Chapter 19 National Instant Criminal Background Check System - NICS

Table of Contents SECTION 01: I. II. III. IV. V. VI. INTRODUCTION ..................................................................................
PURPOSE OF THE NATIONAL INSTANT CRIMINAL BACKGROUND CHECK SYSTEM (NICS) .... 2 AUTHORIZED ACCESS TO THE NICS ............................................................................ 2
...................................................... 3 RETENTION REQUIREMENTS FOR THE NICS ................................................................. 4 NICS TRAINING ........................................................................................................ 4 QUESTIONS RELATED TO THE NICS ............................................................................ 4
FEDERAL AND STATE LAWS RELATED TO THE NICS
SECTION 02: I.
MESSAGE FIELD CODES AND EDITS .............................................. 5
MESSAGE FIELD CODES AND EDITS ............................................................................ 5
SECTION 03: I. II. III. IV. V.
NICS CHECKS AND NOTIFICATIONS ............................................. 13
.................. 13 GUIDELINES FOR NICS CHECKS ............................................................................... 16 REQUIREMENTS FOR NICS CHECKS .......................................................................... 17 REQUIREMENTS FOR NICS NOTIFICATION MESSAGES ................................................. 19 EXAMPLE OF NICS CHECK RESPONSES ..................................................................... 20
MESSAGE KEYS AND FIELD CODES FOR NICS CHECKS AND NOTIFICATIONS
SECTION 04: I. II. III. IV. V. VI. VII. VIII. IX.
NICS INDEX ....................................................................................... 25
MESSAGE KEY (MKE) CODES FOR NICS INDEX ........................................................... 25 MESSAGE FIELD CODES AND EDITS FOR NICS INDEX .................................................. 25 NICS INDEX OVERVIEW ........................................................................................... 27
................................................................................................ 28 NICS INDEX ENTRY ................................................................................................. 28 NICS INDEX MODIFICATION ...................................................................................... 29 NICS INDEX SUPPLEMENTAL .................................................................................... 30 NICS INDEX CANCEL ............................................................................................... 30 EXAMPLE OF NICS INDEX RESPONSES ...................................................................... 31
NICS INDEX QUERY
SECTION 05: I. II. III. IV.
NICS DENIED TRANSACTION FILE INQUIRY ................................. 33
MESSAGE FIELD CODES FOR NICS DENIED TRANSACTION FILE INQUIRY ........................ 33 GUIDELINES FOR NICS DENIED TRANSACTION FILE INQUIRY ........................................ 33
.................................. 34 EXAMPLE OF NICS DENIED TRANSACTION FILE INQUIRY .............................................. 34

REQUIREMENTS FOR NICS DENIED TRANSACTION FILE INQUIRY
ACCESS Operations Manual Revised March 2013
National Instant Criminal Background Check System (NICS)
Chapter 19-1
CHAPTER 19:
SECTION 01: Procedure #: Supersedes: Applies To: 19.01.000 ACCESS Manual 2012 Edition All ACCESS Users
NATIONAL INSTANT CRIMINAL BACKGROUND CHECK SYSTEM (NICS) INTRODUCTION Effective Date: See Also: CALEA: October 1, 2012
I.
PURPOSE OF THE NATIONAL INSTANT CRIMINAL BACKGROUND CHECK SYSTEM (NICS) A. The National Instant Criminal Background Check System (NICS) is a computerized system designed to immediately determine if a person is disqualified from receiving or possessing firearms by conducting a search of available records. The NICS was implemented as a result of the attempted assassination of former President Ronald Reagan on March 30, 1981, in which former Press Secretary James Brady and two other law enforcement officials were wounded. Since the shooting, Mr. Brady and his wife, Sarah, have spent much time lobbying for stronger gun laws. On November 30, 1993, President William J. Clinton signed the Brady Handgun Violence Prevention Act of 1993 (Brady Act) into law. The Brady Act required the Attorney General to establish the NICS so that Federal Firearms Licensees (FFL) may convey if a potential firearm purchaser is prohibited from receiving or possessing firearms in accordance with state or federal law. Through a cooperative effort with local and state law enforcement agencies, the Department of Justice, and the Bureau of Alcohol, Tobacco, Firearms and Explosives (ATF), the FBI developed the NICS, which was implemented on November 30, 1998. The use of the NICS is only authorized for the transfer of a firearm and for the issuance/renewal of a concealed pistol license. 1. If you work for a law enforcement agency, you are likely familiar with and may utilize the Interstate Identification Index (III) or the National Crime Information Center (NCIC). In addition to those two databases, the NICS Index, WACIC, and WASIS are searched when conducting background checks for the transfer of a firearm or for a firearm-related permit. The NICS Index contains information provided by local, state, tribal, and federal agencies of persons prohibited from receiving firearms under state and federal law. The NICS Index contains prohibiting information that may not be found in the III or the NCIC. Furthermore, the data in the NICS Index is highly sensitive and guarded by state and federal laws. Access to the NICS Index for law enforcement and criminal justice agencies unrelated to Brady Act background checks is limited to
National Instant Criminal Background Check System (NICS) Chapter 19-2
II.
AUTHORIZED ACCESS TO THE NICS A.
2.
certain circumstances: Pursuant to Title 28, Code of Federal Regulations (C.F.R.), 25.6 (j)(1), to provide information to local, state, or federal criminal justice agencies only in connection with the issuance of a firearm-related permit or license or a firearm transfer. B. III. A. The NICS cannot be used for the release of firearms from evidence. An individual can be federally prohibited from purchasing and/or possessing a firearm for a number of reasons. The prohibitors are described in full detail in Title 28, United States Code, Section 922 (g). A brief description of each federal prohibitor is listed below: 1. 922 (g)(1) Felony prohibition: A person who has been convicted in any court of a crime punishable by imprisonment for a term exceeding one year or any state offense classified by the state as a misdemeanor and is punishable by a term of imprisonment of more than two years. 922 (g)(2) Active warrant: A person who is a fugitive from justice. 922 (g)(3) Drug prohibition: Persons who are unlawful users of or addicted to any controlled substance as defined in 21 U.S.C. 802 and Title 21, Code of Federal Regulations, Part 1308. 922 (g)(4) Mental health prohibition: Persons who have been adjudicated as mental defectives or have been committed to a mental institution. 922 (g)(5) Illegal unlawful alien prohibition: An alien who is illegally or unlawfully in the United States; or has been admitted to the United States under a nonimmigrant visa, except as provided in subsection (y)(2). 922 (g)(6) Dishonorable discharge prohibition: An individual who has been dishonorably discharged from the U.S. Armed Forces. 922 (g)(7) Renounced citizenship prohibition: A person who has renounced his or her U.S.citizenship. 922 (g)(8) Protection order prohibition: A person who is subject of a court order that (A) was issued after a hearing of which such person received actual notice, and at which such person had an opportunity to participate; (B) restrains such person from harassing, stalking, or threatening an intimate partner of such person or child of such intimate partner or person, or engaging in other conduct that would place an intimate partner in reasonable fear of bodily injury to the partner or child; and (C)(i) includes a finding that such person represents a credible threat to the physical safety of such intimate partner or child; or (ii) by its terms explicitly prohibits the use, attempted use, or threatened use of physical force against such intimate partner or child that would reasonably be expected to cause bodily injury.
FEDERAL AND STATE LAWS RELATED TO THE NICS
2. 3.
4.
5.
6. 7. 8.
9.
922 (g)(9) Misdemeanor crime of domestic violence prohibition: A person who has been convicted in any court of a misdemeanor crime of domestic violence (MCDV) which has an element the use or attempted use of physical force, or the threatened use of a deadly weapon, committed by a current or former spouse, parent, or guardian of the victim, by a person with whom the victim shares a child in common, by a person who is cohabiting with or has cohabited with the victim as a spouse, parent, or guardian or by a person similarly situated to a spouse, parent or guardian of the victim. 922 (n) Indictment/information prohibition: A person who is under current indictment or information for a felony crime.
10. B.
An individual can be prohibited at the state level from purchasing and/or possessing a firearm and from obtaining a concealed pistol license for a number of reasons. The prohibitors are described in full detail in RCW 9.41. Logging of NICS transactions (QNP and QNR) is prohibited. NICS checks for handgun transfers are purged from the NICS system at 0100 EST and at 2200 PST by ACCESS. All proceed NICS transactions must be destroyed within 24 hours of running the NICS inquiry, including all identifying information about the purchaser. The FBI NICS State Support Team conducts NICS Training throughout Washington State. 1. All persons conducting NICS checks are recommended to attend the FBI NICS Training once a year.
IV.
RETENTION REQUIREMENTS FOR THE NICS A.
B.
V.
NICS TRAINING A.
B.
An overview of NICS can be found on the ACCESS webpage under Training Modules. http://www.wsp.wa.gov/_secured/access/manuals.htm#modules
VI.
QUESTIONS RELATED TO THE NICS A. For questions related to the NICS, please contact: 1. The ACCESS Section during business hours a. b. 2. a. b. 3. a. b. (360) 534-2108 access@wsp.wa.gov (360) 705-5999 itdhelp@wsp.wa.gov (877) 324-6427 www.fbi.gov/nics-appeals
The Washington State Patrol Data Center after hours
The FBI NICS Section
CHAPTER 19:
NATIONAL INSTANT CRIMINAL BACKGROUND CHECK SYSTEM (NICS) MESSAGE FIELD CODES AND EDITS Effective Date: See Also: CALEA: October 1, 2012
I. Code AKA
MESSAGE FIELD CODES AND EDITS Field Also Known As Edits May include alphabetics, numerics, a comma, hyphens, and spaces. The comma must follow the last name. There can be no more than one space after the comma. The hyphen cannot be in the first position or directly precede the comma. Information on coding instructions can be found in the Personal Descriptors Section of the NCIC Code Manual. This is the record number created and assigned to a NICS Index record by the data source entering or providing the record data. May include alphabetics, numerics, hyphens, and spaces. Number assigned by US Customs. This is a key ICE file identifier and should be used if known. Maximum length of 10. If length is less than 10, then the first character may be either the letter "A" or numeric (0 or 1 through 9 inclusive) and the remaining characters must be numeric only. If length is exactly 10, then the first character may only be the letter "A", and the remaining characters must be numeric only. This field may contain the first initial and last name of the person requesting the information. Required for inquiries from correctional or jail facilities. Must be between 1 and 15 characters. Specifies the country or countries, up to three, in which the subject claims citizenship. Must be a valid code as listed in the State and Country Data Section of the NCIC Code Manual.
ARI
Agency Record Identifier Alien Registration Number
ARN
ATN BKN COC
Attention Booking Number Country of Citizenship
Chapter 19-5
CTZ
Citizenship
CUS DND DNY DOB
Custody Status Date of NICS Denial Denying Agency Date of Birth
EXP
Expiration Date
EYE FBI
Eye FBI Number
FFL FFN FLN HAI HGT
Federal Firearms License Number Fathers First Name Fathers Last Name Hair Height
An optional field in a NICS background check indicating whether or not the subject is a citizen of the United States. C US Citizen F Non US Citizen N Non US Citizen, No IAQ Requested Indicates if the subject is in custody. Must be Y or N. Indicates the date that the subject was denied a firearm or concealed pistol license. Information on the denying agency for a disqualified person record. Must be eight numbers representing year, month, and day in that order (YYYYMMDD). The numbers in the month positions cannot exceed 12. The numbers in the day positions cannot exceed the number of days in the month indicated. The month and date cannot exceed the date entered and cannot be ----0229 when the year is not a leap year. Must be eight numbers representing year, month, and day in that order (YYYYMMDD). The last date (either current or future date) for which the disqualifying information in a NICS Index record will be valid. Mandatory when PCA/A2 or C. Must be a valid code listed in the Personal Descriptors Section of the NCIC Code Manual. The field may be one to nine characters. It may be up to seven numbers; or one to six numbers followed by a letter A through H; or one to six numbers followed by a letter J through Z, followed by one or two check digits; or one to six numbers followed by two letters followed by one check digit. If the number contains one letter (J-Z), the check digit(s) will be 1-11. If the number contains two letters, the first cannot be B, G, I, O, Q, S, U, Y, or Z; the second must be A, B, or C; and the check digit will be 0 to 9. The letters I and O are always invalid. Must be a valid federal firearms license number. This field is required unless the Purpose ID is 13 or 14. First name of subject's father. Last name of subject's father. Must be a valid code listed in the Personal Descriptors Section of the NCIC Code Manual. Must be three numbers, with the first number representing feet and the second and third
Chapter 19-6
MFN MIS
Mothers First Name Miscellaneous
MKE MMN MNU
Message Key Mothers Maiden Name Miscellaneous Number
representing inches. The second character must be 0 or 1. If the second character is 1, the third must be 0 or 1. It must indicate a minimum of 100 and a maximum of 711. First name of subject's mother. Free text. It may contain a maximum of 1000 characters. Entering agencies are encouraged to utilize the MIS field to provide additional information regarding their record entry. Information such as the date of arrest, arresting agency, and case number can be extremely valuable to the NICS user when processing an appeal. Must be a valid message key. Maiden name of subject's mother. The first two characters must be a valid NCIC 2000assigned code as listed in Personal Descriptors, NCIC 2000 Code Manual. The third character must be a hyphen. Entry of one zero only or a run of zeros only is prohibited in positions 4 through 15. An originating agency police or identification number in MNU cannot be the only numeric identifier in the record. If the MNU exceeds 15 characters, the first 15 characters should be entered in the MNU Field. The full MNU should be entered in the MIS Field. The name may include alphabetics, numerics, a comma, hyphens, and spaces; the comma must follow the last name; there can be no more than one space after the comma. The hyphen cannot be in the first position or directly precede the comma. Information on coding instructions can be found in the Personal Descriptors Section of the NCIC 2000 Code Manual. A self-checking number consisting of an alphabetic character followed by nine numeric characters automatically assigned by NCIC to each accepted record. Must have valid check digits when used to identify a record in a subsequent transaction. Unique 10-digit number generated by NICS upon an NICS Index entry. A unique number assigned to every search request submitted to NICS. All associated transactions (ex: record requests, status updates, etc.) are related to the original search through the NTN.
NAM
Name
NIC
NCIC Number
NRI NTN
NICS Record Identifier NICS Transaction Number
Chapter 19-7
OCA
Originating Agency Case Number
The entering agency should ensure the OCA is a unique number assigned to the case within the agency. Must not contain a single zero only, a run of zeros only, the word NONE, or a single alphabetic only. The first seven characters of the OCA cannot equal the first seven characters of the ORI. The only valid special character is the hyphen. For IAQ transactions related to a gun transfer or the issuance of a gun permit, the code 0399 must be used. Must not be one zero only or a run of zeros only. Omit any spaces, hyphens, or symbols (i.e. DOE**JJ12345 is entered DOEJJ12345). If OLN is entered, then OLS and OLY must be entered. More information can be found in the Personal Descriptors Section of the NCIC 2000 Code Manual. Must be a valid NCIC 2000-assigned ORI. A code representing the reason(s) for the denial or the reason for a NICS Index submission. Mandatory for EDP and NDN submissions. Must be one of the following: A1 18 USC 922(g)(1) Conviction of a crime punishable by more than one year or a misdemeanor punishable by more than two years A2 18 USC 922(n) Indictment B 18 USC 922(g)(2) Fugitive from justice C 18 USC 922(g)(3) Controlled substance prohibitor D 18 USC 922(g)(4) Mental defective E 18 USC 922(g)(5) Illegal/unlawful alien F 18 USC 922(g)(6) Dishonorable discharge G 18 USC 922(g)(7) Citizenship renounced H 18 USC 922(g)(8) Domestic violence restraining order I 18 USC 922(g)(9) Misdemeanor crime of domestic violence J State Prohibitor M Federally Denied Persons File The telephone number is entered as all numeric with no spaces or special characters. For example, the phone number of (502) 555-1212 should be entered 5025551212. Must be a valid NCIC 2000-assigned code as listed in State and Country Codes, NCIC 2000 Code
Chapter 19-8
OFF
Offense Code
OLN
Operators License Number
ORI PCA
Originating Agency Identifier Category of Prohibited Persons
PHN
Phone Number of Inquirer Place of Birth
POB
PPN PUR
Passport Number Purpose Code
PUR
Purpose ID
RAC RDQ
Race Relief from Disabilities Question
REM RTV
Remarks Relationship to Victim
Manual. More information can be found in the Personal Descriptors Section of the NCIC 2000 Code Manual. Maximum 15 alphanumeric characters of the subject's passport number. For IAQ transactions related to a gun transfer or the issuance of a gun permit, Purpose Code F must be used. For QN/QNP Transactions: Must be one of the following: 01 Handgun Transfer 03 Other (Receiver, frame, both, etc.) 13 Administrative Test 14 Permit Must be a valid NCIC 2000-assigned code as listed in Personal Descriptors, NCIC 2000 Code Manual. A required question that must be submitted when attempting to cancel a NICS Index record. The question is: Is the deletion of this NICS Index record due to an ATF-approved state relief from disabilities program? Must be Y or N. Free text. Remarks section to include relevant information to the IAQ transaction. The relationship of the defendant to the victim of a misdemeanor crime of domestic violence. Mandatory when PCA/I. Must be one of the following: 01 Current or former spouse of victim (can be same sex) 02 Parent/step-parent of victim 03 Guardian of victim 04 Child in common (child must be born) 05 Person is cohabiting or has cohabited as spouse of victim (can be same sex) 06 Person is cohabiting or has cohabited as parent of victim 07 Person is cohabiting or has cohabited as guardian of victim 08 Person similarly situated to spouse (can be same sex) 09 Person similarly situated to parent of victim 10 Person similarly situated to guardian of victim
Chapter 19-9
SEX SID
Sex State Identification Number
SMT
SOC
Scars, Marks, Tattoos, and Other Characteristics Social Security Number
Must be a valid NCIC 2000-assigned code as listed in Personal Descriptors, NCIC 2000 Code Manual. Contains a maximum of ten alpha-numeric characters. The first two characters must be a valid state code as listed in the State and Country Codes Section of the NCIC 2000 Code Manual. Must be a valid NCIC 2000-assigned code as listed in Personal Descriptors, NCIC 2000 Code Manual. Must not be less than 001010001. Invalid and/or nonissue numbers are accepted but result in a SOC attention message. More information can be found in the Personal Descriptors Section of the NCIC 2000 Code Manual. Must be a valid NCIC 2000-assigned code as listed in State and Country Codes, NCIC 2000 Code Manual. More information can be found in the Personal Descriptors Section of the NCIC 2000 Code Manual. Six character alphanumeric assigned to a specific state firearm prohibition or firearms permit prohibition. Codes are approved and created by NICS. Mandatory for NICS Index submissions when PCA/J. Must be one of the following: WA0001 9.41.010(14) Convicted of any federal or out of state offense comparable to a felony offense under the laws of the state. Notice for permit checks: this prohibition may not apply to permit applications that are not ATF qualified alternate permits. WA0002 9.41.010(1)(a) A person, whether an adult or juvenile having been convicted in this state or elsewhere of any serious offense as defined in 9.41.010(12). Notice for permit checks: This prohibition may not apply to permit applications that are not ATF qualified alternate permits. WA0003 9.41.040(2)(a)(i) A person, whether an adult or juvenile having been convicted in this state or elsewhere of any felony not specifically listed as prohibiting firearm possession under subsection (1) of this section, or
Chapter 19-10
SOR
State of Residence
SPC
State Prohibited Category Code
WA0004
WA0005
WA0006
WAP001
WAP002
any of the following crimes when committed by one family or house hold member against another, committed on or after July 1, 1993: assault in the fourth degree, coercion, stalking, reckless endangerment, criminal trespass in the first degree, or violation of the provisions of a protection order or no-contact order restraining the person or excluding the person from a residence. Notice for permit checks: This prohibition may not apply to permit applications that are not ATF qualified alternate permits. 9.41.040(2)(a)(ii) Been involuntarily committed for mental health treatment under RCW 71.05.320, 71.34.090, chapter 10.77 RCW, or equivalent statutes of another jurisdiction, unless his or her right to possess a firearm has been restored as provided in RCW 9.41.047. *NOTICE FOR PERMIT CHECKS: "This prohibition MAY NOT apply to permit applications that are NOT ATF-Qualified Alternate Permits." 9.41.040(2)(a)(iv) Person is free on bond or personal recognizance pending trial, appeal, or sentencing for a serious offense as defined in RCW 9.41.010. *NOTICE FOR PERMIT CHECKS: "This prohibition MAY NOT apply to permit applications that are NOT ATF-Qualified Alternate Permits." 9.41.045 Under the supervision of the department of corrections pursuant to chapter 9.94A RCW, as a sentence condition and requirement. *NOTICE FOR PERMIT CHECKS: "This prohibition MAY NOT apply to permit applications that are NOT ATF-Qualified Alternate Permits." 9.41.070(10(d) Subject to a court order or injunction regarding firearms pursuant to RCW 9A.46.080, 10.14.080, 10.99.040, 10.99.045, 26.09.050, 26.09.060, 26.10.040, 26.10.115, 26.26.130, 26.50.060, 26.50.070 or 26.26.590 9.41.070(1)(e)
Chapter 19-11
SRI
State Record Identifier
SST WAC
State Statute and Subsection WACIC Number
WGT
Weight
Free on bond or personal recognizance pending trial, appeal, or sentencing for a felony offense. WAP003 9.41.070(1)(f) Has an outstanding warrant for his or her arrest from any court of competent jurisdiction for a felony or misdemeanor. WAP004 9.41.070(1)(g) Ordered to forfeit a firearm under RCW 9.41.098(1)(e). State identifier submitted to NICS that is used to deny NTNs. Examples of SRIs are: SID numbers; the OCA of a warrant, protection order, or court case number; WAC number; etc. The state statute and subsection of the crime entered as a prohibiting record in the NICS Index. A number consisting of the year of entry, a letter, followed by seven numbers that are automatically assigned by WACIC to each accepted entry. Minimum of 001 and maximum of 499. More information in Personal Descriptors, NCIC 2000 Code Manual.
Chapter 19-12
CHAPTER 19:
NATIONAL INSTANT CRIMINAL BACKGROUND CHECK SYSTEM (NICS) NICS CHECKS AND NOTIFICATIONS Effective Date: See Also: CALEA: October 1, 2012
I.
MESSAGE KEYS AND FIELD CODES FOR NICS CHECKS AND NOTIFICATIONS Field Name Required? Message Field Code HDR MKE ORI FFL PUR NAM SEX RAC DOB HGT WGT SOC MNU POB SOR ATN CTZ COC Field Length Data Type
QUERY NICS BY NAME/DOB (QNP) Header Message Key Originating Agency Identifier Federal Firearms License Number Purpose ID Name Sex Race Date of Birth Height Weight Social Security Number Miscellaneous Number Place of Birth State of Residence Attention Citizenship Country of Citizenship Mandatory Mandatory Mandatory Conditional Mandatory Mandatory Mandatory Mandatory Mandatory Optional Optional Optional Optional Optional Mandatory Optional Optional Conditional 9-19 2-4 9-9 15-15 2-2 3-138 1-1 1-1 8-8 3-3 3-3 9-9 4-15 2-2 2-2 1-30 1-1 2-2 Alphabetic, numeric, special characters Alphabetic Alphabetic, numeric Alphabetic, numeric Numeric Alphabetic, numeric, special characters Alphabetic Alphabetic Numeric Numeric Numeric Numeric Alphabetic, numeric, special characters Alphabetic Alphabetic Alphabetic, numeric, special characters Alphabetic Alphabetic
Chapter 19-13
QUERY NICS RECORD (QNR) Header Message Key Originating Agency Identifier NICS Transaction Number FBI Number NICS Record Identifier NCIC Number WACIC Number State Identification Number Attention Mandatory Mandatory Mandatory Mandatory Conditional Conditional Conditional Conditional Conditional Optional HDR MKE ORI NTN FBI NRI NIC WAC SID ATN 9-19 2-4 9-9 1-10 9-9 10-10 10-10 10-10 10-10 1-30 Alphabetic, numeric, special characters Alphabetic Alphabetic, numeric Alphabetic, numeric, special characters Alphabetic, numeric Numeric Alphabetic, numeric Alphabetic, numeric Alphabetic, numeric Alphabetic, numeric, special characters Alphabetic, numeric, special characters Alphabetic Alphabetic, numeric Alphabetic Alphabetic, numeric, special characters Numeric Alphabetic, numeric, special characters Numeric Alphabetic Alphabetic Alphabetic Numeric Alphabetic, numeric Alphabetic, numeric Alphabetic, numeric Alphabetic, numeric Numeric Numeric Alphabetic
Chapter 19-14
IMMIGRATION ALIEN QUERY (IAQ) Header Message Key Originating Agency Identifier Purpose Code Attention Phone Number of Inquirer Name Date of Birth Sex Place of Birth Custody Status Offense Code Alien Registration Number FBI Number State Identification Number Operators License Number Height Weight Eye
Mandatory Mandatory Mandatory Mandatory Mandatory Mandatory Mandatory Mandatory Mandatory Mandatory Mandatory Mandatory Optional Optional Optional Optional Optional Optional Optional
HDR MKE ORI PUR ATN PHN NAM DOB SEX POB CUS OFF ARN FBI SID OLN HGT WGT EYE
9-19 2-4 9-9 1-1 1-30 10-20 3-30 8-8 1-1 2-2 1-1 4-4 8-9 9-9 10-10 1-20 3-3 3-3 3-3
Mothers Maiden Name Mothers First Name Fathers Last Name Fathers First Name Miscellaneous Number Social Security Number Passport Number Booking Number Remarks
Optional Optional Optional Optional Optional Optional Optional Optional Optional
MMN MFN FLN FFN MNU SOC PPN BKN REM
1-15 1-10 1-15 1-10 4-15 9-9 1-15 1-15 1-300
Alphabetic Alphabetic Alphabetic Alphabetic Alphabetic, numeric, special characters Numeric Alphabetic, numeric Alphabetic, numeric, special characters Alphabetic, numeric, special characters Alphabetic, numeric, special characters Alphabetic Alphabetic, numeric Alphabetic, numeric, special characters Alphabetic, numeric, special characters Alphabetic, numeric, special characters Alphabetic Alphabetic, numeric Alphabetic, numeric, special characters Alphabetic, numeric Alphabetic, numeric Numeric Alphabetic, numeric Alphabetic, numeric, special characters Alphabetic, numeric Alphabetic, numeric, special characters Alphabetic
Chapter 19-15
NICS DELAY NOTIFICATION (NLN) Header Message Key Originating Agency Identifier NICS Transaction Number Miscellaneous Mandatory Mandatory Mandatory Mandatory Optional HDR MKE ORI NTN MIS 9-19 2-4 9-9 1-10 1-1000
NICS DENIAL NOTIFICATION (NDN) Header Message Key Originating Agency Identifier NICS Transaction Number FBI Number NCIC Number NICS Record Identifier State Record Identifier Miscellaneous Mandatory Mandatory Mandatory Mandatory Conditional Conditional Conditional Conditional Optional HDR MKE ORI NTN FBI NIC NRI SRI MIS PCA 9-19 2-4 9-9 1-10 9-9 10-10 10-10 1-15 1-1000 1-2
Category of Prohibited Mandatory Persons NICS PROCEED NOTIFICATION (NPN) Header Message Key
Mandatory Mandatory
HDR MKE
9-19 2-4
Originating Agency Identifier NICS Transaction Number Miscellaneous
Mandatory Mandatory Optional
ORI NTN MIS
9-9 1-10 1-1000
Alphabetic, numeric Alphabetic, numeric, special characters Alphabetic, numeric, special characters Alphabetic, numeric, special characters Alphabetic Alphabetic, numeric Alphabetic, numeric, special characters Alphabetic, numeric, special characters
NICS DENIAL OVERTURNED NOTIFICATION (NDO) Header Message Key Originating Agency Identifier NICS Transaction Number Miscellaneous II. Mandatory Mandatory Mandatory Mandatory Optional HDR MKE ORI NTN MIS 9-19 2-4 9-9 1-10 1-1000
GUIDELINES FOR NICS CHECKS A. Law enforcement requirements for running a NICS check: 1. Long guns: During the transfer of a long gun, the Federal Firearms Licensed (FFL) dealer must contact NICS directly. The FBI NICS Staff will conduct the NICS check and provide the NICS Transaction (NTN) number to the firearms dealer. Handguns: a. When the purchaser has a valid Concealed Pistol License (CPL), the FFL must contact NICS directly. The FBI NICS staff will conduct the NICS check and provide the NTN number to the firearms dealer. The FFL will then forward the firearm transfer application to the sheriffs office or police department where the transferee resides for local checks. When the purchaser does not have a valid CPL, the FFL must forward the firearm transfer application to the sheriffs office or police department where the transferee resides. The local agency must conduct the NICS check and run all local checks on the purchaser. The agency conducting the NICS check must contact the FFL within five business days to provide the NTN and a determination as to whether the check was proceeded, delayed, or denied. If a gun buyer is denied during the NICS check, the FFL cannot be informed of the reason for the denial. The gun buyer has the right to appeal the decision made by the agency processing the NICS check. All law enforcement agencies conducting NICS checks must have an appeal process in place. The law enforcement agency is also
2.
b.
c.
d. e.
responsible for notifying the gun buyer that an appeal can also be made through the NICS directly. 3. CPLs: As of July 22, 2011, all CPL issuances or renewals must be run through NICS. The local sheriffs office or police department processing the application must run all local checks on the applicant. Alien Firearms Licenses (AFL): Applications for an AFL must be processed by conducting a NICS check and running all local checks on the applicant. All AFLs are processed by the county sheriffs office.
4.
III.
REQUIREMENTS FOR NICS CHECKS A. Query NICS by Name/DOB (QNP) transactions 1. 2. During a NICS check, a QNP transaction must be submitted. The following files are searched during a QNP transaction: a. b. c. d. e. 3. 4. NCIC restricted and non-restricted files NCIC III NICS Index WACIC restricted and non-restricted files WASIS
During a QNP transaction, a unique number will be assigned to each inquiry. This is called the NICS Transaction Number (NTN). The following fields are mandatory for a QNP transaction: HDR, MKE, ORI, NAM, SEX, RAC, DOB, SOR, and PUR. FFL or SFL is mandatory, except when a Purpose ID of 14 is given and the agency is a permit agency or when a Purpose ID of 13 is used for a test record. c. SOR must match the State of Purchase (derived from the first two characters of the ORI) when a Purpose ID of 01 (Sale of hand gun) or 03 (Sale of other (Frame, Receiver, etc)) is given. d. SOC and MNU cannot be used at the same time. Example: N;QNP.WAWSP0019.FFL/123456789FA66.PUR/13.NAM/QTEST, EUGENE.SEX/M.RAC/W.DOB/19470611.HGT/506.WGT/149. SOC/123011234.POB/WV.SOR/WA. ATN/J SMITH HANDGUN TRANSFER.CTZ/F.COC/AP During a NICS check, a QNR transaction must be submitted if the QNP transaction returned any of the following: a. b. SID number FBI number HDR, MKE, ORI, NTN, and the record number (NRI, SID, FBI, NIC).
a. b.
5.
B.
Query NICS Record (QNR) transactions 1.
2.
The following fields are mandatory for a QNR transaction: a.
b.
Only one record number can be requested per message. The record number must have been previously returned in the QNP transaction associated with the specified NTN.
3.
Example: N;QNR.WAWSP0019.NTN/23SH-84P.NRI/1567760945. ATN/J SMITH HANDGUN TRANSFER
C.
The following local checks must be conducted by the law enforcement agency when processing a NICS check: 1. 2. 3. 4. Local records/records management system Washington State Department of Licensing Firearms Washington State Department of Social and Health Services, Division of Behavioral Health and Recovery Local mental health
NOTE: The ACCESS Section will enter persons into the NICS Index for our Washington State law enforcement agencies that have mental health commitment information that has not already been included in the NICS Index. a. You must follow the procedure below, provide the required information, and ACCESS Staff will complete the entry. (1) Complete the NICS Denied Persons Checklist for Entry, which can be found on the ACCESS webpage. The checklist must be completed, signed, and provided to the ACCESS Staff prior to the entry being made. Supporting documentation of the commitment should be included with the checklist. The agency should call the WSP Data Center at (360) 705-5999 and request ACCESS to enter a NICS Index record.
(2)
b.
c.
d. 5.
If the individual has other prohibiting information on his/her record available to everyone, the entry will be made during regular business hours when ACCESS Staff is available. Only mental health prohibited individuals will be entered by ACCESS. All other NICS Index entries must be made by the agency. The agency must retain the commitment information for future validation of the record. The following fields are mandatory for an IAQ transaction: (1) (2) (3) HDR, MKE, ORI, PUR, ATN, PHN, NAM, DOB, SEX, POB, CUS, and OFF. The PUR must be F. The OFF must be 0399.
Immigration Alien Query (IAQ) for non US Citizens a.
Chapter 19-18
b.
Example: W;IAQ.WAWSP0019..PUR/F.ATN/JOHN SMITH. PHN/3605551212.NAM/LAST,FIRST.DOB/19501023. SEX/M.POB/WA.CUS/Y.OFF/0399.ARN/123456789. HGT/504.WGT/112.REM/NTN123G-XS
6.
FBI exception for running a Washington State SID through a criminal history QR transaction a. During a gun transfer where the purchaser has a CPL, the firearms dealer conducts the NICS check and sends the local law enforcement agency the paperwork for local checks. If an agency finds a Washington State SID number during the local checks, then they can run that SID using a QR, Purpose Code F, with record verification as the reason. This is described further in System Memo 2760.
7. IV.
Any other local checks that the law enforcement agency deems appropriate
REQUIREMENTS FOR NICS NOTIFICATION MESSAGES A. NICS Denial Notification (NDN) transactions 1. The NDN notification must be sent if the gun buyer is considered ineligible to receive a gun based on the response data from the NICS check. NICS uses this notification to retain all records associated with a denied transaction based on the NTN, in accordance with the Brady Act. a. 2. 3. An NDN message is optional but recommended for the issuance/renewal of CPLs.
All paperwork related to the denied NICS check must be retained by the agency processing the NICS check. The following fields are mandatory for a NDN transaction: a. b. c. d. HDR, MKE, ORI, PCA, NTN, and the record number (NRI, NIC, FBI, or SRI). The PCA provides the reason that an individual was denied the purchase/possession of a firearm. The record number used in the NDN must reflect the reason for the denial. The record numbers provided with an SRI will pertain only to state-held records, such as a misdemeanor warrant or agency case number.
4.
Example: N;NDN.WAWSP0019.NTN/23SH-84P.SRI/12-0089564. PCA/B.MIS/MISDEMEANOR WARRANT The NLN notification must be sent if the agency conducting the transaction must do further research on the transaction in order to
B.
NICS Delay Notification (NLN) transactions 1.
Chapter 19-19
make a determination on the gun purchase. An NTN can only be delayed if it has not already been purged from the NICS. a. 2. An NLN message is optional but recommended for the issuance/renewal of CPLs.
All paperwork related to the delayed NICS check may be retained by the agency processing the NICS check until a final decision to proceed or delay the transaction has been made. The following fields are mandatory for a NLN transaction: a. HDR, MKE, ORI, and NTN. Example: N;NLN.WAWSP0019.NTN/23SH-84P. MIS/FURTHER RESEARCH REQUIRED ON DRUG ARREST The NPN notification must be sent if a previously delayed NTN has been approved by the agency. a. An NPN message is optional but recommended for the issuance/renewal of CPLs. HDR, MKE, ORI, and NTN.
3. 4.
C.
NICS Proceed Notification (NPN) transactions 1.
2. 3. D.
The following fields are mandatory for a NPN transaction: a. Example: N;NPN.WAWSP0019.NTN/23SH-84P The NDO notification must be sent if a previous NTN denial has been overturned. a. An NDO message is optional but recommended for the issuance/renewal of CPLs. HDR, MKE, ORI, and NTN.
NICS Denial Overturned Notification (NDO) transactions 1.
2. 3. V.
The following fields are mandatory for a NPN transaction: a. Example: N;NDO.WAWSP0019.NTN/23SH-84P
EXAMPLE OF NICS CHECK RESPONSES A. QNP Response NCIC TIME: 1630 DATE: 100212 TO: ACC11 WAWSP0019 DATE: 10/02/12 TIME: 19:30 ATN/J SMITH HANDGUN TRANSFER STN/12WA00000863 FFL/123456789FA66 SFL/ NAM/QTEST, EUGENE SEX/M RAC/W DOB/19470611 SOC/123-01-1234 PUR/13 SOR/WA CTZ/ POB/WEST VIRGINIA RACE FLAG: W
Chapter 19-20
STATE
SEARCH
R E S P O N S E -- C O M P L E T E
NCIC - HITS III - HITS NICS - HITS NTN/23SH-84P NICS-INDEX-BEGIN ========== N I C S I N D E X ========== NTN: 23SH-84P ======================= (1 OF 1) 25.020100 RECORD FOUND BY: PRIMARY NAME NRI: 1567760945 STATUS: ACTIVE EXPIRATION DATE: N/A PCA: I - Misdemeanor Crime of Domestic Violence Conviction NAM: QTEST, EUGENE C SEX: M RAC: W HGT: N/A WGT: 0 EYE: N/A HAI: N/A POB: WEST VIRGINIA SOR: WV DOB: 06/11/1947 SSN: N/A AKA: N/A SMT: N/A MNU: N/A MIS: CONVICTED OF STRIKING SPOUSE ORI: WVNICS001 OCA: N/A DNY: N/A DATA-SRC: FBI ARI: WVFE000000000000000001507 CREATED DATE: 04/15/2010 UPDATED DATE: 07/09/2012 NICS-INDEX-END NCIC-BEGIN ========= N C I C ========= (1 OF 1) 450.000000 MKE/FEDERAL BUREAU OF PRISONS SUPERVISION RECORD NAM/QTEST, EUGENE C SEX/M RAC/W DOB/19470611 HGT/509 WGT/150 EYE/BR0 HAI/BR0 SSN/308-77-6544 MNU/PI-890087 OFF/3911 MIS/THIS IS A TEST REC0RD F0R NICS OCA/TEST ORI/DCFBIWAQ1 NIC/D710000268 NCIC-END
ACCESS Operations Manual Revised March 2013 National Instant Criminal Background Check System (NICS) Chapter 19-21
III-BEGIN ========== I I I ========== DL0123SH84P00032000 WVNICS000 THIS NCIC INTERSTATE IDENTIFICATION INDEX RESPONSE IS THE RESULT OF YOUR INQUIRY ON NAM/QTEST,EUGENE SEX/M RAC/W DOB/19470611 SOC/123011234 PUR/F NAME FBI NO. INQUIRY DATE QTEST,EUGENE C 9027000 2012/10/02 SEX RACE BIRTH DATE HEIGHT WEIGHT EYES HAIR PHOTO M W 1947/06/11 405 200 BRO RED N BIRTH PLACE ALASKA FINGERPRINT CLASS DO PO AA 11 15 DI PI 12 13 14 ALIAS NAMES O QTEST,EUGENE D QTEST,EUGENE G QTEST,FRANK SMITH,EUGENE C TEST,GENE ZTEST,EUGENE Q IV OTHER BIRTH DATES 1950/01/01 1978/01/01 1956/03/22 1975/06/11 1950/06/12 1949/06/13 1947/06/16 1985/06/19 1950/07/21
Q TEST,EUGENE QTEST,EXOFF QTEST,NUGENE C TEST,EUGENE Q BORRERO XTEST,EUGENE Q IV
SCARS-MARKSTATTOOS SC L LEG SC R ARM TAT L ARM TAT L SHLD TAT NECK TAT R ARM TAT R LEG
SOCIAL MISC SECURITY NUMBERS 000-00-2056 AS-33322111 000-00-5333 000-00-5443 017-65-5443 117-65-5443 123-56-9874 133-50-4444 133-50-9333 352-77-2056 666-55-4444
IDENTIFICATION DATA UPDATED 2012/09/19 THE CRIMINAL HISTORY RECORD IS MAINTAINED AND AVAILABLE FROM THE FOLLOWING: ALASKA - STATE ID/AK00999663 - DISQUALIFICATION FOR FIREARMS
THE RECORD(S) CAN BE OBTAINED THROUGH THE INTERSTATE IDENTIFICATION INDEX BY USING THE APPROPRIATE NCIC TRANSACTION. END III-END NICS-END B. QNR Response NCIC TIME: 1632 DATE: 100212 TO: ACC11 WAWSP0019 ATN/J SMITH HANDGUN TRANSFER DATE: 10/02/12 TIME: 19:33 NTN: 23SH-84P STATE RECORD RESPONSE ========================================= NRI: 1567760945 NRI: 1567760945 STATUS: ACTIVE EXPIRATION DATE: N/A PCA: I - Misdemeanor Crime of Domestic Violence Conviction NAM: QTEST, EUGENE C SEX: M RAC: W HGT: N/A WGT: 0 EYE: N/A HAI: N/A POB: WEST VIRGINIA SOR: WV DOB: 06/11/1947 SSN: N/A AKA: N/A SMT: N/A MNU: N/A MIS: CONVICTED OF STRIKING SPOUSE ORI: WVNICS001 OCA: N/A DNY: N/A DATA-SRC: FBI ARI: WVFE000000000000000001507 CREATED DATE: 04/15/2010 UPDATED DATE: 07/09/2012 NICS-END C. IAQ Response ************************************************************ QUERY MESSAGE TEXT ENDS L.E.S.C. RESPONSE BEGINS** THIS INFORMATION IS FOR LAW ENFORCEMENT USE AND IS BEING PROVIDED FOR INFORMATIONAL PURPOSES ONLY. THIS RESPONSE IS NOT SUPPORTED BY FINGERPRINTS.
****BASED ON THE INFORMATION PROVIDED**** THE FOLLOWING I.C.E. RECORD APPEARS TO RELATE: NAM/XXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXX DOB/YYYYMMDD POB/XX ARN/XXXXXXXXXXXXXXX FCO/XXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXX FFN/XXXXXXXXXXXXXXXXXXXXXXXXXXXXX MFN/XXXXXXXXXXXXXXXXXXXXXXXXXXX CLASS OF ADMISSION/YYYYMMDD REM/YYYYMMDD THE INFORMATION CONTAINED IN THIS RESPONSE RELATES SOLELY TO THE NUMERIC IDENTIFIERS PROVIDED. THE SUBJECT OF THIS INQUIRY WAS LAWFULLY ADMITTED INTO THE UNITED STATES FOR PERMANENT RESIDENCE BY AN IMMIGRATION AND CUSTOMS ENFORCEMENT OFFICER. ************************************************************ D. NDN Response NCIC TIME: 1702 DATE: 100212 TO: ACC11 WAWSP0019 ACCEPT MKE/NDN NTN/23SH84P NAM/QTEST, EUGENE SRI(S)/12-0089564 E. NLN Response NCIC TIME: 1716 DATE: 100212 TO: ACC11 WAWSP0019 ACCEPT MKE/NLN NTN/23SH84P NAM/QTEST, EUGENE F. NPN Response NCIC TIME: 1716 DATE: 100212 TO: ACC11 WAWSP0019 ACCEPT MKE/NPN NTN/23SH84P NAM/QTEST, EUGENE G. NDO Response NCIC TIME: 1715 DATE: 100212 TO: ACC11 WAWSP0019 ACCEPT MKE/NDO NTN/23SH84P NAM/QTEST, EUGENE
Chapter 19-24
CHAPTER 19:
NATIONAL INSTANT CRIMINAL BACKGROUND CHECK SYSTEM (NICS) NICS INDEX Effective Date: See Also: CALEA: October 1, 2012
I.
MESSAGE KEY (MKE) CODES FOR NICS INDEX Inquiry QDP Entry EDP Modify MDP Supplemental SDP Cancel XDP
NICS Index II.
MESSAGE FIELD CODES AND EDITS FOR NICS INDEX Field Length Data Type
Message Field Name Required? Field Code QUERY NICS INDEX DENIED PERSON (QDP) Header Mandatory HDR
9-19 2-4 9-9 10-10 1-25 9-19 2-4 9-9 3-138 1-1 1-1 8-8 8-8 2-2 8-8 1-50
Message Key Mandatory MKE Originating Agency Mandatory ORI Identifier NICS Record Identifier Conditional NRI Agency Record Identifier Conditional ARI NICS INDEX ENTER DENIED PERSON (EDP) Header Message Key Originating Agency Identifier Name Sex Race Date of Birth Date of Birth State of Residence Expiration Date Denying Agency
Alphabetic, numeric, special characters Alphabetic Alphabetic, numeric Numeric Alphabetic, numeric Alphabetic, numeric, special characters Alphabetic Alphabetic, numeric Alphabetic, numeric, special characters Alphabetic Alphabetic Numeric Numeric Alphabetic Numeric Alphabetic, numeric, special characters
Chapter 19-25
Mandatory Mandatory Mandatory Mandatory Mandatory Optional Conditional Optional Optional Conditional Optional
HDR MKE ORI NAM SEX RAC DOB DOB SOR EXP DNY
Category of Prohibited Persons State Prohibited Category Code Agency Record Identifier Originating Agency Case Number Height Weight Place of Birth Eye Hair Miscellaneous Number Miscellaneous Number Social Security Number Social Security Number Scars, Marks, Tattoos, and Other Characteristics Scars, Marks, Tattoos, and Other Characteristics Also Known As Also Known As Relationship to Victim State Statute and Subsection Miscellaneous
Mandatory Conditional Mandatory Optional Optional Optional Optional Optional Optional Conditional Optional Conditional Optional Optional Optional Optional Optional Conditional Conditional Optional
PCA SPC ARI OCA HGT WGT POB EYE HAI MNU MNU SOC SOC SMT SMT AKA AKA RTV SST MIS
1-2 6-6 1-25 1-20 3-3 3-3 2-2 3-3 3-3 4-15 4-15 9-9 9-9 3-10 3-10 3-150 3-150 2-2 1-50 1-1000
Alphabetic, numeric Alphabetic, numeric Alphabetic, numeric Alphabetic, numeric, special characters Numeric Numeric Alphabetic Alphabetic Alphabetic Alphabetic, numeric, special characters Alphabetic, numeric, special characters Numeric Numeric Alphabetic Alphabetic Alphabetic Alphabetic Numeric Alphabetic, numeric, special characters Alphabetic, numeric, special characters Alphabetic, numeric, special characters Alphabetic Alphabetic, numeric Alphabetic, numeric, special characters Numeric Alphabetic, numeric
NICS INDEX MODIFY DENIED PERSON (MDP) Header Message Key Originating Agency Identifier Name NICS Record Identifier Agency Record Identifier Any field(s) from entry transaction Mandatory Mandatory Mandatory Mandatory Conditional Conditional HDR MKE ORI NAM NRI ARI 9-19 2-4 9-9 3-138 10-10 1-25
Chapter 19-26
NICS INDEX SUPPLEMENT DENIED PERSON (SDP) Header Message Key Originating Agency Identifier NICS Record Identifier Agency Record Identifier Name Miscellaneous Number Social Security Number Also Known As Scars, Marks, Tattoos, and Other Characteristics Date of Birth Miscellaneous Mandatory Mandatory Mandatory Conditional Conditional Mandatory Optional Optional Optional Optional Optional Optional HDR MKE ORI NRI ARI NAM MNU SOC AKA SMT DOB MIS 9-19 2-4 9-9 10-10 1-25 3-138 4-15 9-9 3-150 3-10 8-8 1-1000 Alphabetic, numeric, special characters Alphabetic Alphabetic, numeric Numeric Alphabetic, numeric Alphabetic, numeric, special characters Alphabetic, numeric, special characters Numeric Alphabetic Alphabetic Numeric Alphabetic, numeric, special characters Alphabetic, numeric, special characters Alphabetic Alphabetic, numeric Alphabetic, numeric, special characters Numeric Alphabetic, numeric Alphabetic
NICS INDEX CANCEL DENIED PERSON (XDP) Header Message Key Originating Agency Identifier Name NICS Record Identifier Agency Record Identifier Relief from Disabilities Question III. Mandatory Mandatory Mandatory Mandatory Conditional Conditional Mandatory HDR MKE ORI NAM NRI ARI RDQ 9-19 2-4 9-9 3-138 10-10 1-25 1-1
NICS INDEX OVERVIEW A. The NICS Index contains information provided by local, state, tribal, and federal agencies of persons prohibited from receiving firearms which may not be found in the III or NCIC database. Prohibiting categories of the NICS Index are: 1. 2. 3. 4. Felony convictions of 1 year or more or misdemeanors punishable by more than 2 years Under indictment/information Fugitives from justice Unlawful user/addicted to a controlled substance
B.
5. 6. 7. 8. 9. 10. 11. C.
Adjudicated mental/committed to a mental institution Illegal/unlawful aliens Dishonorable Discharge Renounced U.S. citizenship Protection/restraining order Misdemeanor crimes of domestic violence (MCDV) State prohibitions
Prohibiting information possessed by law enforcement may not qualify for the III/WASIS or the NCIC/WACIC depending on the requirements and information available. Law enforcements agencies may submit prohibiting information to the NICS Index when applicable. Examples of prohibitions which may not qualify for the III/WASIS or the NCIC/WACIC entry, readily available to law enforcement, would be positive drug tests, involuntary mental health commitments, warrants and protection orders, MCDV, indictment/information data and state only prohibitors. 1. Supporting documentation of NICS Index entries must be maintained by the entering agency in order to confirm the validity and accuracy of the entries and for audit purposes.
D.
Pursuant to the Brady Act, access to use of the information contained within the NICS and the NICS Index may only be used for purposes authorized by the Brady Act. Any other use of the NICS and the NICS Index information is considered unauthorized. Guidelines for NICS Index Denied Person Query 1. Only an agency from within the same state may view a record entered by another agency. The following fields are mandatory for acceptance of a NICS Index query: a. 2. HDR, MKE, ORI, and NRI or ARI. Example: N;QDP.WAWSP00J7.ARI/TESTER001
IV.
NICS INDEX QUERY A.
B.
Requirements for NICS Index Denied Person Query 1.
V.
NICS INDEX ENTRY A. Guidelines for NICS Index Denied Person Entry 1. The originating agency must account for all fields in the NICS Index record. All available data called for by the record format must be entered when the original entry is made. Missing data obtained at a later time should be promptly added through the use of a modify message.
Chapter 19-28
B.
Requirements for NICS Index Denied Person Entry 1. The following fields are mandatory for acceptance of a NICS Index entry: a. 2. 3. HDR, MKE, ORI, NAM, SEX, PCA, DOB, and ARI. DOB may be replaced by either the MNU or SOC.
The entry will be rejected if one of the mandatory fields is left blank or the transaction is not completed. Example: N;EDP.WAWSP00J7.NAM/TESTER, CHESTER.SEX/M.RAC/W. DOB/19480408.SOR/WA.DNY/WASHINGTON STATE PATROL. PCA/A1.ARI/TESTER001.OCA/C12-9914.HGT/504.WGT/165. POB/WA.EYE/BLU.HAI/BLN.MNU/PI-1234TESTMNU. SOC/123011234.SMT/TAT CHEEK.AKA/CHEST, TEST. MIS/TESTER HAS A FELONY CONVICTION OUT OF WA STATE FOR MORE INFORMATION CONTACT WSP 360-555-1212
VI.
NICS INDEX MODIFICATION A. Guidelines for NICS Index Denied Person Modification 1. Modification of a record is restricted to the agency that entered the record. A modification message is used to add, delete, or change data. A modification message to the base record to delete information in a field will cause the same data in the supplemental record to move up to the base record. Required fields can be modified; however, they cannot be deleted by the use of a modify entry. To delete information from a field, use the MFC followed by a period (e.g., VIN/.). You cannot delete data from a required field. The following fields are mandatory for acceptance of a NICS Index modification: a. 2. 3. HDR, MKE, ORI, NAM, and either the NRI or ARI. The modification will be rejected if one of the mandatory fields is left blank or the transaction is not completed. For AKA, SMT, MNU, SOC, and DOB Fields, the proper modification format is: a. 4. MFC/xxxxxxxxxxx;zzzzzzzzzzz where X is the current data and Z is the new data
2.
3. 4. B.
Requirements for NICS Index Denied Person Modification 1.
Example: N;MDP.WAWSP00J7.NAM/TESTER, CHESTER.ARI/TESTER001. DOB/19480408;19480804
Chapter 19-29
VII.
NICS INDEX SUPPLEMENTAL A. Guidelines for NICS Index Denied Person Supplemental 1. A supplemental entry is utilized when additional identifiers, such as an alias or scars, marks, tattoos, and other characteristics etc., need to be added to the NICS Index record. To enter information into a supplemental record, that field must first be filled in the base record. That is, if an attempt is made to enter a SOC as a supplemental data entry, a reject will occur if no SOC exists in the base record. Any number of AKA, SMT, MNU, SOC, and DOB Fields can be specified in the supplemental entry. The following fields are mandatory for acceptance of a NICS Index supplemental: a. 2. 3. HDR, MKE, ORI, NAM, either the NRI or ARI, and at least one other descriptor (SOC, AKA, SMT, DOB, or MNU).
2.
3. B.
Requirements for NICS Index Denied Person Supplemental 1.
The supplemental will be rejected if one of the mandatory fields is left blank or the transaction is not completed. Example: N;SDP.WAWSP00J7.NAM/TESTER, CHESTER.ARI/TESTER001. AKA/TESTER, CHESSY.AKA/TESTER, CHEESY.SMT/TAT BACK. SMT/SC L ARM
VIII.
NICS INDEX CANCEL A. Guidelines for NICS Index Denied Person Cancel 1. Cancellation of a record is restricted to the agency that entered the record. A cancellation message is used when the entering agency determines that the record is invalid. The following fields are mandatory for acceptance of a NICS Index cancellation: a. 2. 3. HDR, MKE, ORI, RDQ, NAM, and either the NRI or ARI. The cancellation will be rejected if one of the mandatory fields is left blank or the transaction is not completed. Example: N;XDP.WAWSP00J7.ARI/TESTER001.NAM/TESTER, CHESTER. RDQ/N
B.
Requirements for NICS Index Denied Person Cancel 1.
Chapter 19-30
IX.
EXAMPLE OF NICS INDEX RESPONSES A. NICS Index Denied Person Query NCIC TIME: 1137 DATE: 100312 TO: ACC11 WAWSP00J7 DATE: 10/03/2012 TIME: 14:37:16
AGENCY NICS INDEX DISPLAY RESPONSE =================================================== NRI: 1599102816 STATUS: ACTIVE EXPIRATION DATE: N/A PCA: A1 - Convicted of a crime punishable by more than 1 year or a misdemeanor punishable by more than 2 NAM: TESTER, CHESTER SEX: M RAC: W HGT: 504 WGT: 165 EYE: BLU HAI: BLN POB: WASHINGTON SOR: WA RTV: 0 SST: N/A SOC: 123011234 SMT: SC L ARM;TAT BACK;TAT CHEEK AKA: CHEST, TEST;TESTER, CHEESY;TESTER, CHESSY MNU: PI-1234TESTMNU DOB: 19480804 MIS: TESTER HAS A FELONY CONVICTION OUT OF WA STATE FOR MORE INFORMATION CONTACT WSP 360-555-1212 ORI: WAWSP00J7 OCA: C12-9914 DNY: WASHINGTON STATE PATROL DATA-SRC: WA ARI: TESTER001 CREATED-BY: WAWSP00J7 CREATED-DATE: 10/03/2012 UPDATED-BY: WAWSP00J7 UPDATED-DATE: 10/03/2012 NICS-END B. NICS Index Denied Person Entry Acknowledgment NCIC TIME: 1136 DATE: 100312 TO: ACC11 WAWSP00J7 ACCEPT MKE/EDP NAM/TESTER, CHESTER ARI/TESTER001 NRI/1599102816 C. NICS Index Denied Person Modification Acknowledgment NCIC TIME: 1136 DATE: 100312 TO: ACC11 WAWSP00J7 ACCEPT MKE/MDP NAM/TESTER, CHESTER ARI/TESTER001 NRI/1599102816
Chapter 19-31
D.
NICS Index Denied Person Supplemental Acknowledgment NCIC TIME: 1136 DATE: 100312 TO: ACC11 WAWSP00J7 ACCEPT MKE/SDP NAM/TESTER, CHESTER ARI/TESTER001 NRI/1599102816
E.
NICS Index Denied Person Cancel Acknowledgment NCIC TIME: 1137 DATE: 100312 TO: ACC11 WAWSP00J7 ACCEPT MKE/XDP NAM/TESTER, CHESTER ARI/TESTER001 NRI/1599102816
Chapter 19-32
CHAPTER 19:
NATIONAL INSTANT CRIMINAL BACKGROUND CHECK SYSTEM (NICS) NICS DENIED TRANSACTION FILE INQUIRY Effective Date: See Also: CALEA: October 1, 2012
I.
MESSAGE FIELD CODES FOR NICS DENIED TRANSACTION FILE INQUIRY Field Length Data Type
Message Field Name Required? Field Code QUERY NICS DENIED TRANSACTION FILE (QND) Header Message Key Originating Agency Identifier Name Date of Birth Sex Race Miscellaneous Number Social Security Number NICS Transaction Number NCIC Number II. Mandatory Mandatory Mandatory Conditional Conditional Optional Optional Conditional Conditional Conditional Conditional HDR MKE
ORI NAM DOB SEX RAC MNU SOC NTN NIC
9-19 3-3 9-9 3-30 8-8 1-1 1-1 4-15 9-9 1-20 10-10
Alphabetic, numeric, special characters Alphabetic Alphabetic, numeric Alphabetic, numeric, special characters Numeric Alphabetic Alphabetic Alphabetic, numeric, special characters Numeric Alphabetic, numeric Alphabetic, numeric
GUIDELINES FOR NICS DENIED TRANSACTION FILE INQUIRY A. The NICS Denied Transaction File (NDTF) in NCIC is designed to share information regarding individuals who, having been determined to be prohibited persons according to the Brady Handgun Violence Prevention Act of 1993 (Brady Act), have been denied as a result of a NICS check. The data in the NDTF will enhance officer and public safety and provide investigative assistance. If the status of a NICS denied transaction is subsequently changed, such as the result of a successful appeal, then the corresponding NDTF record will be removed from NCIC. To ensure that NICS deny transactions which have subsequently incurred a status change are not stored in NCIC, in accordance with the purge requirements of the Brady Act as defined by
B.
the United States Congress and federal regulation, NDTF information will not be maintained on the NCIC system logs. C. The NDTF will contain records for individuals who have been denied as a result of a NICS check during the last 180 days. NDTF records are entered and cancelled through an interface between NCIC and NICS. NDTF records are available in NCIC for 180 days from the Date of NICS Denial (DND) at which time the NDTF records will be purged. Cancelled records will be purged on the day of the cancellation transaction. The following fields are mandatory for a QND inquiry: 1. HDR, MKE, ORI, and the following: a. NAM, and one, more than one, or all of the following: DOB, MNU, and SOC (1) (2) A QND transaction containing a DOB will search on the exact date of birth. The SEX and RAC Fields should be included in the QND to minimize hits by limiting the scope of the name search. When the inquiry contains a name and an alphanumeric identifier other than DOB (SOC or MNU) a name search is not generated. In this situation, only the alphanumeric identifier is searched. Including sex and race in this inquiry will not confine the search. Example: N;QND.WAWSP0019.NAM/SMITH, JOHN J.SEX/M. DOB/19511012. SOC/987654321 Exact spelling of the name as contained in the record is required when inquiring with only NAM and NTN. Example: N;QND.WAWSP0019.NAM/SMITH, JOHN J. NTN/23SH-84P Example: N;QND.WAWSP0019.NIC/E123456789
D.
III.
REQUIREMENTS FOR NICS DENIED TRANSACTION FILE INQUIRY A.
(3)
(4)
b.
NAM and NTN (1) (2)
c.
NIC (1)
IV.
EXAMPLE OF NICS DENIED TRANSACTION FILE INQUIRY A. Negative QND Response 1L01HEADER WA1230000 NO NCIC NICS DENIED TRANSACTION FILE RECORD NAM/SMITH, JOHN J DOB/19511012 SEX/M NO NCIC NICS DENIED TRANSACTION FILE RECORD SOC/987654321
Chapter 19-34
ATTENTION: THE SOC USED IN YOUR TRANSACTION HAS NOT BEEN ASSIGNED BY THE SOCIAL SECURITY ADMINISTRATION. PLEASE CHECK FOR A DATA ENTRY ERROR. B. Positive QND Response 1L01HEADER WA1230000 ***** NOTICE: DO NOT DETAIN OR ARREST BASED ON THIS HIT. THE DATE OF NATIONAL INSTANT CRIMINAL BACKGROUND CHECK SYSTEM (NICS) DENIAL (DND) PROVIDED IN THIS RECORD IS THE DATE THE SUBJECT WAS DENIED BY THE NICS FROM THE PURCHASE/POSSESSION OF A FIREARM PURSUANT TO STATE AND/OR FEDERAL LAW. HOWEVER, IT IS POSSIBLE THIS SUBJECT MAY NO LONGER BE PROHIBITED FROM PURCHASING/POSSESSING FIREARMS. MKE/NICS DENIED TRANSACTION FILE ORI/WVNICS000 NAM/SMITH, JOHN J SEX/M RAC/W POB/RI DOB/19511012 HGT/511 WGT/230 CTZ/US SOC/123456789 SOP/NV SOR/NV DND/20120909 NTN/ABC1234567 NIC/E123456789 DTE/20120909 23150401 EDT DLU/20120909 23150404 EDT *** THE INFORMATION DISPLAYED IN THIS RECORD IS A POSSIBLE MATCH TO THE INDIVIDUAL QUERIED. THIS MATCH IS BASED ON NAME AND DESCRIPTIVE DATA ONLY. NO LAW ENFORCEMENT ACTION SHOULD BE INITIATED BASED SOLELY ON THIS INFORMATION. NO NCIC NICS DENIED TRANSACTION FILE RECORD SOC/987654321 ATTENTION: THE SOC USED IN YOUR TRANSACTION HAS NOT BEEN ASSIGNED BY THE SOCIAL SECURITY ADMINISTRATION. PLEASE CHECK FOR A DATA ENTRY ERROR.
Chapter 19-35

Chapter 19 National Instant Criminal Background Check System - NICS

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Chapter 19 National Instant Criminal Background Check System - NICS

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Table of Contents SECTION 01: I. II. III. IV. V. VI. INTRODUCTION ..................................................................................

MESSAGE FIELD CODES AND EDITS .............................................. 5

MESSAGE FIELD CODES AND EDITS ............................................................................ 5

SECTION 03: I. II. III. IV. V.

NICS CHECKS AND NOTIFICATIONS ............................................. 13

SECTION 04: I. II. III. IV. V. VI. VII. VIII. IX.

NICS INDEX ....................................................................................... 25

SECTION 05: I. II. III. IV.

NICS DENIED TRANSACTION FILE INQUIRY ................................. 33

.................................. 34 EXAMPLE OF NICS DENIED TRANSACTION FILE INQUIRY .............................................. 34

ACCESS Operations Manual Revised March 2013

National Instant Criminal Background Check System (NICS)

AUTHORIZED ACCESS TO THE NICS A.

ACCESS Operations Manual Revised March 2013

FEDERAL AND STATE LAWS RELATED TO THE NICS

ACCESS Operations Manual Revised March 2013

RETENTION REQUIREMENTS FOR THE NICS A.

The Washington State Patrol Data Center after hours

The FBI NICS Section

ACCESS Operations Manual Revised March 2013

Agency Record Identifier Alien Registration Number

ATN BKN COC

Attention Booking Number Country of Citizenship

ACCESS Operations Manual Revised March 2013

National Instant Criminal Background Check System (NICS)

CUS DND DNY DOB

Custody Status Date of NICS Denial Denying Agency Date of Birth

Eye FBI Number

FFL FFN FLN HAI HGT

ACCESS Operations Manual Revised March 2013

National Instant Criminal Background Check System (NICS)

Mothers First Name Miscellaneous

MKE MMN MNU

Message Key Mothers Maiden Name Miscellaneous Number

NICS Record Identifier NICS Transaction Number

ACCESS Operations Manual Revised March 2013

National Instant Criminal Background Check System (NICS)

Originating Agency Case Number

Operators License Number

Originating Agency Identifier Category of Prohibited Persons

Phone Number of Inquirer Place of Birth

ACCESS Operations Manual Revised March 2013

National Instant Criminal Background Check System (NICS)

Passport Number Purpose Code

Race Relief from Disabilities Question

Remarks Relationship to Victim

ACCESS Operations Manual Revised March 2013

National Instant Criminal Background Check System (NICS)

Sex State Identification Number

Scars, Marks, Tattoos, and Other Characteristics Social Security Number

State Prohibited Category Code

ACCESS Operations Manual Revised March 2013

National Instant Criminal Background Check System (NICS)

National Instant Criminal Background Check System (NICS)

State Record Identifier

State Statute and Subsection WACIC Number

ACCESS Operations Manual Revised March 2013

National Instant Criminal Background Check System (NICS)

ACCESS Operations Manual Revised March 2013

National Instant Criminal Background Check System (NICS)

National Instant Criminal Background Check System (NICS)

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