Accessing records in the system.
28 C.F.R. § 25.6
FFLs may initiate a NICS background check only in connection with a proposed firearm transfer as required by the Brady Act. This can include background checks for getting COE or for a FOID card in IL.
FFLs are strictly prohibited from initiating a background check for any other purpose. The process of accessing the NICS for the purpose of conducting a NICS background check is initiated by an FFL contacting the FBI NICS Operations Center (by telephone or electronic dial-up access) or a POC. CA is a point of contact state.
Access to the NICS through the NICS Operations Center.
FFLs may contact the NICS Operations Center only during its regular business hours. In addition to telephone access, toll-free electronic dial-up access to the NICS will be provided to FFLs after the beginning of the NICS operation. FFLs with electronic dial-up access will be able to contact the NICS 24 hours each day, excluding scheduled and unscheduled downtime.
The NICS Operations Center, upon receiving an request for a background check, will:
(i) Verify the FFL Number and code word;
(ii) Assign a NICS Transaction Number (NTN) to each inquiry and provide the NTN to the FFL;
(iii) Search the relevant databases for any matching records; and
(iv) Provide the following NICS responses of delay, deny, or undetermined based upon the consolidated results to the FFL
(A) “Proceed” response, if no disqualifying information was found in the NICS
(B) “Delayed” response, if the search finds a record that requires more research to determine whether the prospective transferee is disqualified from possessing a firearm by Federal or state law.
A “Delayed” response to the FFL indicates that the firearm transfer should not proceed pending receipt of a follow- up “Proceed” response from the NICS or the expiration of three business days (Charleston loophole), whichever occurs first.
Note:
NICS. If state offices in the state in which the FFL is located are closed on Saturday and Sunday and open the following Monday, Tuesday, and Wednesday, and the NICS has not yet responded with a “Proceed” or “Denied” response, the FFL may transfer the firearm at 12:01 a.m. Thursday.
“Denied” response, when at least one matching record is found in either the NICS that provides information demonstrating that receipt of a firearm would violate 18 U.S.C. 922 or state law.
None of the responses provided to the FFL match any of the underlying information in the records checked by the system.
Access to the NICS through POCs. In states where a POC is designated to process background checks for the NICS, FFLs will contact the POC to initiate a background check. CA is a POC state that takes 10 days to return an answer. The NICS will provide POCs with access to the system 24 hours each day through the NCIC communication network.
Upon receiving a request for a background check, a POC will:
(1) Verify the eligibility of the FFL either by verification of the FFL number or an alternative POC–verification system;
(2) Enter a purpose code indicating that the query of the system is for the purpose of performing a NICS background check in connection with the transfer of a firearm; and
(3) Transmit the request for a background check via the NCIC interface to the NICS.
(e) Upon receiving a request for a background check, POCs may also conduct a search of available files in state and local law enforcement and other record systems, and may provide a unique State–Assigned Transaction Number (STN) to a valid inquiry for a background check.
(f) When the NICS receives an inquiry from a POC, it will search the relevant databases for any matching records and will provide an electronic response to the POC. This response will consolidate the search results of the relevant databases and will include the NTN. The following types of responses may be provided by the NICS to a state or local agency conducting a background check:
(1) No record response, if the NICS determines, through its search, that no matching record exists.
(2) Partial response, if the NICS has not completed the search of all of its records. This response will indicate the databases that have been searched and the databases that have not been searched. It will also provide any potentially disqualifying information found in any of the databases searched. A follow-up response will be sent as soon as all the relevant databases have been searched. The follow-up response will provide the complete search results.
(3) Single matching record response, if all records in the relevant databases have been searched and one matching record was found. (if the person had one 5250 then this would show up as a single hit)
(4) Multiple matching record response, if all records in the relevant databases have been searched and more than one matching record was found. (if the person had multiple 5250s or 30 day hold in addition to a 5250 then it would be multiple hits.)
(g) Generally, based on the responses provided by the NICS, and other information available in the state and federal databases, a POC will:
(1) Confirm any matching records; and
(2) Notify the FFL that the transfer may either proceed, be delayed pending further inquiry, or is outright denied. “Proceed” notifications made within three business days will be accompanied by the NTN or STN traceable to the NTN. The POC may or may not provide a transaction number (NTN or STN) when notifying the FFL of a “Denied” response.
POC Determination Messages
POCs shall transmit electronic NICS transaction determination messages to the FBI for the following transactions: open transactions that are not resolved before the end of the operational day on which the check is requested; denied transactions; transactions reported to the NICS as open and later changed to proceed; and denied transactions that have been overturned. The FBI shall provide POCs with an electronic capability to transmit this information. These electronic messages shall be provided to the NICS immediately upon communicating the POC determination to the FFL. For transactions where a determination has not been communicated to the FFL, the electronic messages shall be communicated no later than the end of the operational day on which the check was initiated. With the exception of permit checks, newly created POC NICS transactions that are not followed by a determination message (deny or open) before the end of the operational day on which they were initiated will be assumed to have resulted in a proceed notification to the FFL. The information provided in the POC determination messages will be maintained in the NICS Audit Log described in § 25.9(b).
The NICS will destroy its records regarding POC determinations in accordance with the procedures detailed in § 25.9(b).
Response recording
FFLs are required to record the system response, whether provided by the NICS Operations Center or a POC, on the appropriate ATF forms for inspection purposes, under 27 CFR 178 requirements. The NICS Operations Center response will include an NTN and associated “Proceed,” “Delayed,” or “Denied” determination. POC responses may vary. In POC states, FFLs will note the POC response, including any transaction number and/or determination.
Access to the NICS Index for purposes unrelated to background checks required by the Brady Act
Access to the NICS Index for purposes unrelated to background checks pursuant to 18 U.S.C. 922 (t) shall be limited to uses for the purposes of:
(1) Providing information to Federal, state, tribal, or local criminal justice agencies in connection with the issuance of a firearm-related or explosives-related permit or license, including permits or licenses to possess, acquire, or transfer a firearm, or to carry a concealed firearm, or to import, manufacture, deal in, or purchase explosives;
(2) Responding to an inquiry from the ATF in connection with civil or criminal law enforcement request relating to the Gun Control Act or the National Firearms Act (26 U.S.C. Chapter 53)
(3) Disposing of firearms in the possession of a Federal, state, tribal, or local criminal justice agency.
28 C.F.R. § 25.6
FFLs may initiate a NICS background check only in connection with a proposed firearm transfer as required by the Brady Act. This can include background checks for getting COE or for a FOID card in IL.
FFLs are strictly prohibited from initiating a background check for any other purpose. The process of accessing the NICS for the purpose of conducting a NICS background check is initiated by an FFL contacting the FBI NICS Operations Center (by telephone or electronic dial-up access) or a POC. CA is a point of contact state.
Access to the NICS through the NICS Operations Center.
FFLs may contact the NICS Operations Center only during its regular business hours. In addition to telephone access, toll-free electronic dial-up access to the NICS will be provided to FFLs after the beginning of the NICS operation. FFLs with electronic dial-up access will be able to contact the NICS 24 hours each day, excluding scheduled and unscheduled downtime.
The NICS Operations Center, upon receiving an request for a background check, will:
(i) Verify the FFL Number and code word;
(ii) Assign a NICS Transaction Number (NTN) to each inquiry and provide the NTN to the FFL;
(iii) Search the relevant databases for any matching records; and
(iv) Provide the following NICS responses of delay, deny, or undetermined based upon the consolidated results to the FFL
(A) “Proceed” response, if no disqualifying information was found in the NICS
(B) “Delayed” response, if the search finds a record that requires more research to determine whether the prospective transferee is disqualified from possessing a firearm by Federal or state law.
A “Delayed” response to the FFL indicates that the firearm transfer should not proceed pending receipt of a follow- up “Proceed” response from the NICS or the expiration of three business days (Charleston loophole), whichever occurs first.
Note:
NICS. If state offices in the state in which the FFL is located are closed on Saturday and Sunday and open the following Monday, Tuesday, and Wednesday, and the NICS has not yet responded with a “Proceed” or “Denied” response, the FFL may transfer the firearm at 12:01 a.m. Thursday.
“Denied” response, when at least one matching record is found in either the NICS that provides information demonstrating that receipt of a firearm would violate 18 U.S.C. 922 or state law.
None of the responses provided to the FFL match any of the underlying information in the records checked by the system.
Access to the NICS through POCs. In states where a POC is designated to process background checks for the NICS, FFLs will contact the POC to initiate a background check. CA is a POC state that takes 10 days to return an answer. The NICS will provide POCs with access to the system 24 hours each day through the NCIC communication network.
Upon receiving a request for a background check, a POC will:
(1) Verify the eligibility of the FFL either by verification of the FFL number or an alternative POC–verification system;
(2) Enter a purpose code indicating that the query of the system is for the purpose of performing a NICS background check in connection with the transfer of a firearm; and
(3) Transmit the request for a background check via the NCIC interface to the NICS.
(e) Upon receiving a request for a background check, POCs may also conduct a search of available files in state and local law enforcement and other record systems, and may provide a unique State–Assigned Transaction Number (STN) to a valid inquiry for a background check.
(f) When the NICS receives an inquiry from a POC, it will search the relevant databases for any matching records and will provide an electronic response to the POC. This response will consolidate the search results of the relevant databases and will include the NTN. The following types of responses may be provided by the NICS to a state or local agency conducting a background check:
(1) No record response, if the NICS determines, through its search, that no matching record exists.
(2) Partial response, if the NICS has not completed the search of all of its records. This response will indicate the databases that have been searched and the databases that have not been searched. It will also provide any potentially disqualifying information found in any of the databases searched. A follow-up response will be sent as soon as all the relevant databases have been searched. The follow-up response will provide the complete search results.
(3) Single matching record response, if all records in the relevant databases have been searched and one matching record was found. (if the person had one 5250 then this would show up as a single hit)
(4) Multiple matching record response, if all records in the relevant databases have been searched and more than one matching record was found. (if the person had multiple 5250s or 30 day hold in addition to a 5250 then it would be multiple hits.)
(g) Generally, based on the responses provided by the NICS, and other information available in the state and federal databases, a POC will:
(1) Confirm any matching records; and
(2) Notify the FFL that the transfer may either proceed, be delayed pending further inquiry, or is outright denied. “Proceed” notifications made within three business days will be accompanied by the NTN or STN traceable to the NTN. The POC may or may not provide a transaction number (NTN or STN) when notifying the FFL of a “Denied” response.
POC Determination Messages
POCs shall transmit electronic NICS transaction determination messages to the FBI for the following transactions: open transactions that are not resolved before the end of the operational day on which the check is requested; denied transactions; transactions reported to the NICS as open and later changed to proceed; and denied transactions that have been overturned. The FBI shall provide POCs with an electronic capability to transmit this information. These electronic messages shall be provided to the NICS immediately upon communicating the POC determination to the FFL. For transactions where a determination has not been communicated to the FFL, the electronic messages shall be communicated no later than the end of the operational day on which the check was initiated. With the exception of permit checks, newly created POC NICS transactions that are not followed by a determination message (deny or open) before the end of the operational day on which they were initiated will be assumed to have resulted in a proceed notification to the FFL. The information provided in the POC determination messages will be maintained in the NICS Audit Log described in § 25.9(b).
The NICS will destroy its records regarding POC determinations in accordance with the procedures detailed in § 25.9(b).
Response recording
FFLs are required to record the system response, whether provided by the NICS Operations Center or a POC, on the appropriate ATF forms for inspection purposes, under 27 CFR 178 requirements. The NICS Operations Center response will include an NTN and associated “Proceed,” “Delayed,” or “Denied” determination. POC responses may vary. In POC states, FFLs will note the POC response, including any transaction number and/or determination.
Access to the NICS Index for purposes unrelated to background checks required by the Brady Act
Access to the NICS Index for purposes unrelated to background checks pursuant to 18 U.S.C. 922 (t) shall be limited to uses for the purposes of:
(1) Providing information to Federal, state, tribal, or local criminal justice agencies in connection with the issuance of a firearm-related or explosives-related permit or license, including permits or licenses to possess, acquire, or transfer a firearm, or to carry a concealed firearm, or to import, manufacture, deal in, or purchase explosives;
(2) Responding to an inquiry from the ATF in connection with civil or criminal law enforcement request relating to the Gun Control Act or the National Firearms Act (26 U.S.C. Chapter 53)
(3) Disposing of firearms in the possession of a Federal, state, tribal, or local criminal justice agency.