The NICS is a national system that checks available records in three databases to determine if prospective transferees are disqualified from receiving firearms. It is administered by the Federal Bureau of Investigation (FBI). A NICS check includes a check of the following three databases that are maintained by the FBI:
- Interstate Identification Index (III), a database of criminal history record information,
- National Crime Information Center (NCIC), which includes information on persons subject to civil protection orders and arrest warrants
- NICS Indices, which includes the information contributed by federal and state agencies identifying persons prohibited from possessing firearms who are not included in the III or NCIC, such as persons with a prohibiting mental health history or who are illegal or unlawful aliens.
When the transferee is not a U.S. citizen, a separate query is run to confirm the transferee's immigration status. If a NICS check identifies a person as falling within a prohibited category, the FBI advises the FFL that the transfer is "denied." Individuals can appeal denials and seek correction of information in the FBI databases by either applying to the FBI or the federal or state agency that contributed the information to the FBI.
The Gun Control Act of 1968, as amended, 18 U.S.C. 921, et seq., establishes the following categories of persons who are prohibited from receiving or possessing a firearm: Any person pursuant to 18 U.S.C. 922(g) or (n) who—
- has been convicted in any court of a crime punishable by imprisonment for a term exceeding one year
- is a fugitive from justice
- is an unlawful user of or addicted to any controlled substance
- has been adjudicated as a mental defective or who has been committed to a mental institution
- is an illegal or unlawful alien or a non-immigrant alien (with certain exceptions)
- has been discharged from the Armed Forces under dishonorable conditions
- having been a citizen of the United States, has renounced his citizenship
- is subject to a domestic violence protection order that meets certain requirements
- has been convicted in any court of a misdemeanor crime of domestic violence
- is under indictment for or has been charged with a crime punishable by imprisonment for a term exceeding one year.
Section 922(g)(4), Title 18, United States Code, prohibits the receipt or possession of firearms by an individual who has been "adjudicated as a mental defective" or "committed to a mental institution." Regulations issued by the Bureau of Alcohol, Tobacco, Firearms and Explosives (ATF), 27 C.F.R. § 478.11, define these terms as follows:
Adjudicated as a mental defective.
(1) A determination by a court, board, commission, or other lawful authority that a person, as a result of marked subnormal intelligence, or mental illness, incompetency, condition, or disease—
- is a danger to himself or to others
- lacks the mental capacity to contract or manage his own affairs.
(2) The term shall include —
- a finding of insanity by a court in a criminal case
- those persons found incompetent to stand trial or found not guilty by reason of lack of mental responsibility pursuant to articles 50a and 72b of the Uniform Code of Military Justice, 10 U.S.C. 850a, 876b.
Committed to a mental institution. A formal commitment of a person to a mental institution by a court, board, commission, or other lawful authority. The term includes a commitment to a mental institution involuntarily and a commitment for mental defectiveness or mental illness. It also includes commitments for other reasons, such as for drug use. The term does not include a person in a mental institution for observation or a voluntary admission to a mental institution.
No. The NICS does not maintain a database of medical records or information on mental health diagnoses or treatment plans. When a record of a person prohibited from possessing a firearm as a result of mental health issues (i.e., a person who has been involuntarily committed to a mental institution or adjudicated a "mental defective" by a court, board, or other lawful authority) is entered in the NICS Indices, the entry contains only a name, other biographic identifiers (e.g., date of birth), and codes for the submitting entity and prohibited category. The NICS Indices does not contain medical records or medical information.
When information about such adjudications and commitments is provided to the NICS, the FBI can deny firearm transfers to persons with disqualifying mental health histories, both in the state where the record was created and in other states to which the individual may have subsequently moved.
The information in the NICS is subject to the Privacy Act and the privacy of the information is protected in a number of ways. The only responses provided by the NICS to a request for a NICS check is "Proceed," "Denied," or "Delayed." In cases of a "Denied" response, neither the general prohibiting category nor information about the specific event that places an individual in that prohibited category is provided to the FFL. The individual, however, is able to request information about the reason for the denial from the FBI and can appeal the denial and seek to correct incomplete or inaccurate information in the system upon which the denial is based.
In addition, as noted above, the information identifying mental health adjudications or commitments contributed by federal and state agencies is maintained in the NICS Indices. The regulations governing the NICS limits the use of the NICS Indices to (1) checks under the Brady Act by FFLs of proposed firearms transferees; (2) checks by federal, state, or local criminal justice agencies in connection with the issuance of a firearms-related or explosives-related license or permit; and (3) requests by ATF in connection with civil or criminal law enforcement relating to the federal Gun Control Act (18 U.S.C. Chapter 44) or National Firearms Act (26 U.S.C. Chapter 53). Checks of the NICS Indices for general law enforcement purposes are not permitted under the regulations. See 28 CFR. 25.6(j).
The NIAA seeks to improve the information available to the NICS, so that the system can more accurately identify prohibited persons, by—
- enhancing the Brady Act requirement that federal departments and agencies provide relevant information to the NICS
- providing incentives to states to submit complete information to the Attorney General on persons prohibited from receiving or possessing firearms through—
- authorizing new grant programs for state executive and judicial branch agencies to improve information available to the NICS
- providing for Byrne Justice Assistance Grant (JAG) program penalties for states that do not comply with the Act's record completeness goals.
FOR STATES: The NIAA has provisions that encourage states to meet specified goals for completeness of the records submitted to the Attorney General on individuals prohibited by federal law from possessing firearms. The records covered include automated information needed by the NICS to identify felony convictions, felony indictments, fugitives from justice, drug arrests and convictions, federally prohibiting mental health adjudications and commitments, domestic violence protection orders, and misdemeanor crimes of domestic violence. The Act provides for a number of incentives for states to meet the goals it sets for greater record completeness.
- First, the Act allows states to obtain a waiver, beginning in 2011, of the National Criminal History Improvement Program's (NCHIP) state matching requirement for NCHIP grants, if a state provides at least 90 percent of its records identifying the specified prohibited persons.
- Second, the Act authorizes a separate grant program to be administered consistent with NCHIP, for state executive and judicial agencies to establish and upgrade information automation and identification technologies for timely submission of final criminal record dispositions and other information relevant to NICS checks. Up to 5% of the grants may be reserved for Indian tribal governments and judicial systems.
- Finally, the Act provides for discretionary and mandatory Byrne grant penalties for non-compliance with record completeness requirements: During the 2-year period beginning 3 years after the date of enactment of the Act, up to 3% may be withheld in the case of less than 50% completeness; during the 5-year period beginning 5 years after the date of enactment of the Act, up to 4% may be withheld in the case of less than 70% completeness; thereafter, 5% must be withheld in the case of less than 90% completeness (although the mandatory reduction can be waived if there is substantial evidence of the state making a reasonable effort to comply).
IN THE FEDERAL SYSTEM: The NIAA creates an independent statutory obligation for federal agencies to report records identifying prohibited persons to the Attorney General no less than quarterly. It also requires federal agencies that issue prohibiting mental health adjudications or commitments establish a program under which a person subject to such an adjudication or commitment can apply for relief from his or her firearms disability according to standards under 18 U.S.C. § 925(c). Additionally, the Act provides that a prohibiting adjudication or commitment issued by a federal agency or department may be nullified in certain instances by a qualified set aside, expungement, release from mandatory treatment, or other specified means.
CHANGE TO THE MENTAL HEALTH PROHIBITOR: Prior to the NIAA, section 922(g)(4) was effectively a lifetime prohibition on possessing firearms by any person "who had been adjudicated a mental defective or who has been committed to a mental institution." The Act, however, provides that when relief is granted under a federal or state relief from disabilities program that meets the requirements of the Act, or when certain automatic relief conditions are met with respect to persons federally adjudicated or committed, the event giving rise to the mental health disability is "deemed not to have occurred" for purposes of the federal firearm prohibition.
There are two conditions that each state must satisfy before being eligible to receive grants:
- First, a state must provide to the Attorney General a "reasonable estimate," based on a methodology established by the Attorney General, of records subject to the Act's completeness requirements.
- Second, a state must certify, to the satisfaction of the Attorney General, that the state has implemented a program permitting persons who have been adjudicated a mental defective or committed to a mental institution to obtain relief from the firearms disabilities imposed by law as a result of such adjudication or commitment. This relief must be granted, in accordance with principles of due process, by a state court, board, commission, or other lawful authority. The relief must be based on a finding that the circumstances of the disability and the person's record and reputation are such that the person will not be likely to act in a manner dangerous to the public safety and that the granting of relief would not be contrary to the public interest.
Before the enactment of the NICS Improvement Act, a person's adjudication as a mental defective or commitment to a mental institution was effectively a lifetime prohibition. Concerns were expressed to Congress about the permanence of this prohibitor and the life-long effect it would have on persons whose mental health adjudication or commitment records would be provided to the NICS under the Act's provisions. To address these concerns, the Act included not only provisions to require or promote the sharing of the existence of information about this disability for use by the NICS, but also provisions that require or authorize the establishment of federal and state programs that allow individuals to seek relief from the federal mental health firearms disability if circumstances warrant. As of December 2017, 31 states have enacted relief programs that have been certified by the state and approved by ATF.