-159, 107 Stat. 1536 (1993). 

3

Criminal history records include, among other things, the name of the agency that 

submitted the criminal record, the arrest charge, and the disposition of the arrest, if known. 

A disposition is the result or conclusion of criminal proceedings, such as charge 

dismissed, acquittal, or conviction. See 28 C.F.R. § 20.3(i).

Letter
Page 2 GAO-16-483 Gun Control

dealer may transfer the firearm pursuant to federal law (unless state law 

provides otherwise).4 However, the FBI can continue to research the 

transaction for potentially prohibiting information—for up to 90 days—at 

which time information related to the transaction is to be destroyed to 

comply with federal record retention requirements.5 When the FBI makes 

a denial determination after 3 business days—called a delayed denial—

the FBI determines if the firearm dealer transferred the firearm to the 

individual and, if so, refers these cases to DOJ’s Bureau of Alcohol, 

Tobacco, Firearms and Explosives (ATF) for possible retrieval of the 

firearm.

Most criminal history records and protection orders originate from states, 

which are not required to share records with the FBI but do so voluntarily 

for public safety and other law enforcement purposes. In previous reports, 

we noted that states had made progress in automating criminal history 

records and making them nationally available for NICS checks and other 

law enforcement purposes, but that additional actions could be taken to 

enhance the number and completeness of records.6 Additionally, DOJ 

has established grant programs intended to help states improve the 

availability and completeness of records to NICS. In this context, you 

requested that we review states’ efforts to identify prohibiting domestic 

 4

18 U.S.C. § 922(t)(1)(B)(ii). States can establish their own firearm laws, such as 

additional prohibiting categories or additional time frames for completing checks before a 

dealer may transfer the firearm.

5

28 C.F.R. § 25.9. According to NICS Section officials, to comply with federal record 

retention requirements, the NICS Section destroys these records after 88 days. States 

that conduct their own checks, known as point of contact (POC) states, may have differing 

record retention requirements. The mission of the FBI’s NICS Section is to enhance 

national security and public safety by providing the timely and accurate determination of a 

person’s eligibility to possess firearms in accordance with federal law.

6

See, for example, GAO, Gun Control: Sharing Promising Practices and Assessing 

Incentives Could Better Position Justice to Assist States in Providing Records for 

Background Checks, GAO-12-684 (Washington, D.C.: July 16, 2012). We recommended, 

among other things, that DOJ share promising practices in making mental health records 

available for use during NICS checks. DOJ agreed with our recommendations and has 

addressed them. See also, GAO, Criminal History Records: Additional Actions Could 

Enhance the Completeness of Records Used for Employment-Related Background 

Checks, GAO-15-162 (Washington, D.C.: Feb. 12, 2015). We recommended, among other 

things, that the FBI establish plans with time frames for completing certain goals. DOJ 

concurred with our recommendations and plans to take actions to address them.
Page 3 GAO-16-483 Gun Control

violence records and challenges the FBI and states could face in 

conducting NICS checks involving those records. This report

• describes the extent to which states identify domestic violence 

records for use during NICS checks that prohibit an individual from 

obtaining a firearm, and

• evaluates the extent to which NICS checks involving domestic 

violence records are completed before firearm transfers take place, 

and what challenges, if any, the FBI and selected states face in 

completing such checks that DOJ could help mitigate.

To describe the extent to which states identify prohibiting domestic 

violence records for use during NICS checks, we analyzed FBI data on 

the number of domestic violence records that states identified and made 

available to NICS from 2006 through 2015—the most recent 10 years of 

available data.7 To assess the reliability of these data, we questioned 

knowledgeable officials about their information collection procedures and 

systems, reviewed relevant documentation, and examined data for 

obvious errors. We determined that the data we reported were sufficiently 

reliable for the purposes of our report. In addition, we interviewed officials 

from eight states (Connecticut, Nebraska, Nevada, New Mexico, New 

York, Pennsylvania, Texas, and Washington) to gain an understanding of 

their processes for submitting domestic violence records to the FBI and 

the extent to which they have encountered challenges, if any, in 

submitting records. We selected this non-generalizable sample of states 

to reflect a range of factors, including the number of domestic violence 

records they made available to the FBI and whether they have received 

grant funding to improve their record submissions. We interviewed 

officials from various DOJ components with responsibility for maintaining 

NICS records or supporting related activities, including the FBI’s Criminal 

Justice Information Services (CJIS) Division and NICS Section, the 

Bureau of Justice Statistics (BJS), and the ATF to obtain additional 

perspectives on the records states provide for use during NICS checks. 

Additionally, we interviewed entities that support DOJ efforts to address 

issues related to firearm background checks, including SEARCH—the 

 7

Unless otherwise noted, “states” refers to all 50 states and the District of Columbia.
Page 4 GAO-16-483 Gun Control

National Consortium for Justice Information and Statistics—and the 

National Center for State Courts (NCSC).8

To determine the extent to which NICS checks involving domestic 

violence records are completed before firearm transfers take place, we 

analyzed DOJ documentation and data to identify trends in the total 

number of NICS checks, denials, delayed denials, firearm retrievals, and 

days to determine the outcome of a check. Specifically, we obtained FBI 

data on each NICS check denial—798,401 records from fiscal years 2006 

through 2015—and analyzed these data to identify trends in NICS check 

denials. We did not analyze data on NICS checks that are allowed to 

proceed because the FBI is required to purge all identifying information 

related to the NICS transaction within 24 hours of the transaction being 

completed.9 We also obtained data over the same time period from ATF 

and the FBI on retrieval referrals and appeals by individuals denied a 

firearm and analyzed these data to identify trends in NICS checks 

appeals, by prohibited category. To assess the reliability of these data, 

we questioned knowledgeable officials about their information collection 

procedures and systems, reviewed relevant documentation, and 

examined data for obvious errors. We determined that the data were 

sufficiently reliable for the purposes of our report. To determine whether 

challenges exist that may increase the time it takes to complete a NICS 

check, we analyzed testimonial evidence from DOJ and the eight selected 

states regarding characteristics of domestic violence records that can 

present challenges and lead to checks exceeding the federally-allowed 3 

business days before a firearm can be transferred. We also obtained 

documentation and testimony from DOJ and selected states regarding 

federal and state efforts to increase the number of checks completed 

before firearms are transferred, including grant awards and training to 

states. Finally, we compared DOJ’s actions to monitor the outcomes of 

the checks and use the results to establish and manage program 

 8

SEARCH—the National Consortium for Justice Information and Statistics—is a non-profit 

organization governed by governor appointees from the 50 states and is a resource for 

information, best practices, services, and solutions for criminal justice information sharing. 

The National Center for State Courts is an independent, nonprofit court improvement 

organization that conducts research, information services, education, and consulting.

9

See 28 C.F.R. § 25.9(b)(1)(iii).
Page 5 GAO-16-483 Gun Control

priorities against criteria outlined in federal internal control standards.10

Appendix I contains a more detailed discussion of our scope and 

methodology.

We conducted this performance audit from June 2015 to July 2016 in 

accordance with generally accepted government auditing standards. 

Those standards require that we plan and perform the audit to obtain 

sufficient, appropriate evidence to provide a reasonable basis for our 

findings and conclusions based on our audit objectives. We believe that 

the evidence obtained provides a reasonable basis for our findings and 

conclusions based on our audit objectives.

NICS is used by federally licensed firearm dealers to initiate a 

background check on individuals seeking to possess or receive a firearm. 

The permanent provisions of the Brady Handgun Violence Prevention Act 

(Brady Act) took effect on November 30, 1998. Under the Brady Act, 

before a firearm dealer can transfer a firearm to an unlicensed individual, 

the dealer must initiate a background check through NICS to determine 

whether the prospective firearm transfer would violate federal or state 

law.11 Under federal law, generally there are 10 categories of individuals 

who are prohibited from receiving or possessing a firearm, including 

individuals convicted of a MCDV and those subject to a qualifying 

 10GAO, Internal Control: Standards for Internal Control in the Federal Government, 

GAO/AIMD-00-21.3.1 (Washington, D.C.: November 1999). Internal control is an integral 

component of an organization’s management that provides reasonable assurance that the 

following objectives, among others, are being achieved: effectiveness and efficiency of 

operations and compliance with applicable laws and regulations, which include assessing 

the risks an agency faces from both internal and external sources.

1118 U.S.C. § 922(t)(1). In general, a Federal Firearms Licensee (FFL) has a license that 

enables the FFL to engage in commerce in firearms, including dealing in firearms, 

manufacturing ammunition and firearms, and importing firearms.

Background

Overview of NICS Process
Page 6 GAO-16-483 Gun Control

domestic violence protection order.12 States can also establish their own 

prohibitions in addition to the federal prohibitions. During a NICS check, 

descriptive data provided by an individual, such as name and date of 

birth, are used to search three national databases—managed by the 

FBI—containing criminal history and other relevant records to determine 

whether or not the person is disqualified by law from receiving or 

possessing firearms.13 The majority of the records found in these three 

databases come from states and territories, though federal and 

international criminal justice agencies also contribute some records.

• Interstate Identification Index (III): The III is a system for the interstate 

exchange of criminal history records. III records include information on 

persons who are indicted for, or have been convicted of, a crime 

punishable by imprisonment for a term exceeding 1 year or have been 

convicted of a misdemeanor crime of domestic violence.

• National Crime Information Center (NCIC): NCIC is an automated 

database of criminal justice-related records consisting of 21 files (7 

property files and 14 person files), accessible to law enforcement and 

criminal justice agencies. The files pertain to, among other things, 

information on wanted persons (fugitives), persons subject to 

protection orders, and stolen property.

• NICS Index: The NICS Index is a database that was created for use in 

connection with NICS background checks and contains information on 

persons determined to be prohibited from possessing or receiving a 

firearm.

 12In general, under federal law, persons are prohibited from possessing or receiving a 

firearm if they (1) have been convicted in any court of a crime punishable by imprisonment 

for a term exceeding 1 year; (2) are a fugitive from justice; (3) are an unlawful user of or 

addicted to any controlled substance; (4) have been adjudicated as a “mental defective” or 

committed to a mental institution; (5) are aliens illegally or unlawfully in the United States, 

or certain other aliens admitted under a nonimmigrant visa; (6) have been dishonorably 

discharged from the military; (7) have renounced their U.S. citizenship; (8) are under a 

qualifying domestic violence restraining order; (9) have been convicted of a misdemeanor 

crime of domestic violence. In addition, federal law prohibits (10) persons under felony 

indictment from receiving a firearm. See 18 U.S.C. § 922(g) and (n).

13In addition to searching the three national databases, states can also search state and 

local databases to which they may have access.
Page 7 GAO-16-483 Gun Control

In general, states make MCDV records available to the III and protection 

orders to the NCIC Protection Order file.14 To facilitate determining if a 

MCDV record or protection order would prohibit an individual from 

receiving or possessing a firearm, state and local criminal justice 

agencies can identify (“flag”) prohibiting records from among all the other 

records that they provide to the III and NCIC. The flagged criminal history 

records and protection orders, as well as records submitted to the NICS 

Index, have been pre-validated by the submitting agency as prohibiting an 

individual from receiving or possessing a firearm, thereby expediting the 

NICS check process. For criminal records in the III, agencies can use the 

Identification for Firearms Sales (IFFS) flag to indicate a prohibiting 

record for both persons who have been convicted in any court of a crime 

punishable by imprisonment for a term exceeding 1 year or a 

misdemeanor crime of domestic violence. For records in the NCIC, 

agencies can flag a prohibiting protection order with the “Brady Indicator,”

which flags orders related to domestic violence that prohibit the individual 

from receiving or possessing firearms under federal law.

According to the FBI, approximately 23.1 million background checks were 

run through NICS during 2015, of which the FBI’s NICS Section 

processed about 9 million transactions and designated state and local 

criminal justice agencies processed about 14.1 million. The FBI has a 

goal of completing 90 percent of all NICS checks immediately, and 

completes the vast majority of checks before firearms are transferred.15

FBI officials noted that the NICS Section has achieved this goal every 

year since 2003, and had a 90.4 percent immediate determination rate in 

2015. States may choose among three options for performing NICS 

checks: (1) the state can conduct all of its own background checks, 

referred to as point of contact (POC) states; (2) the state and FBI’s NICS 

Section can share responsibility for background checks, referred to as 

partial-POC states; or (3) the NICS Section can conduct all background 

 14The NCIC Protection Order file contains records on individuals against whom protection 

orders have been issued.

15The Attorney General directed the FBI to complete 90 percent of all NICS 

determinations immediately—i.e. while the firearm dealer remains on the phone with the 

NICS examiner.
Page 8 GAO-16-483 Gun Control

checks for a state.16 Figure 1 shows the general NICS check process for 

gun purchases through a firearm dealer.

Figure 1: National Instant Criminal Background Check System (NICS) Process for Purchasing a Firearm from a Dealer

a

Immediate proceeds and immediate denials are when the outcome of the NICS check is determined 

while the firearm dealer is on the phone with a NICS representative or through an internet-based 

check called “E-check.”

b

Individuals who believe they were wrongfully denied the ability to purchase a firearm can appeal the 

denial decision.

The Gun Control Act of 1968,17 as amended, and ATF regulations 

establish the types of MCDV convictions and domestic violence protection 

orders that prohibit a person from possessing a firearm under federal law. 

Specifically, federal law prohibits individuals who are subject to qualifying 

MCDV convictions or active domestic violence protection orders from 

possessing or receiving a firearm. As defined by ATF regulations, a 

 16See appendix II for further discussion of state options for conducting background checks 

using NICS.

17Pub. L. No. 90-618, 82 Stat. 1213 (1968).
Page 9 GAO-16-483 Gun Control

qualifying MCDV is generally an offense that is a misdemeanor offense 

under federal, state, or local law,

• includes the use or attempted use of physical force or the threatened 

use of a deadly weapon, and

• involves an intimate partner relationship between the defendant and 

the victim, among other things.18

As defined in ATF regulations, a qualifying protection order generally 

must include

• issuance after a hearing where the defendant was given actual notice 

and the opportunity to participate;

• the restraint of future conduct by the defendant, such as harassing or 

stalking of an intimate partner or child of the intimate partner or 

defendant;19 and

• a finding that the defendant represents a credible threat to the 

physical safety of an intimate partner or child, or by its terms explicitly 

prohibits the use, attempted use, or threatened use of physical force 

against the intimate partner or child that would reasonably be 

expected to cause bodily injury, among other things.20

ATF is responsible for, among other things, retrieval of firearms that have 

been transferred to prohibited individuals. Specifically, when the FBI 

determines, after 3 business days, that an individual to whom a firearm 

was transferred is prohibited from receiving or possessing a firearm, the 

FBI refers this delayed denial case to ATF.21 ATF reviews delayed denial 

cases it receives from the FBI to confirm the prohibition, and then refers 

 1827 C.F.R. § 478.11. 

19Under 27 C.F.R. § 478.11, an ‘intimate partner” is defined with respect to a person as 

“the spouse of the person, a former spouse of the person, an individual who is a parent of 

a child of the person, and an individual who cohabitates or has cohabitated with the 

person.”

2027 C.F.R. § 478.32(a)(8).

21States can establish their own firearm laws, which can include providing for additional 

time to complete checks before a dealer may transfer the firearm.

ATF Firearm Retrieval 

Process
Page 10 GAO-16-483 Gun Control

the case to an ATF field office for potential retrieval actions.22 ATF field 

offices conduct additional research by coordinating with local law 

enforcement agencies. If ATF determines that a person should not have 

been denied, ATF notifies the FBI that the firearm transaction was not 

prohibited and that the transfer was permissible. If ATF confirms that the 

person who received the firearm was prohibited, an ATF official contacts 

the firearm purchaser to coordinate transferring the firearm to a licensed 

dealer or a third party who is not a prohibited person, or seizes the 

firearm.

The goal of the National Criminal History Improvement Program (NCHIP) 

is, among other things, to improve the nation’s safety and security by 

enhancing the quality, completeness, and accessibility of criminal history 

record information by providing direct financial and technical assistance to 

states and tribes to improve their criminal record systems and other 

related systems. For example, according to the 2016 grant solicitation, 

the funds can be used to, among other things, assist states and tribes in 

finding ways to make more records available to NICS through the III, 

NCIC, and NICS Index and to address gaps in the federal and state 

records currently available in NICS. All states and five territories have 

received NCHIP grant funds at least once since the inception of the 

NCHIP grants in 1995.23 The NICS Act Record Improvement Program 

(NARIP) implements the grant provisions of the NICS Improvement 

Amendments Act of 2007 (NIAA) to improve records available to NICS 

and help eligible states and tribes improve completeness, automation, 

and transmittal of records to state and federal systems.24 The 

Consolidated Appropriations Act, 2016, appropriated $73 million for 

grants to states to upgrade criminal and mental health records for NICS, 

of which no less than $25 million shall be for grants made under the 

 22For states that conduct their own NICS checks, firearm retrievals may be handled by 

local law enforcement, a statewide firearms unit, or the nearest ATF field office. There are 

25 ATF field divisions.

23The five territories are American Samoa, Guam, Northern Mariana Islands, Puerto Rico, 

and Virgin Islands.

24In the aftermath of the Virginia Tech shooting on April 16, 2007, the NICS Improvement 

Amendments Act of 2007 (NIAA) was enacted into law to, among other things, help states 

make more records available for use during NICS background checks. Pub. L. No. 110-

180, § 103, 121 Stat. 2559, 2567-2568.

Grant Programs for 

Record Submissions Used 

in NICS Checks
Page 11 GAO-16-483 Gun Control

authorities of the NICS Improvement Amendments Act of 2007.25 These 

grants were to, among other things, assist states and tribes in supplying 

accurate and timely court orders and records of misdemeanor crimes of 

domestic violence for inclusion in federal and state law enforcement 

databases used to conduct NICS background checks. Since 2011, DOJ 

has placed a funding priority on NARIP grant projects that increase the 

number of mental health records accessible to NICS. According to the 

grant solicitations, states must use a portion of awarded funds to make 

such records accessible to NICS unless the state can provide information 

showing that another prohibiting category represents a greater 

information gap.

Twenty-two states voluntarily participate in the Identification for Firearms 

Sales (IFFS) program and flag criminal records in the III that prohibit an 

individual from receiving or possessing a firearm.26 States can use the 

 25Consolidated Appropriations Act, 2016, Pub. L. No. 114-113, 129 Stat. 2242, 2307 

(2015).

26All states and territories contribute criminal records to the III.

States Vary in Their 

Use of Indicators That 

Identify Domestic 

Violence Records 

That Prohibit a 

Firearm Transfer

22 States Use Indicators 

to Identify Criminal History 

Records That Prohibit 

Firearm Transfers, Which 

Include Domestic Violence 

Records

MCDV records in the Interstate 

Identification Index
Page 12 GAO-16-483 Gun Control

IFFS flag to identify disqualifying convictions in any court of a crime 

punishable by imprisonment for a term exceeding 1 year.27 States can 

also use the IFFS flag to identify disqualifying MCDV records, but the total

number of MCDV records that states make available to the III for use 

during NICS checks is generally unknown. FBI officials noted that it is not 

possible to identify all of the domestic violence records in the III because 

there is no automatic process that can disaggregate these records from 

the 88 million other criminal records. As of October 2015, states used the 

IFFS flag to indicate that approximately 5 million (6 percent) of 88 million 

total III records were firearm disqualifying for the range of criteria, 

including domestic violence records.

According to NICS Section and BJS officials, states predominantly make 

MCDV records available for NICS checks through the III versus the NICS 

Index. NICS officials said that they encourage states to enter criminal

records into III because the records are then available for all criminal 

justice purposes, not just NICS checks. BJS was responsible, under the 

NIAA, for collecting initial state estimates of the number of MCDV 

records, among the other prohibiting categories, that exist at the local or 

originating agencies and the number of records that are or could be made 

available to NICS.28 However, in 2012, BJS decided to stop collecting 

state record estimates because feedback from focus groups comprised of 

FBI and state officials and analysis of the collected record estimates 

demonstrated that certain estimates were not sufficiently reliable for their 

intended use due to factors such as states using widely different methods 

to estimate the number of records.29

According to FBI guidance, NICS examiners and POC states can deny a 

firearm transfer based on a disqualifying IFFS flag after verifying that the 

person seeking to obtain the firearm matches with the record and 

reviewing the criminal record information that is returned from the NICS 

check without verifying that the other elements of the firearm prohibition 

 27See 18 U.S.C. §§ 922(g)(1) and 921(a)(20).

28Pub. L. No. 110-180, § 201, 121 Stat. 2559, 2570-2571.

29Id. §§ 102, 104. The NIAA specifies that state record estimates should serve as the 

basis for the reward and penalty provisions of the act. However, according to a BJS 

official, BJS has not administered these provisions because of the limited reliability of the 

state record estimates. 
Page 13 GAO-16-483 Gun Control

for MCDVs were met. Officials from three of five POC states we spoke 

with said they will deny a firearm transfer if the IFFS flag indicates there is 

a firearm-disqualifying record.30 Officials from the other two POC states 

said they will conduct additional research prior to denying the firearm 

transfer, such as obtaining and reviewing a police report or court record, 

to verify that all of the prohibiting criteria are met.

Based on our discussions with officials from eight states, DOJ, SEARCH, 

and NCSC, we identified two general challenges (versus challenges 

related to flags) that state officials most frequently cited as negatively 

affecting their ability to make criminal records—both felony and 

misdemeanor records—available to the III: (1) lack of fingerprinted arrest 

records, such as when law enforcement cites and then releases an 

individual and (2) incomplete criminal records where the arrest record 

does not have a final disposition.31 These are consistent with challenges 

we have previously reported.32

Fingerprints not collected and cite-and-release practices: As we 

previously reported, incomplete or missing criminal history records can 

result from law enforcement officials citing and releasing individuals 

without formally arresting and fingerprinting them.33 Criminal records 

without fingerprints are not available in the III, and hence, these records 

would not be available for a NICS check. Officials from four of the eight 

states we contacted said their state has laws that allow law enforcement 

officials to issue a citation to individuals for misdemeanor crimes, 

including crimes that are domestic-violence related, instead of a formal, 

fingerprinted arrest. Officials from the remaining four states said their 

state has laws that require a fingerprinted arrest for misdemeanor crimes 

that could be related to domestic violence. Officials from two states said 

 30Officials from one of the POC states said they attempt to obtain additional information to 

verify there is a firearm-disqualifying record, but will deny the firearm transfer based on the 

IFFS flag if the information is not received.

31In general, disposition refers to the result or conclusion of criminal proceedings, such as 

charge dismissed, acquittal, adjudication withheld, probation, or conviction.

32GAO, Criminal History Records: Additional Actions Could Enhance the Completeness of 

Records Used for Employment Related Background Checks, GAO-15-162 (Washington, 

D.C.: Feb. 12, 2015).

33GAO-15-162.

State Challenges in Submitting 

Criminal Records and DOJ 

Assistance
Page 14 GAO-16-483 Gun Control

they are using federal grant funds, such as NCHIP or NARIP, to enter 

non-fingerprinted MCDV records into the NICS Index. For example, 

Nebraska officials are using NARIP funds to develop a court process that 

will automatically identify MCDV records that qualify for the federal 

firearm prohibition and enter these records into the NICS Index. DOJ also 

provides grant funds to states to purchase mobile live scan devices that 

digitally record and electronically transmit fingerprint images or to place 

live scan devices in courtrooms to help ensure that all arrests have a 

fingerprinted arrest record in the III. From fiscal years 2009 through 2015, 

DOJ provided approximately $6 million of the $95 million in NARIP grants 

to 13 states specifically for MCDV and protection order projects.

Criminal history records not complete: States may face challenges in 

providing complete criminal records (records that have the arrest charge 

and the disposition of the arrest, such as conviction or acquittal), which 

can make it challenging to determine if an individual should be prohibited 

under federal law from receiving or possessing a firearm. Officials from 

seven of the eight states we contacted said providing complete criminal 

records to the III, which include felony and misdemeanor records, was a 

challenge. As we previously reported, DOJ has engaged in various efforts 

to address state challenges in providing complete criminal history 

records.34 For example, states have used NCHIP grant funds to improve 

the completeness of domestic violence records available to NICS by 

updating records that only contain arrests to include disposition 

information and upgrading and automating criminal history record 

systems to capture data on dispositions from courts and prosecutors. 

According to senior BJS officials, from fiscal years 2006 through 2015, 

DOJ provided approximately $11 million of the $137 million in NCHIP 

grants to states and territories specifically for protection order and MCDV 

projects. DOJ also helps states by sharing best practices through 

informational websites and reports and on-site technical assistance. For 

example, under a DOJ grant through the Office of Justice Programs, 

Bureau of Justice Assistance, the NCSC created a web-based toolkit that 

identifies, among other things, best practices on how to overcome 

disposition reporting and coordination challenges among state and local 

 34GAO-15-162; GAO, Gun Control: Sharing Promising Practices and Assessing Incentives 

Could Better Position Justice to Assist States in Providing Records for Background 

Checks, GAO-12-684 (Washington, D.C.: July 16, 2012).
Page 15 GAO-16-483 Gun Control

criminal justice agencies. According to DOJ officials, the toolkit was 

completed in April 2016.

According to FBI data, all states; Washington, D.C.; and two territories 

enter protection orders to the NCIC protection order file, and 47 states;

Washington, D.C.; and two territories also submit orders with the “Brady 

Indicator,” which flags orders related to domestic violence that prohibit the 

individual from receiving or possessing firearms under federal law.35 In 

2015, approximately 334,000 (37 percent) of the 907,000 protection 

orders in NCIC had the Brady Indicator (see fig. 2). State participation in 

the NCIC protection order file is voluntary, and the extent to which states 

enter protection orders into the NCIC varies (see appendix III for state 

and territory protection order data). FBI officials said that they encourage 

states to enter protection orders into the NCIC protection order file rather 

than the NICS Index because these protection orders are then available 

for all criminal justice purposes, not just NICS background checks.

 35Courts can issue full and temporary protection orders. Temporary protection orders can 

not include the Brady Indicator because courts generally do not hold hearings prior to 

issuing temporary protection orders. However, the court judge can prohibit the subject of a 

temporary protection order from possessing or receiving a firearm as a condition of the 

temporary protection order. Unless otherwise noted, “protection orders” refers to full 

protection orders. 

47 States Use Indicators 

to Identify Domestic 

Violence-Related 

Protection Orders That 

Prohibit Firearms 

Transfers, and About 

334,000 Protection Orders 

Were Flagged in 2015

Protection Orders in NCIC
Page 16 GAO-16-483 Gun Control

Figure 2: Total Number of Protection Ordersa with a Disqualifying Brady Indicator in 

the National Crime Information Center Protection Order File, 2006 through 2015b

a

Data include only protection orders that were active at some point during the calendar year, including 

protection orders that expired or were subsequently cancelled.

b

A disqualifying Brady Indicator indicates that the protection order prohibits an individual from 

receiving or possessing a firearm under federal law.

According to FBI officials, the total number of domestic violence-related 

protection orders in NCIC is unknown because the only way to identify 

these protection orders is through the use of the Brady Indicator. States 

are not required to use the Brady Indicator when entering protection 

orders into NCIC and vary in the degree to which they voluntarily flag 

disqualifying protection orders. Some states have developed practices for 

using the Brady Indicator on protection orders. For example, Washington 

state officials said that the state courts and law enforcement agencies 

consistently use the Brady Indicator to identify firearm prohibiting 

protection orders. State officials developed a standardized protection 

order form that captures all the information needed to determine if the 

order qualifies for the federal firearm prohibition. Additionally, state 

officials offered training to court staff on how to use the form to determine 

the Brady Indicator setting for the protection order. Officials from one of 

the states we spoke with said that they do not encourage law 
Page 17 GAO-16-483 Gun Control

enforcement officials to use the Brady Indicator on protection orders 

because of the complexity of the flag setting. The officials added that high 

staff turnover in the local law enforcement agencies responsible for 

entering the protection order information could also result in staff 

incorrectly flagging protection orders with the Brady Indicator.

According to FBI guidance, NICS examiners and POC states can deny a 

firearm transfer based on a disqualifying Brady Indicator after verifying 

that the protection order is active without verifying that the other elements 

of the firearm prohibition for protection orders were met.36 Officials from 

three of five POC states we spoke with said they follow this guidance and 

rely on the Brady Indicator to deny firearm transfers after verifying the 

protection order is active without further research on whether the 

protection order disqualifies firearm transfers.37 Officials from two other 

states said they prefer to conduct additional research to ensure the 

protection order meets the criteria to prohibit a firearm transfer prior to

denying a firearm transaction, such as reviewing a copy of the petition for 

the protection order.38

Officials from five of the eight states we spoke with said that they 

generally do not face challenges entering protection orders into the NCIC 

protection order file. Officials from the other three states said they face 

challenges entering protection orders to NCIC due to the NCIC entry 

requirements or the lack of resources and staff. For example, to enter a 

protection order into NCIC, the protection order must contain certain 

information, such as name, sex, and race, and it must include at least one 

numeric identifier, such as date of birth or social security number. Officials 

from one state said that it is not always possible to collect all the required 

 36State courts can also use another indicator (“PCO Code 07”) to identify protection orders 

that prohibit an individual from receiving or possessing a firearm. Both protection orders 

and temporary protection orders can have the PCO Code 07 condition, and these 

protection orders may be related to domestic violence.

37One of the POC states attempts to obtain additional information to verify there is a 

firearm disqualifying protection order but will deny the firearm transfer based on the Brady 

Indicator if the information is not received.

38We spoke with officials from two law enforcement agencies in one of the states. Officials 

from one of the agencies were unaware of the Brady Indicator, while officials from the 

other agency said they prefer to conduct additional research prior to denying a firearm 

transaction based on a disqualifying Brady Indicator. 

State Challenges in Submitting 

Protection Orders and DOJ 

Assistance
Page 18 GAO-16-483 Gun Control

information, and, as a result, each year the state will average 

approximately 1,200 to 1,400 protection orders that they cannot enter into 

NCIC. Officials from another state said that they lacked sufficient staff and 

resources to enter all protection orders that do not involve a familial 

relationship into NCIC. Officials from the third state said that the state and 

local criminal justice agencies did not have the staff and resources to 

respond to “hit” inquiries 24 hours a day on protection orders.39 As a 

result, only one district court in the state enters protection orders into 

NCIC.

DOJ has grant programs available to states to, among other things, 

facilitate submitting protection orders to NCIC and also to provide judicial 

education on administering protection orders in domestic violence 

situations and handling firearm prohibitions. For example, Nebraska state 

officials said they used NARIP and NCHIP grant funds to develop a 

mechanism for law enforcement agencies to enter protection orders 

directly into NCIC. The officials said the portal has significantly increased 

the number of protection orders entered into the NCIC. States have also 

used NCHIP grants to validate and enter protection orders into the NICS 

Index. For example, Pennsylvania officials said they received a 2015 

NCHIP grant award to develop a process to enter protection orders into 

the NICS Index that did not have all the information the FBI requires for 

entry into NCIC. The officials said that these protection orders currently 

are only available for in-state law enforcement purposes or firearm 

checks and entering these protection orders into the NICS Index would 

make them available for firearm checks outside of the state. Lastly, DOJ’s 

Office on Violence Against Women (OVW) offers multiple grants to state 

and local criminal justice agencies, victim services organizations, and 

other entities that address domestic violence. For example, OVW grants 

fund programs and staff that assist domestic violence victims in obtaining 

a protection order, train judges on when it is appropriate to include a 

firearm prohibition in a protection order, and enforce protection order 

 39Every agency that enters records into NCIC must assure that hit confirmation is 

available for NCIC records 24 hours a day, 7 days a week. Generally, a hit confirmation 

means to confirm (1) the identity of the person inquired upon is identical to the person

identified in the protection order, (2) the protection order is active, and (3) the terms, 

service, and conditions of the protection order. Hit confirmation policies allow agencies 

that are not available 24 hours a day, 7 days a week to enter into agreements with 

agencies that are available to perform hit confirmations during off-hours. (Federal Bureau 

of Investigation, NCIC 2000 Operating Manual)
Page 19 GAO-16-483 Gun Control

conditions, such as removing firearms from the subject of the protection 

order.

DOJ has engaged in other efforts to help states enter protection orders 

into the NCIC, such as in person and distance trainings, sharing best 

practices, conferences, and audits. For example, the NCSC worked with 

DOJ to develop an online training course for judges on how to develop 

protection orders under domestic violence situations. Additionally, under 

the direction of BJS, the NCSC and SEARCH plan to publish a series of 

reports describing, among other things, the challenges states face in 

providing NICS-related records and best practices that states have used 

to make these records available. BJS made available the first of these 

reports on mental health records in March 2016, and a BJS official said 

the next report on protection orders will be available by late summer 

2016.40 FBI also conducts audits of states with access to certain FBI 

systems, such as NCIC, every 3 years. These audits can help improve, 

among other things, the accuracy and completeness of protection orders 

in NCIC by reviewing a sample of protection orders and comparing these 

protection orders against supporting documentation.41 For example, DOJ 

auditors identified a state where the NCIC protection orders did not 

contain all available information, and the state redesigned its existing 

protection order system to capture the additional information into NCIC.

 40Becki Goggins, SEARCH, and Anne Gallegos, National Center for State Courts. State 

Progress in Record Reporting for Firearm-Related Background Checks: Mental Health 

Submissions, a report prepared under a cooperative agreement with the Department of 

Justice, Bureau of Justice Statistics, March 2016.

41GAO analyzed 54 FBI audit reports of states and territories from fiscal years 2012 to 

2015. Of the 6,138 protection orders that the FBI audited during these 54 audits, the FBI 

found that about 5 percent (334) of the protection orders were inaccurate, 12 percent 

(711) were incomplete, and 4 percent (233) were invalid. According to the FBI, inaccurate 

protection orders are where critical information in the NCIC record did not match with the 

information on the protection order or supporting documentation. Incomplete protection 

orders are where the protection order or supporting documentation contains additional 

data that should be included in the NCIC record. Invalid protection orders are where the 

case which resulted in the NCIC protection order has been resolved but the record has not 

been removed from NCIC.
Page 20 GAO-16-483 Gun Control

States can submit pre-validated, firearm disqualifying MCDV records and 

protection orders to the NICS Index for use solely during NICS checks. 

Pre-validated records are those that can be used to immediately deny a 

firearm transfer, and are notated by the use of the Brady Indicator, IFFS 

flag, or made available in the NICS Index. Pre-validated records expedite 

NICS checks because NICS examiners and POC states can 

automatically deny firearm transfers based on a NICS Index entry. 

However, the FBI encourages states to first submit MCDV records and 

protection orders to the III and NCIC, respectively, because these 

databases are used for general criminal justice purposes in addition to 

firearm sales. States may also enter records into the NICS Index if the 

respective records in the III or NCIC do not contain all the information 

needed to determine whether the record would prohibit a firearm transfer.

The total number of MCDV records that states entered into the NICS 

Index increased from approximately 19,000 in fiscal year 2008 to 

approximately 97,000 in fiscal year 2015.42 This increase largely reflects 

the efforts of five states whose MCDV records made up approximately 91 

percent of these records in the NICS Index in fiscal year 2015 (see fig. 

3).43 Thirty-seven states had MCDV records in the NICS Index as of 

September 30, 2015, and 18 states had made available more than 100 

MCDV records to the NICS Index.

 42From fiscal years 2006 through 2007, no states or territories had MCDV records in the 

NICS Index.

43Five states (California, Connecticut, Louisiana, New Hampshire, and New Mexico) each 

contributed at least 7,000 MCDV records to the NICS Index through fiscal year 2015.

Most States Submit a 

Limited Number of 

Domestic Violence 

Records to the NICS 

Index, Because Such 

Records Are More Often 

Made Available to Other 

Systems Checked by 

NICS

Misdemeanor Crimes of 

Domestic Violence
Page 21 GAO-16-483 Gun Control

Figure 3: Number of Misdemeanor Crime of Domestic Violence (MCDV) Records in 

the National Instant Criminal Background Check System (NICS) Index, Fiscal Years 

2008 through 2015a

a

No states or territories had MCDV records in the NICS Index for fiscal years 2006 and 2007.

Some states have developed processes to submit pre-validated 

prohibiting MCDV records to the NICS Index in order to expedite NICS 

checks or make records available to NICS that are not available in other 

FBI databases, such as the III. For example, Connecticut state officials 

said they developed a process where court personnel identify potentially 

prohibiting MCDV records and then a centralized clerk validates the 

records as firearm-prohibiting and enters them into the NICS Index. The 

officials noted that the motivation to enter MCDV records into the NICS 

Index was to ensure that all prohibiting MCDV records were made 

available for NICS checks because (1) Connecticut state law allows for 

cite and release arrests for misdemeanor crimes and (2) the information 

needed to determine if the record prohibits a firearm transfer may not be 

available in the state primary court records or the criminal history 

repository. Officials from two POC states we spoke with said they entered 

disqualifying MCDV records into the NICS Index as they identified these 
Page 22 GAO-16-483 Gun Control

records during a NICS checks in order to expedite potential future NICS 

checks of the same individual.

The total number of protection orders that states entered into the NICS 

Index increased from approximately 700 in fiscal year 2008 to 

approximately 55,000 in fiscal year 2015.44 This increase in protection 

orders predominantly reflects the effort of one state. Specifically, 

approximately 47,000 (85 percent) of the approximately 55,000 records 

were due to New York’s efforts to enter protection orders into the NICS 

Index starting in fiscal year 2014 (see fig. 4). New York state officials said 

they used federal grant funding to develop an automatic process that 

uses protection order information collected by court clerks to identify 

disqualifying protection orders and then enter these records into the NICS

Index and the NCIC. Officials said the motivation for this process is to 

ensure that all disqualifying protection orders are available for NICS 

checks and to facilitate and expedite the NICS check process. In total, 23 

states had protection orders in the NICS Index as of September 30, 2015.

 44From fiscal years 2006 through 2007, no states or territories had protection orders in the 

NICS Index.

Protection Orders
Page 23 GAO-16-483 Gun Control

Figure 4: Number of Protection Orders in the National Instant Criminal Background 

Check System (NICS) Index, Fiscal Years 2008 through 2015a

a

No states or territories had protection orders in the NICS Index for fiscal years 2006 and 2007.
Page 24 GAO-16-483 Gun Control

FBI data show that about 70 percent of NICS checks involving prohibiting 

MCDV records were denied within 3 business days. Specifically, about 

41,000 of the approximately 59,000 MCDV denials from fiscal years 2006 

through 2015 were denied within 3 business days, with the remaining 

18,000 transactions (30 percent) denied after 3 business days. No other 

category had more than 20 percent of its denials delayed beyond 3 

business days. FBI data also show that about 28,000 (94 percent) of the 

approximately 30,000 domestic violence protection order denials from 

fiscal years 2006 through 2015 were denied within 3 business days, with 

the remaining 2,000 transactions (6 percent) denied after 3 business days 

(see fig. 5).

Most NICS Checks 

Involving Domestic 

Violence Records Are 

Completed before 

Firearm Transfers 

Take Place, but About 

6,700 Firearms Were 

Transferred to 

Prohibited Individuals 

Since 2006; DOJ 

Could Analyze Denial 

Data to Help 

Establish Priorities

About 70 Percent of 

MCDV-Related Denials 

Were Completed within 3 

Business Days, Which Is a 

Lower Percentage than for 

Other Prohibiting 

Categories
Page 25 GAO-16-483 Gun Control

Figure 5: Percentage of National Instant Criminal Background Check System (NICS) Checks Denied by Prohibiting Category, 

Fiscal Years 2006 through 2015

a

Convicted of a crime punishable by more than 1 year or a state misdemeanor punishable by more 

than 2 years.

b

Adjudicated Mental Defective/Committed to a Mental Institution.
Page 26 GAO-16-483 Gun Control

According to our analysis of FBI data, denial determinations for checks 

involving MCDV records also took longer than checks for other prohibited 

categories. For example, while the FBI denied 70 percent of MCDVrelated checks within 3 business days, it took the Bureau 9 business days 

to determine 90 percent of all MCDV denials from fiscal years 2006 

through 2015. As a comparison, it took the FBI 3 business days to 

determine 90 percent of criminal conviction45 denials during the same 

time period (see fig. 6).46

 45A criminal conviction prohibits a person from receiving or possessing a firearm when the 

person is convicted of a crime punishable by imprisonment exceeding 1 year or a state 

misdemeanor punishable by more than 2 years. 

46For illustrative purposes, our analysis used 90 percent as a threshold for identifying the 

number of business days needed to reach a denial determination. For most prohibiting 

categories, once 90 percent of denials were completed, the percentage completed each 

subsequent day was diminishingly small (see appendix I for methodology).

Days to complete misdemeanor crime of 

domestic violence denials 

• Fiscal Years 2006 through 2015 (59,000 

denials)

• Within 3 business days: 41,000 (70 

percent)

• Between 4 and 9 business days: 

12,000 (20 percent)

• Between 10 and 20 business days: 

3,800 (6 percent)

• 21 or more business days: 2,100 (4 

percent)

• Fiscal Year 2015 (7,500 denials)

• Within 3 business days: 5,700 (76 

percent)

• Between 4 and 9 business days: 

1,200 (16 percent)

• Between 10 and 20 business days: 

360 (5 percent)

• 21 or more business days: 200 (3 

percent)

Source: GAO analysis of Federal Bureau of Investigation 

denial data. | GAO-16-483
Page 27 GAO-16-483 Gun Control

Figure 6: Business Days Needed for the Federal Bureau of Investigation to Determine 90 Percenta of National Instant Criminal 

Background Check Denials, Fiscal Years 2006 through 2015

a

For illustrative purposes, our analysis used 90 percent as a threshold for identifying the number of 

business days needed to reach a denial determination. For two categories, the FBI completed 90 

percent of denials within 0 business days because denials can be made immediately or on the same 

day that a check was initiated.

b

Convicted of a crime punishable by more than 1 year or a state misdemeanor punishable by more 

than 2 years.

c

Adjudicated Mental Defective/Committed to a Mental Institution.

Our analysis of FBI data also found that the number of business days 

needed to complete 90 percent of MCDV denials has improved over 

time—decreasing from 12 days in fiscal year 2006 to 7 days in fiscal year 

2015 (see fig. 7). Other prohibiting categories also required fewer 

business days to complete 90 percent of denials over time. For example, 

criminal convictions decreased from 5 business days in fiscal year 2006 

to 2 business days in fiscal year 2015. FBI officials were not aware of 

what actions have contributed to the reduced number of days to reach 

denial determinations.
Page 28 GAO-16-483 Gun Control

Figure 7: Business Days Needed to Determine 90 Percent of Misdemeanor Crimes 

of Domestic Violence Denials, Fiscal Years 2006 through 2015

In addition, NICS examiners were not able to complete many checks 

initiated by the NICS Section before the FBI was required to stop 

investigating and purge information related to the transactions from NICS. 

The FBI is required to purge information related to unresolved NICS 

checks within 90 days after the check was initiated. According to FBI 

officials, the FBI purges unresolved NICS checks after 88 days to ensure 

that they comply with the regulation. Our analysis of FBI data show that 

171,994 (2.1 percent) of the 8,256,688 checks that the FBI initiated in 

2014 had no proceed or denial determination made by the FBI within 88 

days. According to FBI officials, these cases were categorized as 

unresolved and the FBI does not track the outcomes of these cases. Our 

analysis indicates that if the 2014 denial rates of NICS checks involving 

domestic violence records applied to these unresolved checks, 

approximately 1,930 would have been denied during 2014 for all 

categories, of which about 130 because of a MCDV record and about 56 

because of a protection order. FBI officials said they do not identify or 

track information on unresolved checks—such as the possible prohibiting 

offense that led to the check needing additional review or the reason a 

determination was not made—due to system limitations and multiple 

prohibiting categories being researched. The officials told us that because 

they use all available resources to make a final determination, it is unclear 
Page 29 GAO-16-483 Gun Control

to them if tracking additional information could help reduce the number of 

unresolved checks. For example, they noted that, in accordance with 

some states’ records management practices, some records they would 

need to complete the checks are no longer available and have been 

destroyed.

According to FBI data, more than 500 firearms were transferred to 

individuals with prohibiting MCDV records or prohibiting protection orders 

each year from fiscal years 2006 through 2015—about 6,700 total 

transfers—because the FBI denial determination was made after 3 

business days, which resulted in the FBI referring these cases to ATF for 

firearm retrieval.47 Under federal law, firearm dealers may transfer a 

firearm to an individual if the dealer has not received a response from the 

NICS Section after 3 business days.48 In cases where a proceed or denial 

determination cannot be made within 3 business days, NICS examiners 

continue to conduct research to determine whether an individual is 

eligible for a firearm. The officials added that the NICS Section is to refer 

any firearm transactions that they deny after 3 business days—known as 

a delayed denial—to ATF for firearm retrieval if the NICS examiner 

determines that the dealer has already transferred the firearm to the 

individual.

FBI data show that the FBI referred a total of 6,221 MCDV delayed 

denials and 559 protection order delayed denials to ATF for potential 

firearm retrieval from fiscal years 2006 through 2015 because individuals 

 47According to FBI officials, POC states are responsible for conducting their own NICS 

checks and are not required to provide the status of firearm retrievals to ATF or the FBI. 

Our data reflects only those delayed denials that resulted from an FBI-initiated check that 

was referred to ATF for retrieval action. 

4818 U.S.C. § 922(t)(1)(B)(ii). States may allow additional time to conduct background 

checks. If the state is a non-POC state and the FBI conducts the check, the FBI will 

provide the Federal Firearms Licensee (FFL) with the allowable transfer date under 

federal law and the FFL will use state guidelines for when a firearm transfer may take 

place.

More than 500 Firearms 

Transferred Each Year to 

Individuals with Prohibiting 

Domestic Violence 

Records Because Denial 

Determinations Were 

Made after 3 Business 

Days
Page 30 GAO-16-483 Gun Control

with prohibiting domestic violence records acquired a firearm.49 During 

the same period, according to FBI data, the number of NICS checks the 

FBI processed increased from about 5.2 million checks in fiscal year 2006 

to about 9 million checks in fiscal year 2015.50 Also, from fiscal years 

2006 through 2008, the number of FBI referrals to ATF related to 

domestic violence declined from more than 1,200 to about 550 and 

remained between 520 and 670 through fiscal year 2015 (see fig. 8). FBI 

officials were not able to explain how the number of referrals to ATF has 

remained relatively constant since fiscal year 2008 while the number of 

NICS checks increased. The FBI was not able to specifically identify the 

cause of the decline in firearm transfer referrals to ATF from 2006 to 

2008, but noted that a change in the NICS process could account for the 

initial decline.

 49These numbers represent delayed denial referrals in which MCDVs and protection 

orders were the highest ranked or only category that met criteria for a denial 

determination. According to FBI officials, multiple prohibiting categories could result in a 

denial determination. For instance, the FBI reported that there were 14 additional delayed 

denials (6,235 total) related to MCDVs that could have been referred to ATF but were also 

denied for a higher ranked category. Similarly, there were 19 additional protection orders 

(578 total) that were denied for a different category.

50States can conduct their own checks as a POC state, partial-POC state, or a non-POC 

state that requires a background check for a firearm permit. 
Page 31 GAO-16-483 Gun Control

Figure 8: Federal Bureau of Investigation (FBI) Domestic Violence Delayed Denial 

Referrals to the Bureau of Alcohol, Tobacco, Firearms and Explosives (ATF) for 

Firearm Retrieval, Fiscal Years 2006 through 2015a

a

The FBI was not able to specifically identify the cause of the decline in firearm transfer referrals to 

ATF from 2006 to 2008.

Officials from the NICS Section said that it can be difficult to determine 

the outcome of a NICS check—proceed or denied—when a prohibiting 

category has multiple criteria that must be met in order to prohibit a 

firearm transfer. As previously discussed, in order to deny a firearm 

transfer for the MCDV and protection order prohibiting categories, 

multiple criteria must be met, including the element of force, the 

Challenges the FBI and 

States Face in Completing 

Checks Involving 

Domestic Violence 

Records and Actions 

Taken to Address 

Challenges

Challenges Conducting 

Checks
Page 32 GAO-16-483 Gun Control

relationship between the offender and victim, and due process. Another 

challenge is that states differ on the criminal offenses that can be 

considered an MCDV. For example, some states have assault, battery, or 

disturbing the peace offenses while other states have specific domestic 

violence offenses.

Officials from the NICS Section and POC states we contacted said that it 

may take more than 3 business days to complete checks that involve 

multiple criteria in part because of the required coordination with local 

agencies to obtain information related to the criteria. Officials from one 

POC state noted that communication and document retrieval can 

sometimes take a week or longer to obtain the necessary information to 

make a determination. State officials said it often takes time to identify 

which office or agency to contact in order to gain access to the necessary 

information. Examiners from three POC states we contacted said it can 

be difficult to get the necessary information in a timely manner. Also, 

according to officials from two states, some local agencies charge a fee 

for copies of documents which they said can inhibit accessing necessary 

information to make a determination. Officials from three states we spoke 

with also said they face particular challenges retrieving older criminal 

records because they are not electronic or have been purged from state 

criminal record repositories.

Officials from the eight states we contacted identified some actions they 

have taken to address challenges to completing checks before firearm 

transfers occur.

Pre-validating prohibiting domestic violence records: Officials from 

six of the eight states we spoke with have established processes to 

proactively identify or pre-validate prohibiting domestic violence records 

to help get checks completed faster. Pre-validated records are those that 

can be used to immediately deny a firearm transfer, and are notated by 

the use of the Brady Indicator, IFFS flag, or made available in the NICS 

Index. For example,

• Connecticut officials said they have developed a process in which 

potentially prohibiting MCDV records are identified, independently 

validated, and then entered into the NICS Index. The officials told us 

this effort was to help ensure that all prohibiting MCDV records were 

made available for NICS checks.

• New York officials said they identify federal and state prohibiting 

MCDVs using a text banner that explicitly states that an individual is 

State Actions to Address 

Challenges
Page 33 GAO-16-483 Gun Control

prohibited from purchasing a firearm on their criminal history records. 

The officials said they have also utilized federal grant funds to develop 

a calculation process to identify firearm prohibiting protection orders to 

make them available in the NICS Index.

• Pennsylvania officials said they use the IFFS flag to indicate when an 

arresting charge is a firearm disqualifier. Pennsylvania also uses an 

automated process that includes identifying the relationship between 

the victim and offender to apply the Brady Indicator to prohibiting 

protection orders.

• Nebraska officials said they use a system for NCIC protection order 

entries to assist in identifying firearm-prohibiting criteria, which is 

verified and supplemented by law enforcement officials. The system 

then applies the Brady Indicator based on criteria provided to the 

system.

• New Mexico officials said they report relevant court records to the 

NICS Index and use a computer query program to identify MCDV 

records and protection orders that should be included.

• Washington state officials said they use the Brady Indicator to flag 

prohibiting domestic violence protection orders entered into the NCIC 

protection order file.

Allowing additional time to complete checks before firearm 

transfers: Three of our eight sample states have passed laws that allow 

additional time to complete checks (for all prohibiting categories) before a 

firearm is transferred. Specifically, Washington law provides for 10 

business days to complete a NICS check.51 Washington examiners said 

that the additional time is necessary to identify prohibiting criteria and to 

make a determination if an individual is prohibited. Pennsylvania law 

requires a 48 hour mandatory wait period before a firearm can be 

transferred even when a background check is completed within 3 

business days and provides for a temporary delay of a firearm transfer if 

there is a potential prohibiting MCDV record to allow for obtaining all 

information necessary to make an accurate determination.52 Pennsylvania 

officials noted that the temporary delay can be extended indefinitely to 

prevent a firearm transfer to an individual prohibited due to a domestic 

 51Wash. Rev. Code § 9.41.092 (2016).

5218 Pa. Cons. Stat. § 6111(a)(1) and (b)(7).
Page 34 GAO-16-483 Gun Control

violence record. Connecticut law allows up to 60 days to conduct a NICS 

check for an eligibility certificate, which is required to purchase a firearm 

in the state and an eligibility certificate is not issued if a final 

determination of eligibility cannot be made.53

Other actions taken to help complete checks before firearm 

transfers occur: According to Texas officials, Texas references state 

statutes on all criminal records that are submitted to the FBI. The officials 

said this allows examiners to more quickly identify prohibiting crimes and 

make accurate determinations. Some POC states, such as Washington 

and Nevada, enter records into the NICS Index after state officials have 

researched and identified a prohibiting record in order to expedite future 

checks involving the same individual. In addition to state actions, the 

NICS Section adds records to the NICS Index when prohibiting criteria 

are identified and the information is unable to be updated in III or NCIC.

DOJ has also taken actions to help make timely determinations of NICS 

checks, including providing grants to states to improve records. To help 

ensure accurate determinations, DOJ conducts a secondary review of 

denial determinations, and established an appeal process for individuals 

who believe they were wrongfully denied the ability to purchase a firearm.

Grants: As previously mentioned, DOJ provides NCHIP and NARIP grant 

funds to states to improve general record availability and to better ensure 

that arrest records and corresponding court dispositions are available for 

NICS checks. According to DOJ guidance for grant applications, gaps in 

records significantly hinder the ability of NICS to quickly and accurately 

confirm whether a prospective purchaser is prohibited from acquiring a 

firearm. Officials from BJS, the agency responsible for soliciting grant 

proposals and issuing funds, said that, to the extent possible, they work 

closely with the FBI to ensure projects are addressing challenges related 

to prohibited categories. For example, states can use grant funds to help 

make more records available for use in NICS checks. Officials from one 

state we spoke with, New York, said they utilized federal grant funds to 

help make more records available in the NICS Index, thereby addressing 

gaps in records from the state.

 53Conn. Gen. Stat. §§ 29-36f, 29–36g (pertaining to eligibility certificate for a pistol or 

revolver); Conn. Gen. Stat. §§ 29-37p, 29-37q (pertaining to eligibility certificate for a long 

gun).

DOJ Actions to Complete 

Timely and Accurate NICS 

Checks
Page 35 GAO-16-483 Gun Control

Secondary review of denial determinations: ATF, within DOJ, is 

responsible for reviewing denied firearm transactions. Specifically, ATF 

reviews all delayed denial referrals it receives from the FBI, after the FBI 

has reviewed the case and made the determination that a firearm was 

transferred to a prohibited individual. According to ATF officials, when the 

FBI makes a delayed denial determination and refers a case to ATF for 

retrieval, ATF reviews the referrals to determine whether the denial is 

valid and a retrieval action is necessary. ATF’s process helps ensure that 

prohibited individuals do not retain possession of a firearm. ATF officials 

said they sometimes find that the firearm was not transferred, or that the 

denied individual should have been allowed to purchase the firearm.54

According to our analysis of ATF data, ATF referred about 76 percent of 

domestic violence-related delayed denials to its field offices for retrieval 

actions from October 1, 2006, through July 13, 2015.

55 ATF determined 

through its review process that the remaining 24 percent of referrals did 

not need to be sent to the field for retrieval because the firearm was not 

transferred, the firearm was returned to the dealer without ATF 

intervention, or the denial was overturned.56

Appeals: DOJ has a process for individuals to appeal a decision when 

they are denied a firearm. According to FBI data, from fiscal years 2006 

through 2015, the FBI received about 188,000 total appeals.57 The data 

also show that about 35,000 of those denial determinations were 

overturned on appeal.

 54We reported in June 2014 that ATF did not have readily available data to track and 

monitor how field divisions initiate and resolve delayed denial investigations. We 

recommended that ATF establish a mechanism to provide managers readily available 

data to monitor timeliness and investigation outcomes. ATF concurred with our 

recommendation, and provided GAO with documentation that it has implemented a 

monthly NICS report which is reviewed by ATF management. As of May 2016, GAO has 

closed the recommendation as implemented. See GAO, Bureau of Alcohol, Tobacco, 

Firearms and Explosives: Enhancing Data Collection Could Improve Management of 

Investigations, GAO-14-553 (Washington, D.C.: June 30, 2014).

55Retrieval actions can include seizing the firearm, returning the firearm to the dealer, or 

transferring the firearm to a third party.

56Overturned decisions made by FBI are sent to ATF. ATF does not separate reasons for 

overturned decisions, which, according to ATF officials, could result from an appeal or 

continued research leading to a proceed determination. 

57These appeals include checks denied due to any of the prohibiting categories, including 

MCDV. 
Page 36 GAO-16-483 Gun Control

DOJ and the FBI have taken steps to help improve the timely completion

of NICS checks but have not established procedures to assess or monitor 

how long it takes to complete checks for each prohibiting category, which 

could help inform FBI and other DOJ entities on which areas they should 

prioritize resources, such as grant funding and training. Specifically, the 

FBI and other DOJ entities have identified some state practices that could 

help improve the timely completion of NICS checks. In addition, DOJ 

issues grants to states in order to help make more records readily 

available during NICS checks and reduce the time needed to conduct 

research and make final determinations. BJS officials responsible for 

administering grants noted that they work with the NICS Section to the 

extent possible to coordinate and prioritize grant funding. FBI officials also 

said that they are in the process of changing how they manage the 

receipt of information from states, such as dispositions and incident 

reports, in an effort to reduce the amount of time necessary to complete 

NICS checks.

However, the FBI does not assess or monitor how long it takes to 

complete checks for each prohibiting category. According to NICS 

Section officials, an analysis of denial data would not affect how the FBI 

conducts checks because the time required to make determinations (i.e., 

proceed or denial) is dependent on the availability of information supplied 

by states. BJS officials noted that an analysis of the time required to 

complete checks for each prohibiting category could help them identify 

areas in which they could conduct state outreach and assist states in 

providing more complete records, such as through the use of grant 

funding.

Our analysis of FBI denial data shows that completing NICS checks 

involving certain prohibiting categories, including those we focused on for 

this report—MCDV and protection orders—present challenges. 

Specifically, more than 500 firearms were transferred to individuals with 

prohibiting domestic violence records each year from 2006 through 2015. 

Our analysis also found that the time needed to complete checks 

involving domestic violence records declined between fiscal years 2006 

and 2015, but DOJ and FBI officials were not able to identify what actions 

they may have taken that contributed to the improvement.

The mission of the NICS Section is to enhance national security and 

public safety by providing the timely and accurate determination of a 

person’s eligibility to possess firearms in accordance with federal law. 

However, as discussed previously, some NICS checks are delayed and 

denied after the firearm has already been transferred to the prohibited 

FBI Does Not Analyze 

Some Available Data to 

Monitor the Timeliness of 

NICS Checks and Share 

Results to Help Set 

Priorities
Page 37 GAO-16-483 Gun Control

individual because information necessary to complete a background 

check prior to a firearm transfer is not immediately available and 

additional research must be conducted. Standards for Internal Control in 

the Federal Government states that internal control monitoring should 

assess the quality of performance over time and ensure that the findings 

of audits and other reviews are promptly resolved. Monitoring is to be 

performed continually and ingrained in the agency’s operations, and 

managers are to evaluate findings to determine if any corrective actions 

are needed. Ongoing monitoring or analysis similar to the analysis we 

conducted could help the FBI determine if specific prohibiting categories 

present greater challenges in completing determinations than other 

categories and, in turn, the FBI could use the results and provide them to 

other DOJ entities to help establish priorities. For example, BJS could use 

the results of the FBI’s analysis to help prioritize grants to states or focus 

state training and outreach to address challenges with specific prohibiting 

categories, among other actions.

Sustained federal and state efforts to support NICS background checks 

are critical in helping to ensure public safety. The national system of 

criminal background checks relies first and foremost on the efforts of state 

and local governments to provide complete and accurate records to the 

FBI. State and local governments often rely on DOJ’s guidance, grants, 

and identification of practices that can help mitigate challenges in 

conducting background checks. DOJ has steps in place to reduce the risk 

of erroneously denying individuals from possessing firearms and an 

appeals process for individuals who believe they were wrongfully denied 

the ability to possess a firearm. However, because it has not assessed its 

data to identify which prohibiting categories result in more delayed denials 

and firearm transfers to prohibited individuals, the agency cannot 

reasonably ensure it has effectively prioritized resources and tools to 

assist states in providing more complete and accurate records for those 

categories.

To help the NICS Section achieve its mission to enhance national security 

and public safety by providing the timely and accurate determination of a 

person’s eligibility to possess firearms, we recommend that the Director of 

the FBI monitor NICS check outcomes for specific categories of 

prohibited individuals to assess timeliness and provide this information to 

other DOJ entities for use in establishing priorities and tools to assist 

states in submitting more complete records for use during NICS checks.

Conclusions

Recommendation for 

Executive Action
Page 38 GAO-16-483 Gun Control

We provided a draft of this report for review and comment to DOJ. DOJ 

provided written comments, which are reproduced in appendix IV. DOJ 

agreed with our recommendation. 

We are sending copies of this report to the Attorney General, and other 

interested parties. In addition, the report is available at no charge on the 

GAO website at http://www.gao.gov.

If you or your staff have questions about this report, please contact me at 

(202) 512-8777 or goodwing@gao.gov. Contact points for our Offices of 

Congressional Relations and Public Affairs may be found on the last page 

of this report. Key contributors to this report are listed in appendix V.

Sincerely yours,

Gretta L. Goodwin

Acting Director, Homeland Security and Justice Issues

Agency Comments 

and Our Evaluation
Appendix I: Scope and Methodology

Page 39 GAO-16-483 Gun Control

To describe the extent to which states identify domestic violence records 

for use during National Instant Criminal Background Check System 

(NICS) checks, we analyzed Federal Bureau of Investigation (FBI) data 

on the number of domestic violence records that states identified and 

made available to NICS, including those protection orders flagged with 

the Brady Indicator, provided by states and territories from 2006 through 

2015. We selected this time frame in order to have a sufficient length of 

time to identify trends in the number of records available to NICS. To 

assess the reliability of these data, we questioned knowledgeable officials 

about the data and the systems that produced the data, reviewed relevant 

documentation, and examined the data for obvious errors. We determined 

that some of the data were not sufficiently reliable for the purposes of our 

report. Specifically, we did not report the Identification for Firearms Sales 

(IFFS) flag data from 2006 through 2014 due to inaccurate flag settings 

and the lack of controls on who could modify the flag settings. These 

issues were corrected for 2015, so we determined that the 2015 IFFS flag 

data were sufficiently reliable for our purposes.

We were not able to identify all of the domestic violence records that 

states have made available to the FBI because of challenges in 

disaggregating some of these records from other criminal history records, 

but to the extent possible we took steps to identify trends in the data. We 

analyzed, on a more limited basis, the number of records that each state 

had made available regarding other prohibiting categories, such as 

mental health records, to provide context for trends we identified related 

to domestic violence records. We also analyzed the last 3 years of FBI 

state audit findings to report on general challenges states face with 

respect to the accuracy, validity, and completeness of domestic violence 

records. Additionally, we analyzed U.S. Department of Justice’s (DOJ) 

National Criminal History Improvement Program and NICS Act Record 

Improvement Program grant solicitations and award amounts to identify 

prioritization and trends in the grant award decisions.

In addition, we interviewed officials from eight selected states 

(Connecticut, Nebraska, Nevada, New Mexico, New York, Pennsylvania, 

Texas, and Washington) to gain an understanding of their processes for 

submitting domestic violence records to the FBI and the extent to which 

they have encountered challenges, if any, in submitting records. We 

selected this non-generalizable sample of states to reflect a range of 

factors, including five point of contact (POC) states and three non-POC 

states, the number of domestic violence records they currently make 

available to the FBI and whether they have received grant funding to 

improve their record submissions. Additionally, we interviewed groups 

Appendix I: Scope and Methodology
Appendix I: Scope and Methodology

Page 40 GAO-16-483 Gun Control

with an interest in, among other things, individuals with a history of 

domestic violence and firearm background checks, including Everytown 

for Gun Safety, the National Rifle Association, and the Law Center to 

Prevent Gun Violence, SEARCH—the National Consortium for Justice 

Information and Statistics—and the National Center for State Courts. 

Finally, we interviewed officials from various DOJ components with 

responsibility for maintaining NICS records or supporting related 

activities, including the FBI’s Criminal Justice Information Services (CJIS) 

Division and NICS Section, the Bureau of Justice Statistics (BJS), and the 

Bureau of Alcohol, Tobacco, Firearms and Explosives (ATF) to obtain 

additional perspectives on the records states provide for use during NICS 

checks.1

To determine the extent to which NICS checks involving domestic 

violence records are completed before firearm transfers take place, we 

analyzed DOJ documentation and data to identify trends in total number 

of NICS checks, denials, delayed denials, firearm retrievals, and days 

required to determine the outcome of a check. Specifically, we obtained 

record level FBI data on NICS check denials and delayed denials—

798,401 records from fiscal years 2006 through 2015—and analyzed 

NICS transaction dates, denial codes, prohibiting categories, and other 

information to identify the length of time it took examiners to make a 

denial determination, by year and by prohibiting category. We did not 

analyze record level data on proceeded NICS checks because FBI is 

required to purge all identifying information related to the NICS 

transaction.

To illustrate variation in the amount of time denials in different prohibiting 

categories took, we compared the number of business days taken to 

complete 90 percent of denials by category. For most prohibiting 

categories, once 90 percent of denials were completed, the percentage 

completed each subsequent day was diminishingly small. Specifically, 

after most prohibiting categories reached a 90 percent denial rate, the 

rate increased by less than 2 percent each day. We also obtained data 

from ATF and the FBI on retrieval referrals and appeals by individuals 

denied a firearm for fiscal years 2006 through 2015 and analyzed these 

 1

The mission of the NICS Section is to enhance national security and public safety by 

providing the timely and accurate determination of a person’s eligibility to possess 

firearms in accordance with federal law.
Appendix I: Scope and Methodology

Page 41 GAO-16-483 Gun Control

data to identify trends in NICS checks appeals. To assess the reliability of 

these data, we questioned knowledgeable officials about their information 

collection procedures and systems, reviewed relevant documentation, 

and examined data for obvious errors. We determined that the data were 

sufficiently reliable for the purposes of our report.

To determine whether challenges exist that may increase the time it takes 

to complete a NICS check, we analyzed testimony from DOJ and the 

selected states regarding characteristics of domestic violence records 

that can present challenges and lead to checks exceeding the federally 

allowed 3 business days before a firearm can be transferred. We also 

obtained documentation and testimony from DOJ and selected states 

regarding federal and state efforts to increase the number of checks 

completed before firearms are transferred, including grant awards and 

training to states. We also interviewed DOJ management and program 

officials to determine DOJ’s efforts to help NICS and states overcome 

challenges that could contribute to delayed denials, including guidance, 

training, and actions to share best practices. We analyzed documentation 

and interviewed officials from ATF about its efforts to review delayed 

denial cases prior to initiating a firearm retrieval, challenges it faced, and 

actions that could minimize the number of retrieval efforts. Finally, we 

compared DOJ’s actions to monitor the outcomes of the checks and use 

the results to establish and manage program priorities against criteria 

outlined in federal internal control standards.2

We conducted this performance audit from June 2015 to July 2016 in 

accordance with generally accepted government auditing standards. 

Those standards require that we plan and perform the audit to obtain 

sufficient, appropriate evidence to provide a reasonable basis for our 

findings and conclusions based on our audit objectives. We believe that 

 2

GAO, Internal Control: Standards for Internal Control in the Federal Government, 

GAO/AIMD-00-21.3.1 (Washington, D.C.: November, 1999). Internal control is an integral 

component of an organization’s management that provides reasonable assurance that the 

following objectives are being achieved: effectiveness and efficiency of operations, 

reliability of financial reporting, and compliance with applicable laws and regulations. 

These standards, issued pursuant to the requirements of the Federal Managers’ Financial 

Integrity Act of 1982 (FMFIA), provide the overall framework for establishing and 

maintaining internal control in the federal government, which includes assessing the risks 

an agency faces from both internal and external sources.
Appendix I: Scope and Methodology

Page 42 GAO-16-483 Gun Control

the evidence obtained provides a reasonable basis for our findings and 

conclusions based on our audit objectives.
Appendix II: State Options for Conducting 

Background Checks Using the National Instant 

Criminal Background Check System (NICS)

Page 43 GAO-16-483 Gun Control

States have three options for conducting NICS checks, referred to as 

non-point of contact (non-POC), full point of contact (full-POC), and 

partial-POC states. In non-POC states, Federal Firearm Licensees initiate 

a NICS check by contacting the Federal Bureau of Investigation’s (FBI) 

NICS directly by telephone or via the Internet and any required follow-up 

research is performed by NICS Section staff. In full-POC states, Federal 

Firearms Licensees initiate a NICS check by contacting one or more state 

organizations, such as a state or local law enforcement agency, to query 

NICS databases and related state files and then, if necessary, the state 

organization carries out any required follow-up research.1 In partial POC 

states, Federal Firearm Licensees initiate a NICS check for handgun 

purchases or permits by contacting the state who then queries NICS and 

state files but contacts the NICS to initiate checks for long gun purchases, 

such as shot guns or rifles.

According to the DOJ-funded report, states elect POC or non-POC status 

for various reasons, such as a state’s attitude toward gun ownership, 

since many POC states have prohibiting legislation that is stricter than 

federal regulations. For example, Oregon has five statutorily prohibiting 

categories of misdemeanor convictions in addition to domestic violence. 

Additionally, there may be an economic incentive for states to elect nonPOC status, since implementing and operating a POC may cost a state 

more money than it can collect in fees charged to Federal Firearm 

Licensees for conducting background checks. For example, DOJ reported 

that Idaho elected not to become a full-POC state because of the added 

expense of performing background checks for long gun purchases.

 1

J. M. Tien, et. al, Cost-Benefit of Point of Contact (POC) Versus Non-POC Firearm 

Eligibility Background Checks, 2001-RU-BX-K002 (2008). 

Appendix II: State Options for Conducting 

Background Checks Using the National 

Instant Criminal Background Check System 

(NICS)
Appendix II: State Options for Conducting 

Background Checks Using the National Instant 

Criminal Background Check System (NICS)

Page 44 GAO-16-483 Gun Control

Figure 9: Point of Contact States as of May 2016
Appendix III: Protection Orders in the National 

Crime Information Center Protection Order File 

for States, District of Columbia, and 

Territories, 2006 through 2015

Page 45 GAO-16-483 Gun Control

Table 1: Protection Orders in the National Crime Information Center Protection Order File for States, District of Columbia, and 

Territories, 2006 through 2015

State Category 2006 2007 2008 2009 2010 2011 2012 2013 2014 2015

Alaska Total 1095 1115 1224 1513 1665 1698 1665 1450 1468 1278

Brady 673 737 804 931 904 859 592 550 488 398

Alabama Total 585 1072 1607 3396 3729 3442 3782 3969 3730 3427

Brady 104 798 184 349 334 516 478 888 1160 1008

American 

Samoa

Total 0 0 0 0 0 0 0 0 0 0

Brady 0 0 0 0 0 0 0 0 0 0

Arkansas Total 5867 6097 4838 5306 5271 6009 6062 6119 6378 6887

Brady 3087 2892 2496 3185 4048 4750 4340 4384 3781 3417

Arizona Total 23989 25240 25497 26449 26189 25069 25779 25311 25101 25224

Brady 786 1035 1628 1692 1805 1393 1583 1294 1226 1143

California Total 100791 103427 104924 103903 101504 103462 101625 106356 107091 109494

Brady 25319 25251 25848 26402 25153 25134 23607 23000 22902 22847

Colorado Total 61720 85916 59217 58211 90133 52434 50038 53511 52060 86073

Brady 1677 21736 18901 13586 16756 17785 16682 17234 16156 24009

Connecticut Total 34069 36390 38600 41763 43876 42708 42380 40770 43041 46325

Brady 19531 23235 24526 26268 28022 27519 27049 25771 22210 22882

District of 

Columbia

Total 4 38 6 7 8 11 1894 1727 1846 1879

Brady 1 0 4 4 1 0 0 0 0 1

Delaware Total 759 1646 2031 2165 2157 2383 2003 1852 1778 1789

Brady 673 1540 2000 2146 2140 2380 2002 1851 1774 1786

Florida Total 43657 42897 42548 40286 38410 36620 35239 36242 32606 31104

Brady 25260 21592 15521 9703 7988 5336 5039 5652 6166 6399

Georgia Total 7007 7407 7050 7124 6976 6710 6694 6662 6580 7208

Brady 3513 3826 3348 3422 3290 3138 3202 3354 3316 3461

Guam Total 1 198 52 209 68 89 33 45 163 121

Brady 0 193 52 23 0 0 1 3 10 99

Hawaii Total 0 0 0 0 0 1857 1675 1797 1697 1971

Brady 0 0 0 0 0 0 0 0 0 0

Iowa Total 11140 11335 11567 12076 12158 11947 13011 13752 14051 14319

Brady 9676 9835 9890 10258 1645 1837 5708 11408 11510 11531

Idaho Total 1661 1597 1383 1454 1431 1510 1516 1442 1508 1414

Brady 1169 1148 949 898 921 1048 998 917 1014 965

Illinois Total 29123 27711 27496 26513 26208 27295 30274 24677 24165 23570

Brady 2832 3912 4202 3892 3885 3617 3782 3415 3457 3093

Indiana Total 35457 36028 36611 45194 47579 51102 48767 49287 53511 56203

Appendix III: Protection Orders in the 

National Crime Information Center Protection 

Order File for States, District of Columbia, 

and Territories, 2006 through 2015
Appendix III: Protection Orders in the National 

Crime Information Center Protection Order File 

for States, District of Columbia, and 

Territories, 2006 through 2015

Page 46 GAO-16-483 Gun Control

State Category 2006 2007 2008 2009 2010 2011 2012 2013 2014 2015

Brady 8563 8490 8955 11605 13873 13988 13365 13033 12108 16027

Kansas Total 3968 4057 4389 4490 4436 4156 4158 3737 3969 4229

Brady 1706 1819 1858 1793 1522 931 944 788 891 908

Kentucky Total 11010 11044 10798 10786 9928 8499 8204 7578 7350 7171

Brady 7879 8105 7948 7990 7592 6692 6476 5879 5636 5382

Louisiana Total 5624 6604 7280 7947 12848 7827 7920 10901 9445 13674

Brady 4272 4207 4490 5083 9991 4511 4544 6068 5577 9167

Massachusetts Total 45392 45843 46661 48418 55098 56019 47528 32903 30475 30172

Brady 0 0 0 0 0 0 0 0 0 0

Maryland Total 9904 9545 9330 9505 9040 8358 8521 8894 8843 9016

Brady 9904 9545 9330 9505 9040 8358 8521 8894 8843 9016

Maine Total 4142 4238 4304 4045 4392 4300 4290 3741 3753 3693

Brady 2122 2107 2381 2216 2399 2392 2453 2273 2299 2285

Michigan Total 16348 15235 15030 16013 15909 14549 15058 14236 13042 13339

Brady 16273 15193 14891 5990 3503 9241 8839 6598 4688 4824

Minnesota Total 9036 8860 10030 26200 26592 26370 23800 23212 23060 22760

Brady 4437 4250 4318 4735 4417 4660 4652 4457 3996 4180

Missouri Total 12917 12886 12603 13500 14308 13343 12961 13238 13179 13610

Brady 4134 4729 4977 5502 4108 3413 2291 3822 5535 5436

Mississippi Total 2 18 63 76 108 743 1888 2003 2318 2604

Brady 1 0 2 1 11 641 1863 1985 2311 2043

Montana Total 1692 1759 1817 1647 1609 1636 1653 1561 1513 1620

Brady 799 840 789 687 597 599 616 539 510 650

Nebraska Total 575 419 453 611 762 735 1249 1103 1056 928

Brady 221 203 232 267 272 221 266 260 292 251

North Carolina Total 11778 11847 12130 12163 11960 11994 11183 10826 10682 10751

Brady 8541 8355 8694 8556 8358 8285 7874 7568 7283 7205

North Dakota Total 57 39 43 18 32 22 11 9 31 112

Brady 40 31 34 17 23 19 8 8 19 49

No. Mariana 

Islands

Total 0 0 0 0 0 0 0 0 0 0

Brady 0 0 0 0 0 0 0 0 0 0

New Hampshire Total 1861 1923 4597 5404 5482 5270 5179 4675 5451 5553

Brady 1223 1080 2023 2360 2584 2672 2484 3292 4649 4744

New Jersey Total 0 0 154090 9459 9826 7374 6649 6119 6254 5994

Brady 0 0 154090 9459 9826 7374 6649 6119 6254 5994

New Mexico Total 1057 1507 2060 3741 3943 3259 3219 3224 3275 3402

Brady 820 923 1226 2259 2415 2141 2254 2054 2098 1953
Appendix III: Protection Orders in the National 

Crime Information Center Protection Order File 

for States, District of Columbia, and 

Territories, 2006 through 2015

Page 47 GAO-16-483 Gun Control

State Category 2006 2007 2008 2009 2010 2011 2012 2013 2014 2015

Nevada Total 1 1 8 19 15 43 52 36 30 48

Brady 0 0 7 8 9 10 22 18 18 39

New York Total 57195 57933 55813 77576 75967 78545 77670 82211 148427 153636

Brady 43469 35415 26038 36775 32746 31116 30392 25085 45427 75868

Ohio Total 35447 37100 38938 38411 37748 34784 32574 31167 29204 28261

Brady 20472 21134 21583 21809 21605 20907 19865 18933 17459 17837

Oklahoma Total 1456 1794 1458 2162 2117 1652 1643 1974 1738 2321

Brady 352 398 318 1034 759 590 520 562 581 500

Oregon Total 12033 12540 12795 13118 13493 14791 14898 14614 14367 15129

Brady 1716 1822 1846 1847 1288 996 825 684 635 612

Pennsylvania Total 15016 14640 14562 15367 15085 14460 14324 13367 12356 12276

Brady 9293 9639 9576 8280 8054 7822 7686 7039 6649 6478

Puerto Rico Total 0 0 2 0 0 0 0 0 0 0

Brady 0 0 0 0 0 0 0 0 0 0

Rhode Island Total 4664 4572 5189 6767 10412 9739 10063 8626 9385 10142

Brady 1347 834 1650 1294 1358 1687 2182 1731 2190 3785

South Carolina Total 3629 3821 3621 3684 3536 3627 3162 3098 2765 2810

Brady 2572 2834 2412 2448 2326 2419 2178 2101 1902 1912

South Dakota Total 1167 1286 1363 1341 1322 1239 1274 1204 1112 1245

Brady 308 324 286 273 313 355 351 280 275 291

Tennessee Total 9239 10008 10599 10666 10510 10137 9591 9085 8655 8619

Brady 6735 6622 6827 7232 6976 6766 6026 5731 4879 4523

Texas Total 11144 12547 13726 16659 19099 19608 18934 19935 20255 20738

Brady 10713 10642 8037 5665 4808 4969 4301 2943 2005 2169

Utah Total 0 12240 1236 6957 462 941 14008 6004 1732 8788

Brady 0 1547 74 697 93 139 0 0 0 0

Virginia Total 20917 29498 13022 12618 14389 16948 19564 17795 15775 15254

Brady 9791 15276 7711 7832 7823 7781 8300 7687 8199 7998

Virgin Islands Total 0 0 255 99 99 85 72 60 79 82

Brady 0 0 242 86 99 70 67 41 51 60

Vermont Total 1441 1457 1448 1446 1420 1424 1488 1370 1408 1311

Brady 1080 1056 997 887 859 779 903 883 876 767

Washington Total 48105 49972 50153 51643 51840 50590 49704 48202 47603 50688

Brady 24563 24294 24442 23652 23177 23280 23707 22497 22773 23924

Wisconsin Total 7181 7014 6556 7149 7286 6730 7131 6527 6325 6062

Brady 3973 3941 3818 3936 3800 3573 3680 3640 3449 3285

West Virginia Total 30 28 201 2044 4788 971 5295 4509 1161 1965
Appendix III: Protection Orders in the National 

Crime Information Center Protection Order File 

for States, District of Columbia, and 

Territories, 2006 through 2015

Page 48 GAO-16-483 Gun Control

State Category 2006 2007 2008 2009 2010 2011 2012 2013 2014 2015

Brady 5 0 174 789 232 0 0 3 2 2

Wyoming Total 961 1074 1033 1299 1155 1066 998 939 897 1011

Brady 579 574 619 781 688 644 615 628 583 718

Total 

Protection 

Orders 721914 781463 892307 818617 864378 816180 818353 793652 843744 907300

Legend:

Total = Total protection orders active during the year

Brady = Total protection orders with a disqualifying Brady Indicator. The Brady Indicator flags protection orders related to domestic violence that prohibit 

the individual from receiving or possessing firearms under federal law.

Source: GAO analysis of Federal Bureau of Investigation data. | GAO-16-483

Note: The data only include protection orders that were active at some point during the calendar year, 

including protection orders that expired or were subsequently cancelled.
Appendix IV: Comments from the Department 

of Justice

Page 49 GAO-16-483 Gun Control

Appendix IV: Comments from the 

Department of Justice
Appendix IV: Comments from the Department 

of Justice

Page 50 GAO-16-483 Gun Control
Appendix V: GAO Contact and Staff 

Acknowledgments

Page 51 GAO-16-483 Gun Control

Gretta L. Goodwin, (202) 512-8777, GoodwinG@gao.gov

In addition to the contact named above Eric Erdman, Assistant Director, 

and Andrew Curry, Analyst-in-Charge, managed this assignment. 

Winchee Lin, John Hocker, Billy Commons, Dominick M. Dale, Michele C. 

Fejfar, Eric D. Hauswirth, and John Yee made significant contributions to 

the work.

Appendix V: GAO Contact and Staff 

Acknowledgments

GAO Contact

Staff 

Acknowledgments

(441295)
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