Attachments to Nonsubstantive Change Request

Attachments to Nonsubstantive Change Request - FIST collection.pdf

Firearms Inquiry Statistics (FIST) Program

Attachments to Nonsubstantive Change Request

OMB: 1121-0314

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Attachments

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

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

Start Date

Target
Complete

July
July
July
July
July
August
August
October
July
July
Continuous

July
July
July
July
July
August
September
October
October
October

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

October
December
December
March (2014)
March (2014)

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

Prepare responses to OMB on 2012 FIST redesign

November

January (2014)

Date
Completed

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

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

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

•

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

Attachment III. Proposed FIST Sample Determination and Allocation
Information for the FIST data collection will be obtained from state agency reporters (thirty-two states), statewide censuses of local checking agencies
(seven states plus Washington, D.C. and some local checking agencies from Michigan), and a sample of local checking agencies in four states. This
decision equates to a total data collection of 791 checking agencies plus the FBI NICS data.
In the four states in which agencies are to be sampled (GA, MN, NE & WA), a stratified sample based on population size will be created that roughly
equates to the following Categories: 1) rural – places of less than 10,000 population; 2) small cities – places of between 10,000 and 99,999 population; 3)
small metropolitan areas – places of between 100,000 and 199,999 population; and 4) large metropolitan areas – places of 200,000 or more population.
These population categories were selected to be consistent with definitions of various census place levels. They also allow the proposed collection to
maintain some consistency with portions of the methodology of past FIST collections. Further, using population categories in this manner was
determined to be an efficient mechanism for dividing the FIST universe in a way that kept the collection within current budgetary constraints while
allowing for a stratification and estimation strategy that would keep the burden close to the level approved by OMB.
The optimal situation would be to stratify these four states individually. However, this approach proved to be problematic because the correlated variable
used to estimate variance (number of applications in 2010) had information for all strata in only one of the four states. The other three states each had
empty or a singular report of information in different strata. Without the estimate of variance, a stratified sample could not be determined individually for
each of the four states. Consequently, it was decided to utilize a simple random sample, proportional to size, for each state. This increased the sample
size sufficiently such that an estimate and resulting confidence interval can be determined for each of these four states.
The following formula was used to determine the sample size and weight allocation for the stratified sample of the four states taken as a group.

The formula used is:

𝑛=

𝑁𝑖2 𝜎𝑖2�
∑
𝑤𝑖

𝑁2 𝐷+∑ 𝑁𝑖 𝜎𝑖2

where

𝐷=

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

𝐵2
4

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

The formula used is:

𝑛=

𝑁𝜎 2

𝑁2 𝐷+𝜎 2

where

𝐷=

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

𝐵2
4

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

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

Population

Category

Size

States w POCs in

Sub

SRS prop to size

Sample

Add a

Add b

Census States

Sub

Other

Total
Sample

State-level
DC

Size

Reporters

Category 1

1 to 9999

181

266

Category 2

10000 to 99999

126

350

Category 3 100000 to 199999 16

Category 4

2
3

2
99

1
44

0
56

10
100

2
17

14
59

200000+

9
108

2
69

2
98

7
78

353

SRS n

334

Bound on error

100

Reserve Sample
Category 1

1 to 9999

Category 2

10000 to 99999

16
21

20
64

4
21

28
45

731

791

151

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

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

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

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

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

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

MAIL: FIST

Attachment VI. Revised survey

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

FORM FIST-1

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

2012 FIREARMS INQUIRY STATISTICS (FIST)
Annual Survey of Background Checks for Firearm Transfers and Permits
Please correct any errors in the name and address information that is printed below.

OFFICIAL AGENCY NAME (If different from above)
9-DIGIT NCIC-ORI NUMBER
PERSON COMPLETING THE FORM
NAME

TITLE

TELEPHONE

FAX

E-MAIL ADDRESS
IMPORTANT – Please answer the following questions before proceeding with the questionnaire. Mark [X] the
appropriate box below.
Did your agency conduct background checks for firearm transfers or permits at any time between
January 1, 2012 and December 31, 2012?
Yes
No
If no, the authorized checking agency for
your jurisdiction is :

(Agency Name)

If your response to the above question is “No” or if any of the following conditions apply, you do not need to
complete the questionnaire. Mark an [X] in the appropriate box below and return the survey using the
instructions below.
Agency no longer in existence
Agency employed only part-time officers AND the total combined hours of work for these officers averaged less
than 35 hours per week
RETURN INSTRUCTIONS
• Please submit your completed form by using the web reporting option at https://websurvey.rejis.org/FIST2012,
mailing it to the Regional Justice Information Service (REJIS) in the enclosed postage paid envelope, or faxing each
page to 1-314-535-1729.
• If you have any questions, comments, or feedback about the survey, please call the FIST project manager toll free
at 1-800-531-2150, or send an e-mail to fist@rejis.org.
• Please retain a copy of your completed survey for 1 year.
Burden Statement
Federal agencies may not conduct or sponsor an information collection, and a person is not required to respond to a collection of information, unless it displays a
currently valid OMB Control Number. Public reporting burden for this collection of information is estimated to average 25 minutes per response, including time for
reviewing instructions, searching existing data sources, gathering and maintaining the data needed, and completing and reviewing the collection of information. Send
comments regarding this burden estimate, or any other aspects of this collection of information, including suggestions for reducing this burden, to the Director, Bureau of
Justice Statistics, 810 Seventh Street, NW, Washington, DC 20531. The Omnibus Crime Control and Safe Streets Act of 1968, as amended (42 USC 3732), authorizes this
information collection.

•
•
•
•
•
•
•

INSTRUCTIONS FOR COMPLETING THE FORM
Please mark ‘X’ in the appropriate boxes.
If possible, please answer all questions for the entire calendar year (January through December) 2012. If data are
available for only part of the year, please supply any available information in the spaces provided.
If the answer to a question is “not available” or “unknown,” write “DK” in the space provided.
If the answer to a question is “not applicable,” write “NA” in the space provided.
If the answer to a question is “none” or “zero,” write “0” in the space provided. Please respond with zero only when
the actual total reported count is zero, as opposed to when the data are not known or unavailable.
When an exact numeric response is not available, provide an estimate and mark the estimate box next to the
number field. Please provide a brief explanation in Section V to describe how the estimates were calculated.
Please do not leave any items blank in unless otherwise directed.
Section I –AGENCY CHARACTERISTICS

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

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

Yes

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

Don’t know

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

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

______ /______ /___________
mm/ dd/ yyyy

c. Name of old/new designated
checking agency:

Agency Name

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

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

a. Point of transfer checks
(if applicable)

8. For denials issued in 2012, why was the application
denied? List total counts (including zeros, where
applicable) for each reason for a denial (please include
all federal, state, and local law reasons for denial within
the most appropriate category). Mark ‘x’ in the
checkbox provided for any estimated counts.
Concealed
Point of Purchase
carry
Transfer Permit
Permit

____________

b. Purchase permits
(if applicable)

____________

c. Concealed carry permits
(if applicable)

____________

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

6. Between January 1, 2012, and December 31, 2012,
how many applications were denied? A denial
occurs when an applicant is prohibited from receiving
a firearm or permit that can be used to obtain a
firearm because a disqualifying factor was found
during a background check.
Mark ‘x’ if
estimate

a. Point of transfer checks
(if applicable)

____________

b. Purchase permits
(if applicable)

____________

c. Concealed carry permits
(if applicable)

____________

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

c. Felony arrest with
no disposition.............
d.Fugitive or
outstanding
warrant..........................
e. Domestic violence
misdemeanor…...........
f. Domestic violence,
protective or
restraining order........
g.Addicted to or
unlawful user of a
controlled
substance.....................
h. Mental health
commitment or
adjudication....…......…
i. Illegal or unlawful
alien………................…...
j. State law prohibitor
(if not included in
above categories)….....
k. Local law prohibitor
(if not included in
above categories)….....
l. Other reasons not
included above
(including juveniles
and dishonorable
discharge).....................

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

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

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

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

a. Point of transfer checks
(if applicable)

____________

b. Purchase permits
(if applicable)

____________

c. Concealed carry permits
(if applicable)

____________

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

Section III –ARRESTS AND APPEALS

Yes

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

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

a. Point of transfer checks
(if applicable)

____________

b. Purchase permits
(if applicable)

____________

c. Concealed carry permits
(if applicable)

____________

a. Point of transfer checks
(if applicable)

____________

b. Purchase permits
(if applicable)

____________

c. Concealed carry permits
(if applicable)

____________

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

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

a. Point of transfer checks
(if applicable)

____________

b. Purchase permits
(if applicable)

____________

c. Concealed carry permits
(if applicable)

____________

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

a. Point of transfer checks
(if applicable)

____________

b. Purchase permits
(if applicable)

____________

c. Concealed carry permits
(if applicable)

____________

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

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

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

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

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

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

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

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

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

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

Attachment IX. Screenshots of web-based FIST survey form

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

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

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

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

Washington, D.C. 20531

January __, 2013
Name / Address

Dear ___:
Within the next week you will receive via a request to
complete a brief survey for the Firearm Inquiry Statistics (FIST) Program. The Regional Justice Information
Service (REJIS) is the data collection agent for the FIST Program and is authorized to collect data on behalf of
BJS.
BJS began the FIST Program in 1995 to provide national estimates of the total number of firearm purchase
applications received and denied pursuant to the Brady Act and similar state laws. The FIST program collects
counts of firearm transfers and permit checks conducted by state and local agencies and combines this
information with the Federal Bureau of Investigation (FBI) National Instant Criminal Background Check
System (NICS) transaction data to produce national estimates of background check activity. Additional
information on reasons for denials, appeals of denials, and law enforcement actions the FBI and the Bureau of
Alcohol, Tobacco, Firearms, and Explosives (ATF) take against denied persons is also collected.
Our records indicate that your agency currently conducts for the state of
. You are receiving this letter to request in advance your cooperation in this important data collection
initiative. A survey will be enclosed with the request to participate in the FIST data collection that you will
receive next week as well as instructions on how to complete a new web-based version of the survey. We
anticipate that the completion of the survey will take you approximately 25 minutes and REJIS will be available
to answer any questions you may have about the survey or FIST Program.
Your participation in this data collection is critical to help ensure the reliability of the national estimates
produced for firearm background check activities. BJS and REJIS thank you in advance for your support of the
FIST Program and participation in the 2012 data collection. Should you have any immediate questions please
contact Allina Lee, FIST Program Manager, at 202-305-2696, or Allina.Lee@usdoj.gov.

Sincerely,

Gerard R. Ramker
Deputy Director, BJS

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

Washington, D.C. 20531

January __, 2013
Name / Address

Dear ___:
Since 1995, the Bureau of Justice Statistics (BJS) has conducted the Firearm Inquiry Statistics (FIST) survey.
With assistance from the Regional Justice Information Service (REJIS) of Saint Louis, Missouri, BJS has
collaborated with federal, state, and local agencies to provide data on firearm transfers and permits that are
regulated by the Brady Act and similar state laws. We are requesting your participation in this important data
collection to obtain data on background check activities conducted by your agency during calendar year 2012.
Data provided by your agency and other background checking agencies from across the nation will be combined
with information obtained from the Federal Bureau of Investigation (FBI) and the Bureau of Alcohol, Tobacco,
Firearms, and Explosives (ATF) to produce 2012 national estimate of firearm applications and denials, along
with reasons for denials, appeals, and arrests. The data obtained will be published in the “Background Checks
for Firearm Transfers” series on the BJS website (www.bjs.gov).
The survey form enclosed is designed to capture your data for the 2012 calendar-year. Instructions for
completing and returning the survey are included on the form. You may return the form by mail via the enclosed
postage-paid envelope, by fax to 314-535-1729, or by email to fist@rejis.org. There is also the option of
entering your data on our secure web site. To complete the survey online, please go
to https://websurvey.rejis.org/FIST2012 and enter your User ID (Agency ID) and Password (psswd1). This
unique identifying information can be found in the enclosed packet. We would greatly appreciate your return
of a completed survey by ____ __, 2013.
Participation by your agency and other agencies in this voluntary effort has provided a wealth of data for
policymakers, researchers, administrators, and others who use the data to study background check trends and
activities nationwide and to understand the impact of the Brady Act and its enforcement. Please note that the
data collected are summary statistics of an administrative nature and do not allow for identification of any
individual. Data collected are in the public domain and are not subject to confidentiality assurances.
Thank you for your support of the FIST Program and contributions to the FIST data collection. BJS and REJIS
greatly appreciate your efforts. You may direct general comments, feedback, or questions about the FIST
Program to the REJIS FIST Project Manager at 1-800-531-2150, or send an e-mail to fist@rejis.org.
Sincerely,
Gerard F. Ramker
Deputy Director, BJS

<>
On _________, 2013, a survey on background check activity for firearm transfers and permits (FIST) was mailed to you as part of the Firearm Inquiry Statistics
(FIST) data collection effort by the Bureau of Justice Statistics (BJS), United States Department of Justice. The Regional Justice Information Service (REJIS) is
the data collection agent authorized by BJS to collect data for this collection.
If you have already completed and returned the survey, please accept our sincere appreciation. If not, we request that you do so as soon as possible so that we
can complete our efforts to produce national estimates of the total number of transfer and permit applications and denials resulting from the Brady Act and
similar state laws. Your efforts are critical to ensure the reliability of these estimates.
If you did not receive the survey or if it was misplaced, please call us toll-free at 1-800-531-2150 and we will send you another one right away. You can also
complete the survey online at https://websurvey.rejis.org/FIST2012. Directions including your username and password were included in the information packet
we sent you. Please call us at the above number if you need help accessing this information.
Thank you again for your efforts.
Jennifer C. Karberg, FIST Project Manager, REJIS

Date

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

Name
Title
Address
Dear ______ :

www.rejis.org

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

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

Dr. William R. Powell, Jr.
General Manager

We are following up with you to again request your participation in the FIST data
collection and convey the importance that your agency’s totals will have on our
efforts to obtain accurate data for the “Background Checks for Firearm Transfers”
series published on the BJS website (www.bjs.gov). This series provides a national
estimate of firearm background check activity pursuant to Brady Act and similar
state laws. Your input is critical to ensure the reliability of these estimates.
If you have already submitted your agency’s data for 2012 and we simply have not
yet received it, we sincerely thank you for your participation. If you still need to
submit your data, a survey is enclosed with this letter to collect information on the
background check activities conducted by your agency in 2012. The materials can be
returned by fax to 314-535-1729, by email (fist@rejis.org), or by mail to the address
listed on the accompanying postage-paid envelope. We encourage you to also avail
yourself of the secure Web reporting option as well. To complete the survey online,
please go to https://websurvey.rejis.org/FIST2012 and enter your User ID (Agency
ID) and Password (psswd1). In order for us to complete our analyses of the 2010
data, please complete the online survey or return the completed survey and your
signed review by __________, 2013.
Thank you for your assistance and participation in this important effort. If you have
any questions, comments, or concerns about this request, or if there is any way we
may be of assistance to you, please contact us by phone at 1-800-531-2150 or by
email at FIST@rejis.org.
Sincerely,

Jennifer C. Karberg, FIST Project Manager
Enclosures

FIST Phone Script
Hello, my name is (insert name) and I am calling from the Regional Justice Information Service
on behalf of the Bureau of Justice Statistics, United States Department of Justice. May I please
speak with (CONTACT)? [If contact no longer there, ask for person in charge of (insert state
terminology).
(Caller can leave contact information if leaving a message).
(Again) Hello, my name is (insert name) and I am calling from the Regional Justice Information
Service. We are working with the Bureau of Justice Statistics to conduct the Firearm Inquiry
Statistics Program survey – also known as FIST.
Are you familiar with the FIST program? If yes, continue to next question. If no, provide a brief
explanation of purpose and data collected: Since 1995, BJS has been providing national
estimates of the total number of firearm purchase applications received and denied pursuant to
the Brady Act and similar state laws. The FIST program collects counts of firearm transfers and
permit checks conducted by state and local agencies and combined this information with FBI
transaction data to produce national estimates of background check activity. Additional
information on reasons for denials, appeals, and law enforcement actions the FBI and ATF take
against denied persons is also collected.
We have previously mailed two surveys to your agency but have not received a response, so I
am calling to see if you received the survey. [If no, offer to send another copy] [If yes, would
you be able to fill out the survey or complete the online version. Provide directions for the
Web-based form?]
[If respondent needs details of survey]:
We are asking for summary data on background checks for (use state terminology), which you
could report on the survey for (use FIST terminology).
•

Point – of – transfer background checks for firearm transfers

•

Background checks on permits to purchase a firearm (Purchase Permit)

•

Background checks on permits to carry a concealed weapon or purchase a
firearm (Carry Permit)

•

Background checks on permits both to just purchase a firearm, or to carry a
concealed weapon and/or purchase a firearm (P&C Permits)

•

Background checks on permits for a handgun license to purchase a firearm (NY –
Purchase Permit)

•

Background checks on permits to purchase a firearm (WA - Purchase Check)

We anticipate that the survey will take about 25 minutes to complete and we are more than
happy to walk you through it and discuss any questions you may have. This data collection is
very important because it highlights the application and denial rates for firearm background
checks being conducted throughout the country. Your agency’s responses are critical to ensure
that BJS is able to produce the most reliable national estimates of firearm background check
activity.
(After phone data collection or a promise to return data at a later time)
We and the Bureau of Justice Statistics sincerely appreciate your time and efforts on this
important initiative.

File Type	application/pdf
Author	Jennifer C. Karberg
File Modified	2013-06-25
File Created	2013-06-24