The Davis Law Firm has obtained the final reports on audits of the California Department of Justice – Bureau of Firearms and their compliance with the Point of Contact requirements. California’s history as a NICS POC state reflects a generally strong compliance record, with audits from 2008 to 2017 showing no issues. However, as demonstrated in a previous post, they also demonstrate how California abandoned its duty to provide a state-level appeals process, and the 2020 audit revealed challenges with system updates and unauthorized NICS use, highlighting areas for improvement. These reports, linked below, offer a detailed look at how California complies with federal laws.
Why the State of California Undergoes NICS Audits as a Point of Contact State
The National Instant Criminal Background Check System (NICS) is a critical tool administered by the FBI to ensure that firearms are not transferred to prohibited individuals under federal or state law. California, as a designated Point of Contact (POC) state, takes on the responsibility of conducting NICS background checks for firearm purchases within its jurisdiction, rather than relying solely on the FBI’s NICS Operations Center. As a POC state, California must adhere to federal guidelines outlined in the Brady Handgun Violence Prevention Act of 1993 and related regulations, ensuring consistent and lawful application of background check processes. To verify compliance and maintain the integrity of the system, the FBI’s Criminal Justice Information Services (CJIS) Division conducts triennial audits of POC states like California. These audits assess administrative policies, data quality, and operational procedures to ensure that the California Department of Justice Bureau of Firearms (CalDOJBOF) meets federal standards, providing a uniform level of service to Federal Firearms Licensees (FFLs) and protecting public safety.
Below are summaries of the final NICS audit reports for California, spanning from 2008 to 2020, based on the documents provided. Each summary is crafted for inclusion in a blog post, with links to the full reports to be attached at the end.
The following are the results of a Response from the Federal Bureau of Investigation to a Freedom of Information Act Request submitted by the Davis Law Firm.
The 2008 audit, conducted by the FBI CJIS Audit Unit, found the California Department of Justice Bureau of Firearms (CalDOJBOF) to be in full compliance with federal NICS guidelines. Auditors praised the CalDOJBOF staff for their knowledge and willingness to assist, reviewing key areas such as transaction logging, operational environment, appeals, security/training, and protection orders. California’s processes, including its use of the Consolidated Firearms Information System (CFIS) and a robust appeals process, met or exceeded federal standards. Notably, the state had ceased using NICS for its Personal Firearms Eligibility Check program following an agreement with the FBI, aligning its usage with authorized purposes like concealed carry permits and dealer licenses.
The 2011 audit reaffirmed California’s strong compliance with NICS regulations. The FBI CJIS Division reviewed 50 permits and 400 NICS Index records submitted by CalDOJBOF, finding no issues requiring corrective action. The report highlighted compliance across all assessed policies, including POC operations, federal denial criteria (e.g., felony convictions, mental health adjudications), and NICS Index data integrity. California’s adherence to federal standards ensured that its background check system remained reliable and consistent with the Brady Act’s requirements.
In the 2014 audit, the FBI again found CalDOJBOF fully compliant, with no corrective actions needed. The audit examined 30 NICS denial notifications, 100 firearm permits, and 350 NICS Index records, confirming adherence to policies like POC determination messaging, retention/destruction rules, and appeal management. California’s processes for conducting Immigration Alien Queries (IAQs) and safeguarding system data were also praised. This report underscored the state’s ongoing commitment to maintaining a secure and lawful NICS operation.
The 2017 audit, summarized in a June 2018 letter, marked another clean review for California. The FBI CJIS Audit Unit assessed the California Department of Justice against applicable laws and policies, finding no instances of noncompliance. The lack of findings meant no corrective action was required, and the results were forwarded to the CJIS Advisory Policy Board and the National Crime Prevention and Privacy Compact Council for review, affirming California’s exemplary performance as a POC state.
The 2020 audit identified three areas of noncompliance, a departure from California’s prior perfect record. First, outdated Purpose Identifications (IDs) since 2010 led to misprocessed transactions, which the state corrected by January 2021. Second, the CalDOJBOF was found using NICS for unauthorized purposes, such as checks for ammunition vendors and personal eligibility, expanding beyond federal allowances. The FBI had previously flagged this issue in 2006, noting that such “pre-purchase” checks lacked NICS authority. Third, documentation gaps in 25 of 100 permit transactions raised concerns about authorized use. While California addressed the technical issues, the unauthorized use findings remain under the formal sanctions process.