U.S. Department of Justice
Federal Bureau of Investigation
Criminal Justice Information Services Division
National Instant Criminal
Background Check System (NICS)
Law Enforcement Guide
National Instant Criminal
Background Check System (NICS)
Law Enforcement Guide
U.S. Department of Justice
Federal Bureau of Investigation
Criminal Justice Information Services Division
National Instant Criminal Background Check System (NICS) Law Enforcement Guide
Table of Contents
1.0 Introduction ...............................................................5
What is the National Instant Criminal Background Check System (NICS)? ................. 5
The purpose of this guide ........................................................6
2.0 The NICS Indices ...........................................................7
The NICS Indices Submission Process .............................................7
3.0 Authorized Access to the NICS ................................................9
4.0 What Federally Prohibits an Individual? ........................................10
4.1 Felony Prohibition ..........................................................10
4.2 Fugitive from Justice Prohibition ...............................................11
4.3 Drug Prohibition ...........................................................11
4.4 Mental Health Prohibition ....................................................12
4.5 Illegal/Unlawful Alien Prohibition ...............................................13
4.6 Dishonorable Discharge Prohibition ............................................13
4.7 Renounced Citizenship Prohibition . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 14
4.8 Protection Order Prohibition ..................................................14
4.9 Misdemeanor Crime of Domestic Violence (MCDV) Prohibition ...................... 15
4.10 Indictment/Information Prohibition ............................................16
5.0 State Prohibitions ..........................................................17
6.0 National Instant Criminal Background Check System (NICS)
Denied Transaction File (DTF)
(Part of the National Crime Information Center, or NCIC) .........18
7.0 Disposition of Firearms in Law Enforcement Possession ..........................20
8.0 Assisting Denied or Delayed Customers .......................................21
NICS Acronyms ...............................................................23
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National Instant Criminal Background Check System (NICS) Law Enforcement Guide
National Instant Criminal
Background Check System (NICS)
Law Enforcement Guide
1.0 Introduction
What is the National Instant Criminal Background Check System (NICS)?
e NICS is a computerized system designed to immediately determine if a person is disqualied from receiv-
ing or possessing rearms by conducting a search of available records. e NICS was implemented as a result of
the attempted assassination of former President Ronald Reagan on March 30, 1981, in which former White House
Press Secretary James Brady and two law enforcement ocials were wounded. Following the shooting, Mr. Brady
and his wife, Sarah, 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. e Brady Act required
the U.S. Attorney General to establish the NICS to assist Federal Firearms Licensees (FFL) in determining if a
potential rearm purchaser is prohibited from receiving or possessing rearms in accordance with state or federal
law. rough a cooperative eort 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.
Firearm background checks may be conducted by either the NICS Section of the FBI’s Criminal Justice
Information Services Division or a state or local law enforcement agency serving as an intermediary between an
FFL and the NICS Section. ese intermediaries are referred to as Points of Contact (POC). When an FFL initiates
a NICS background check through the FBI or designated agency in a POC state, a prospective rearm transferee’s
name and descriptive information is searched against the records maintained in three national databases, which
may reveal state and federal records prohibiting receipt or possession of rearms. ose databases are (1) the
Interstate Identication Index (III), which contains criminal history records; (2) the National Crime Information
Center (NCIC), which contains records regarding wanted persons, protection orders, deported felons, and other
matters; and (3) the NICS Indices, formerly known as the NICS Index, which contains records regarding individu-
als subject to state and federal rearm prohibitions.
In addition, when an FFL states that a prospective purchaser has indicated he or she is not a U.S. citizen,
an immigration alien inquiry is submitted to the Department of Homeland Security’s U.S. Immigration and
Customs Enforcement to determine if the individual is an illegal or unlawful alien or a person who is not an
immigrant prohibited from possessing, acquiring, or receiving rearms.
Each time a NICS check is conducted, a NICS Transaction Number (NTN) is electronically generated by the
NICS and provided to the requester. A proceed response received from an initial search of the NICS denotes no
disqualifying information was located for the prospective rearms purchaser. A deny response from this search
indicates disqualifying information was located in one or more of the databases mentioned above. A delay response
from this search indicates the descriptive information supplied by the prospective rearms purchaser has matched
records contained in one or more of the databases. e delay response requires the NICS Section or POC state
personnel to review the matching records to determine if any prohibitions exist, and to clarify or obtain complete
disposition information when necessary. Complete disposition information is essential to make an accurate deter-
mination of a person’s eligibility to receive or possess a rearm.
National Instant Criminal Background Check System (NICS) Law Enforcement Guide
In accordance with the Brady Act, the agency performing the background check must obtain all relevant doc-
umentation and render a decision regarding the prospective purchaser’s eligibility to receive or possess a rearm
within three business days. If the background check is not resolved within the allowed three business days, it is
at the discretion of the FFL whether to transfer the rearm; however, the NICS Section continues to work on the
case in an eort to obtain complete disposition information.
In most cases, the agency performing the background check is required to seek the nal disposition associ-
ated with any potentially disqualifying arrest or conviction. When determining a person’s eligibility to receive
or possess rearms, the agency researches both state and federal laws. If records are incomplete or missing, the
agency must contact all entities that may potentially have information pertinent to a subject’s background check.
In an eort to obtain needed or missing information, the agency may contact your agency to obtain dispositions
or other appropriate documentation in order to make these determinations.
As mentioned earlier, if the information cannot be obtained and a nal determination cannot be rendered, the
FFL legally has the option to transfer the rearm beginning on the next day following the third business day with-
out an approval from the NICS Section. is could result in a potentially prohibited person taking possession of a
rearm. If the FBI receives prohibiting information aer the third business day and the FFL has transferred the
rearm, the matter is referred to the ATF for rearm retrieval consideration. is creates a potentially dangerous
situation for ATF agents, local law enforcement, and the general public.
However, your agency can prevent this situation. First, submit incident
reports and report dispositions to your state central repository in a timely
manner. Second, provide records to the FBI as quickly as possible when
requested. Finally, maintain a working relationship with the NICS Section,
so we can work together to inform others about the importance and value
of this type of documentation. If you have any questions about proper and
timely records, contact the FBI at <NICSliaison@i.gov>.
e goal of the NICS Section and state POCs is to ensure that law-abiding
citizens are able to obtain rearms legally and to prevent rearms from
falling into the hands of those individuals who are disqualied from having
them. e public safety benets derived from the NICS are immeasurable,
and it is the assistance of all law enforcement agencies that make it successful.
e policies and practices of these agencies are of the utmost importance to the mission of the NICS. e FBI’s
partnership with its state and federal counterparts is paramount to the success of the NICS. Every disposition,
every warrant, every incident report, and every drug test result can make the dierence in these crucial deter-
minations. e NICS Section recognizes the extensive time involved with locating and communicating criminal
dispositions and other relative information, and greatly appreciates the eorts your oce takes to ensure that
fulllment of the Brady Act is successful. Your oce’s contributions, combined with those of other local and state
agencies throughout the United States, are key factors in contributing to safer streets and neighborhoods within
your state. By working together, we can continue to provide the best service possible to our communities.
The purpose of this guide
e NICS Law Enforcement Guide was created to assist you in understanding the mission of the NICS and to
teach you the basics of the NICS process. is guide will allow the FBI and your agency to coordinate eorts to
assist each other and enhance public safety while creating partnerships with the ATF and the FFLs.
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2.0 The NICS Indices
e NICS Indices contains information provided by local, state, tribal, and federal agencies regarding persons
prohibited from receiving rearms, which may not be found in the Interstate Identication Index (III) or the
National Crime Information Center (NCIC). A valid match to the NICS Indices based on descriptive informa-
tion results in an immediate denial for a prospective rearms purchaser.
Various laws support participation in the NICS Indices. ey are the Gun Control Act of 1968, the Brady
Handgun Violence Prevention Act of 1993 (Brady Act), the NICS Improvement Amendments Act of 2007, and
various state statutes.
Prohibiting categories of the NICS Indices mirror the federal rearm prohibitions listed below and also in-
clude prohibitions that disqualify based on state statute:
• Felony convictions of 1 year or more or misdemeanors punishable by more than 2 years
• Under indictment/information
• Fugitives from justice
• Unlawful users/addicted to a controlled substance
• Adjudicated mental defective/committed to a mental institution
• Illegal/unlawful aliens
• Dishonorable discharge from the U.S. Armed Forces
• 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 entry into the III or the NCIC, de-
pending on the requirements and information available. Examples include positive drug tests, involuntary men-
tal health commitments, warrants and protection orders, MCDV, and indictment/information data. However,
law enforcement agencies may submit prohibiting information to the NICS Indices when applicable.
If courts in your state do not participate in submitting to the NICS Indices, your agency can provide the
required information to the FBI Criminal Justice Information Services Division’s National Instant Criminal
Background Check (NICS) System Section for submission in an emergency situation. Required elds of entry in
the NICS Indices are name, date of birth, race, and sex. An Interface Control Document (ICD) provides techni-
cal assistance to NICS users.
The NICS Indices Submission Process
e local, state, tribal, and federal law enforcement agencies are provided with two modes to add, modify,
supplement, or cancel NICS Indices entries. e rst mode is an electronic connection between the NICS and
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National Instant Criminal Background Check System (NICS) Law Enforcement Guide
8
the contributing agency utilizing the NCIC communications infrastructure. An agency may use this interface to
electronically submit, modify, supplement, cancel, or display a denied person’s disqualifying information in the
NICS Indices. e second mode is batch data transfer through the Law Enforcement Enterprise Portal (LEEP)
online connection via a NICS E-Check icon. e NICS Indices entries, modications, supplements, and can-
cellations are to be processed by the contributing agency, since the contributing agency is responsible for the
accuracy and validity of the NICS Indices’ information. It is imperative to update the NICS Indices, as necessary,
to minimize erroneous denials. e contributing agency is responsible for responding to appeals and audits of
the submitted records. Supporting documentation of entries into the NICS Indices must be maintained by the
appropriate agencies in order to conrm the validity and accuracy of the entries for auditing purposes or appeal
of a deny decision. Access to the information contained within the NICS and the NICS Indices may only be used
for purposes authorized by the Brady Act. e NICS Section encourages you to research your state’s laws to en-
sure you are in compliance when submitting information to the NICS Indices. Information contained within the
NICS Indices will be audited for validity, accuracy, and completeness by the CJIS Audit Unit (CAU) of the CJIS
Division’s Law Enforcement Support Section. As part of the triennial NICS audit, the CAU will review a sample
of NICS Indices’ records submitted by your agency. A brochure describing this process is available at the NICS
Indices. For additional information regarding the NICS Indices, contact the NICS Business Unit by telephone at
1-844-265-6716 or by e-mail at <NICSLiasion@i.gov>.
3.0 Authorized Access to the NICS
If you work for a law enforcement agency, you are likely familiar with and may use the Interstate
Identication Index (III) or the National Crime Information Center (NCIC). In addition to
these two databases, the NICS Indices, is also searched when agencies conduct background
checks for the transfer of a rearm, a rearm-related permit, or an explosives-related
permit or license. e NICS Indices contains information provided by local, state, tribal,
and federal agencies regarding persons prohibited from receiving rearms under state and
federal law. e NICS Indices contains prohibiting information
that may not be found in the III or the NCIC. Furthermore,
the data in the NICS Indices is highly sensitive and regulat-
ed for use by state and federal laws. For this reason, access to the
National Instant Criminal Background Check System (NICS)
is limited to queries for the rearm-related purposes noted above.
Access to the NICS for law enforcement and criminal justice agencies unrelated to
Brady Handgun Violence Prevention Act of 1993 background checks is limited to the
following circumstances:
• Pursuant to Title 28, Code of Federal Regulations (C.F.R.), Part 25.6 (j)(1), to provide
information to local, state, tribal, or federal criminal justice agencies only in connection with the issuance
of a rearm-related or an explosives-related permit or license.
• Pursuant to Title 28, Code of Federal Regulations (C.F.R.), Part 25.6 (j)(3), to provide criminal justice agen-
cies access to the NICS for the purpose of conducting disposition of rearm background checks.
Local or state law enforcement ocers or agencies cannot conduct a query of the NICS for:
• Requesting record checks on behalf of non-licensed sellers.
• Gathering information as a part of a criminal or civil investigation.
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National Instant Criminal Background Check System (NICS) Law Enforcement Guide
4.0 What Federally Prohibits an Individual?
e National Instant Criminal Background Check System (NICS) Section of the FBI’s Criminal Justice
Information Services Division operates in accordance with federal laws. e United States Code denes who is
federally prohibited from possessing, acquiring, or receiving a rearm. is section denes the following federal
prohibitions and explains what your agency may need to know about each one:
• Felony prohibition
• Fugitive From Justice prohibition
• Drug prohibition
• Mental health prohibition
• Illegal unlawful alien prohibition
• Dishonorable discharge prohibition
• Renounced citizenship prohibition
• Protection order prohibition
• Misdemeanor crime of domestic violence prohibition
• Indictment/information prohibition
4.1 Felony Prohibition
Title 18, United States Code, Section 922 (g)(1)—A person who has been convicted in any court of
a crime punishable by imprisonment for a term exceeding 1 year or any state offense classified by the
state as a misdemeanor and is punishable by a term of imprisonment of more than 2 years.
• What does this mean?
is refers to a felony or disqualifying misdemeanor conviction. A criminal conviction is determined in
accordance with the law of the jurisdiction in which the proceedings are held. In accordance with federal
regulation, the agency performing the background check does not base its decisions upon what sentence
was actually rendered, but rather what sentence could have been rendered. In certain situations, pardons,
restorations of rights, or the passage of time can remove the rearm prohibition associated with these con-
victions; however, the NICS Section works in conjunction with courts, agencies, and Attorneys’ General
oces to verify if rearm restrictions are fully removed
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4.2 Fugitive from Justice Prohibition
Title 18, United States Code, Section 922 (g)(2)—A person who is a fugitive from justice.
• What is the NICS Section looking for?
When applying this prohibition, the NICS Section is searching records for an individual who is a fugitive
from justice. Fugitive from justice is dened as any person who has ed from any state to avoid prosecu-
tion for a felony or misdemeanor, or any person who leaves the state to avoid giving testimony in any
criminal proceeding. is also includes any person who knows that felony or misdemeanor charges are
pending against such person and who leaves the state of prosecution. An active warrant is an indication a
person may be a fugitive from justice. e NICS Section considers any individual who is a fugitive from
justice to be prohibited from the receipt and/or possession of rearms.
• As a law enforcement officer or employee, what do I need to know?
Be aware that any active warrant, felony or misdemeanor, issued for any
reason, should be reviewed as the subject may be a fugitive from justice.
However, if the subject appears in your oce and satises the warrant
through the correct process, the warrant is no longer active.
• Help the NICS help you.
Many felony and misdemeanor warrants are recorded in the National
Crime Information Center (NCIC); however, many states do not place
misdemeanor warrant data in the NCIC. Oen it is located in separate
state databases to which not everyone conducting a NICS background check has access. Your agency can
assist the nation by placing active felony and misdemeanor warrants into the NCIC. If circumstances pre-
vent you from entering warrant information into the NCIC, active felony and misdemeanor warrants can
be entered into the NICS Indices.
4.3 Drug Prohibition
Title 18, United States Code, Section 922(g)(3)—Persons who are unlawful users of or addicted to
any controlled substance as defined in Title 21, United States Code, Section 802 and Title 21, Code of
Federal Regulations, Part 1308.
• What does this mean?
is refers to a person who has lost the power of self-control due to the use of a controlled substance
or a person who is a current user of a controlled substance in a manner other than as prescribed by a
licensed physician.
• How is a current user identified for this prohibition?
An inference of current use may be drawn from evidence of recent use or possession of a controlled sub-
stance or a pattern of use or possession that reasonably covers the present time. Examples include:
■ A person convicted for use or possession of a controlled substance within the
past year.
■ A person with two or more arrests for use or possession of a controlled
substance within the past ve years if the most recent arrest occurred with-
in the past year. e arrests can be from dierent states, and convictions are
not necessary. Dismissed charges do qualify as multiple arrests.
■ A person found through a drug test to use a controlled substance unlawfully,
provided the test was administered within the past year.
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National Instant Criminal Background Check System (NICS) Law Enforcement Guide
■ A person who admits to the use or possession of a controlled substance within the past year.
■ A current or former military service member who received disciplinary or other administrative action
based on conrmed drug use. is includes a court-martial conviction, non-judicial punishment, or an
administrative discharge based on drug use or drug rehabilitation failure.
■ A person who has a drug paraphernalia charge within the past year and the paraphernalia has been
eld tested or lab tested positive for residue of a controlled substance.
Note: Use of or possession of prescription drugs may qualify if the prescribed controlled substance is used in a non-pre-
scribed manner. Use of or possession of a prescription drug may also qualify if it is a controlled substance and the
person has it in his/her possession by unlawful means, such as forging a prescription, stealing a prescribed controlled
substance, obtaining a prescribed controlled substance by fraud, or by using another prescribed person’s prescription
medication even with that person’s permission.
• Help the NICS help you.
For inference of current use or possession of a controlled substance, the most critical information can be
found in an incident report or other record of conviction documents that include details regarding the
individual’s use or possession of a controlled substance. Your agency can play a vital role in the success of
processing of NICS background checks in the following ways:
■ When making an arrest, provide specic details about the person using or possessing the controlled
substance. It is especially important to specify who actually possessed the controlled substance when an
incident involves more than one suspect. Another important aspect is to note the specic type of con-
trolled substance used or possessed by the person and that it was eld tested or lab tested. In addition,
if the person has been tested for the use of a controlled substance, please provide the nal test results.
■ If you have information establishing that a person is prohibited from purchasing or possessing a re-
arm under Title 18, United States Code, Section 922(g)(3), you may submit the information for entry
into the NICS Indices.
4.4 Mental Health Prohibition
Title 18, United States Code, Section 922 (g)(4)—Persons who have been adjudicated as mental
defectives or have been committed to a mental institution.
• What does this mean to you?
During the course of an investigation or upon arrest, you may have knowledge of:
■ A person’s involuntary commitment for mental health treatment (outpatient
or inpatient).
■ A person’s involuntary commitment for drug abuse.
■ A person being adjudicated mentally incompetent to handle his/her
own aairs.
■ A person being determined to be a danger to self or others. As a
law enforcement ocial, you may complete a NICS Indices Mental
Submission Checklist Form. is form requires identifying infor-
mation on the individual and depending on the situation, also on
the institution or facility he or/she was committed to or the court in
possession of the adjudicating order.
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• Help the NICS help you.
Some examples follow:
John Doe is diagnosed as mentally unstable. As an ocer, you have knowledge of a court-ordered
involuntary commitment for treatment, but do not have immediate access to the supporting documen-
tation. However, you know how and where to locate the appropriate court documentation. e order
is for treatment and not just evaluation. No criminal history exists relating to this information. You can
submit the information for entry into the NICS Indices, which will result in the immediate denial of an
attempted rearm purchase.
James Doe has a history of threatening behavior, and as an ocer you have knowledge he was determined
a danger to self or others by the courts. No criminal history exists relating to this information. You can sub-
mit the information for entry into the NICS Indices.
Jane Doe has an involuntary commitment for treatment of drug abuse. e commitment was involuntary
and for treatment, not just evaluation. You can submit her information for entry into the NICS Indices.
4.5 Illegal/Unlawful Alien Prohibition
Title 18, United States Code, Section 922 (g)(5)—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
Title 18, United States Code Section 922, subsection (y)(2).
• What does this mean?
is prohibition refers to all aliens who are illegally or unlawfully in the United
States. In certain situations, nonimmigrant aliens who were once legally in the
United States have allowed their immigrant status to expire. Under the rearm
laws, this is an illegal status. It also refers to those nonimmigrant aliens who were
admitted to the United States under a nonimmigrant visa. ey are prohibited
from purchasing and possessing a rearm, unless they meet one of the exceptions
listed in subsection (y)(2) of Title 18, United States Code Section 922.
• As a law enforcement officer or employee, what do I need to know?
On occasion, a local resident may request your assistance as a result of his or her
appeal, or challenge, of a NICS rearm background check denial. Please advise
the subject to contact the local U.S. Citizenship and Immigration Services oce
to determine his or her current immigration status for rearm purposes.
• Help the NICS help you.
e NICS Section typically receives information regarding illegal/unlawful aliens only from the
Department of Homeland Security’s U.S. Immigration and Customs Enforcement. erefore, your agency
plays a minimal role, if any at all, in relation to this federal rearm prohibition.
4.6 Dishonorable Discharge Prohibition
Title 18, United States Code, Section 922 (g)(6)—An individual who has been dishonorably discharged
from the U.S. Armed Forces.
• As a law enforcement officer or employee, what do I need to know?
ere are several types of military discharges; however, an individual who has been dishonorably dis-
charged from the U.S. Armed Forces is not permitted to purchase and/or possess a rearm. In most in-
stances, an individual’s Department of Defense Document 214, also known as the DD 214, can provide
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National Instant Criminal Background Check System (NICS) Law Enforcement Guide
the type of discharge received. An individual prohibited under this statute can only obtain reprieve
from the prohibition if the branch of service which issued the discharge makes a change to the type of
discharge received.
• Help the NICS help you.
If you become aware of an individual who has been dishonorably discharged from the U.S. Armed Forces,
you can assist the NICS Section by forwarding the information to the NICS Business Unit so the individual’s
FBI record can be updated.
4.7 Renounced Citizenship Prohibition
Title 18, United States Code, Section 922 (g)(7)—An individual who has renounced his or her U.S.
citizenship.
• As a law enforcement officer or employee, what do I need to know?
An individual may renounce his or her U.S. citizenship for various reasons. Regardless of the reason,
renunciation remains a prohibition for rearm purposes. It is not a common prohibition. Information
concerning individuals who renounced his or her U.S. citizenship is reported to the NICS Section by the
Department of State and is entered into the NICS Indices.
• Help the NICS help you.
If an individual has been denied the purchase/possession of a rearm and comes to you for assistance,
there are a few things you can do to help. If the individual believes an error has been made and, in
fact, he or she has not renounced U.S. citizenship, please refer the person to the NICS Appeal Web site
where an appeal request may be initiated. If U.S. citizenship has been renounced, you may still refer to the
NICS Appeal Web site as it provides helpful information on the federal prohibitions for individuals who
have been denied.
4.8 Protection Order Prohibition
Title 18, United States Code, Section 922 (g)(8)—A person who is subject of a court order that
was issued after a hearing for which such person received actual notice, and at which the sub-
ject had an opportunity to participate; (B) restrains the subject from harassing, stalking, or threat-
ening an intimate partner of or child of the 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 the subject represents a credible threat to the physical safety of the
intimate partner or child; or (ii) by its terms explicitly prohibits the use, attempted use, or threatened
use of physical force against the intimate partner or child that would reasonably be expected to
cause bodily injury.
(A)
• What does this mean?
Under federal law, the subject of a protection order may be prohibited from receiving or possessing any
rearms—not just a handgun. State-judged determinations or orders do not supersede protection orders
that satisfy the criteria discussed above.
• As a law enforcement officer or employee, what do I need to know?
Only protection orders entered into the NCIC are available on a national level. If your agency enters pro-
tection orders, the NICS Section of the FBI’s Criminal Justice Information Services Division encourages
you to enter them into the NCIC.
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• Help the NICS help you.
If your agency is responsible for entering protection orders into the NCIC Protection Order File (POF) or
into the NICS Indices, please ensure the following information is made available, if possible:
■
■ Hearing date
■ Intimate partner relationship
■ Fact that order restrains future conduct
Service date (of petition, including notice of hearing)
■ Fact that order nds respondent to be credible threat or physical force
e NCIC POF contains a Brady Indicator that was created to quickly identify those protection orders
that prohibit the receipt or possession of rearms in accordance with Title 18, United States Code, Section
922 (g)(8). If your agency enters protection orders into the NCIC POF and the federal criteria has been
met, set the Brady Indicator to Y, which means “yes, the subject is prohibited under federal law.”
e Protection Order Bench Card lists in detail the necessary criteria to establish the 922 g(8) prohibition.
4.9 Misdemeanor Crime of Domestic Violence (MCDV) Prohibition
Title 18, United States Code, Section 922 (g)(9)—A person who has been convicted in any court
of a misdemeanor crime of domestic violence (MCDV) which has as an element of the use or at-
tempted 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.
• What does this mean?
Determining what constitutes a valid MCDV prohibition can be confusing. For example, does this only
include misdemeanor oenses that have been designated on a rap sheet as “domestic,” or “domestic vio-
lence,” or “family,” or “family abuse?”
e answer to this question is no. A qualifying MCDV conviction can be ANY misdemeanor conviction
that satises the federal criteria regarding the use or attempted use of physical force, or the threatened use
of a deadly weapon, if committed upon a person who falls within the federal denition for the relation-
ship of the victim. For example, a person convicted of a misdemeanor disorderly conduct oense could be
disqualied from the receipt or possession of any rearms under the MCDV criteria.
• As a law enforcement officer or employee, what do I need to know?
It is imperative to the successful function of NICS background checks that agencies record the statute,
subsection, and the relationship of the victim to the oender when completing arrest or incident reports.
Although the NICS Section must rely on court documents for most of the conviction data, thorough no-
tation in the arrest reports may provide information needed when a background check is being evaluated.
It is equally vital that the data is maintained indenitely because there is no statute of limitations on the
occurrence of the oense as it relates to the subject’s current rearm eligibility.
• Help the NICS help you.
e following information should be made available in the Interstate Identication Index and the
NICS Indices:
■ Statute, subsection, and/or citation numbers
■ Crime classication level (felony/misdemeanor class)
■ Victim relationship
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National Instant Criminal Background Check System (NICS) Law Enforcement Guide
■ Sentencing date
■ Sentencing terms (including probation and its conditions)
■ Completion date of sentencing terms
NOTE: Not all may apply to your agency.
e MCDV Bench Card lists in detail the necessary criteria to establish the 922 g(9) prohibition.
4.10 Indictment/Information Prohibition
Title 18, United States Code, Section 922 (n)—A person who is under current indictment or infor-
mation for a felony crime.
• What does this mean?
is prohibition refers to a person who is under indictment or information in any court for a crime that
is punishable by an imprisonment term exceeding one year. Generally, these are felony indictments or
information. (Note: An information is a formal accusation of a crime made by the prosecuting attorney;
an indictment is made by the grand jury.)
• As a law enforcement officer or employee, what do I need to know?
An individual under indictment or information is disqualied from receiving a rearm. What is interest-
ing about this particular prohibition is that these individuals have the right to maintain the rearm(s) they
already own. is prohibition only disqualies an individual from purchasing new rearms while he or she is
under indictment or information. You may come across an individual under indictment or information who
is unaware that it is legal for him or her to maintain physical possession of previously obtained rearms.
• Help the NICS help you.
If applicable to your agency, your accurate documentation of the indictment or information will allow NICS
users to be informed of the prohibition and act accordingly if that individual attempts to purchase a rearm.
If you have information establishing that a person is prohibited from receiving a rearm under Title 18,
United States Code, Section 922 (n), you may submit the information for entry into the NICS Indices.
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5.0 State Prohibitions
In addition to the federal prohibitions identied in this document, persons may be prohibited from receiving
or possessing rearms based upon various state laws. Because laws prohibiting rearms vary dramatically from
state to state, they cannot all be included within this manual. However, it is important to note that individu-
als making rearm purchase determinations must factor applicable state statutes in their decisions whether to
proceed or deny a transaction. If information indicates a state statute may exist, it is incumbent upon the person
making the purchase determination to conduct the appropriate research and make any required requests for
information. For additional information regarding specic state prohibition information, you may reference the
state prohibition pages of the NICS State Support Teams Special Interest Group located on the Law Enforcement
Online Web site.
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National Instant Criminal Background Check System (NICS) Law Enforcement Guide
6.0 National Instant Criminal Background Check
System (NICS) Denied Transaction File (DTF)
(Part of the National Crime Information Center, or NCIC)
In November 1993, the Brady Handgun Violence Prevention Act of 1993 (Brady Act), Public Law 103- 159,
requiring Federal Firearms Licensees (FFL) to request background checks on individuals attempting to transfer a
rearm, was signed into law. e permanent provisions of the Brady Act, which went into eect on November
30, 1998, required the U.S. Attorney General to establish the NICS. It also required FFLs to contact the NICS by
telephone or other electronic means for immediate information about whether the receipt of a rearm by a
prospective transferee would violate Section 922 (g) or (n) of Title 18, United States Code (U.S.C.), or state law.
e NICS Section has served as the Point of Contact
(POC) for FFLs in approximately 35 states and territories since
November 30, 1998. Several states serve as POCs, conducting
all or part of the NICS background checks within their respec-
tive states. e NICS Section and the POC states deny proposed
transfers of rearms when available information demonstrates the
prospective transferee is disqualied from receiving or possessing
a rearm under state or federal law. When a search of the NICS
returns records matched by the system to the descriptive informa-
tion of the prospective rearms transferee (or rearms/explosives
permit applicant), the transaction is delayed for further review
and research. Statistically, the NICS Section needs to conduct ad-
ditional research on 8 out of every 100 delayed transactions. Most of the additional research involves contacting
external local, state, or federal agencies to obtain a nal criminal disposition or other vital data to help make the
eligibility determination. If, aer further research, the NICS Section sta or the POC states determine the subject
of the NICS check is validly matched to a disqualifying record, the individual’s request is denied. e NICS is a
name-based check; thus, a “deny” message from the NICS indicates either the prospective transferee or anoth-
er individual with a similar name and/or descriptive information has been matched with either state or federal
prohibitive criteria pursuant to 18 U.S.C. Section 922 (g) and (n), or state law.
e FBI received approval to make specic information relating to individuals who have been denied a
rearm via the NICS available to local, state, tribal, and federal criminal justice agencies for general law en-
forcement purposes. e dissemination of this information is admissible through 65 Federal Register 78190,
amending the Routine Uses of the NICS System of Records Notice (SORN). e information located in the
NICS DTF is available through the NCIC via the inquiry message key, Query NICS Denied (QND), which will
query all historical denials. e NICS DTF information will also respond through the Wanted Person Inquiry
(QW) Message. e QW contains a rolling 6 months’ worth of denial data. e NICS DTF is updated nightly
with denial information. e queries are searchable primarily by name and numeric identier. e le contains
biographical descriptive information (name, date of birth, place of birth, height, weight, sex, race, and social
security number) of the purchaser which identies the individual who was denied by the NICS Section based
on state and/or federal prohibitions. e record also includes the state of purchase, the state of residence, the
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date of the NICS denial, and the date of entry; however, the reason for the denial is not included in the response.
Information on individuals denied by state entities is also available in this le if the state provided the denial
status to the FBI.
When an individual receives a response from the QND, a caveat will be included to notify the querying
agency of the following:
******************************************************************************
***** 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 THE STATE AND/OR FEDERAL LAW. HOWEVER, IT
IS POSSIBLE THIS SUBJECT MAY NO LONGER BE PROHIBITED FROM PURCHASING/POSSESSING
FIREARMS.
is message precedes a NICS Denial Transaction File record.
*** 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.
is message appears at the end of a NICS Denied Transaction File record.
******************************************************************************
For complete information relating to the NICS DTF and the NCIC inquiry processing capabilities, please refer to the NCIC
2000 Operating Manual.
When an inquiry is made resulting in a hit to the NICS DTF, the Bureau of Alcohol, Tobacco, Firearms and
Explosives (ATF) receives an electronic notication. is alerts the ATF of the inquiry and allows it to take
appropriate action, if necessary.
e partnership between the NICS Section and your agency is a key factor in contributing to safer streets
and neighborhoods in your state. Previously, the NICS DTF information was not released by the FBI; however,
releasing this information can be extremely benecial. ere are signicant public safety benets to be realized
when the NICS deny information is shared with local, state, tribal, and federal law enforcement agencies for
general law enforcement purposes. In some cases, law enforcement agencies may be aware of or may be inves-
tigating individuals in the community who are suspected of being, or who have been, major oenders; who are
the subject of a domestic violence restraining order; or whose conduct otherwise suggests they pose a possible
threat to public safety or law enforcement ocer safety. Knowledge that such individuals unlawfully attempted
to acquire rearms may suggest a range of appropriate actions that law enforcement ocials may take to enhance
public safety and/or ensure law enforcement ocer safety. In the case of domestic violence restraining orders,
for example, it may be particularly important for the local law enforcement agency to be aware of an individual’s
attempt to purchase a gun aer entry of the order since that tends to be a particularly dangerous time for victims
of domestic violence. In some instances, no action may be necessary by law enforcement when receiving a hit to
the NICS DTF. e NICS DTF was developed to alert law enforcement of the possibility that an individual has
been previously denied a rearm and to aid in information sharing.
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National Instant Criminal Background Check System (NICS) Law Enforcement Guide
7.0 Disposition of Firearms in Law Enforcement
Possession
A frequent question presented to the FBI Criminal Justice Information Services (CJIS) Division’s National
Instant Criminal Background Check System (NICS) Section is, “Can I use the NICS for the disposition of rearms
in my agency’s possession?” e answer is yes; Title 28, Code of Federal Regulations (C.F.R.), Part 25.6 (j)(3) has
been amended to make this access available for the disposition of rearms.
Many agencies conduct background checks using the Interstate Identication Index (III), the National Crime
Information Center (NCIC), and additional state databases prior to the disposition of rearms in law enforce-
ment possession. Previously, access to the NICS was limited, and a query of the NICS for the disposition of re-
arms was not authorized. Following the CJIS Advisory Policy Board’s approval in 2005, changes to federal regu-
lation were sought to allow law enforcement and criminal justice agencies access to the NICS for the purpose of
conducting NICS background checks when returning rearms in their possession. On, November 20, 2014, the
United States Department of Justice published a nal rule that authorizes criminal justice agencies to access the
NICS for the purpose of disposing rearms in their possession. Individuals who wish to access the NICS for the
dispositions of rearms will be able to search the prospective rearm transferee’s name and descriptive informa-
tion against the records maintained in the III, the NCIC, and the NICS Indices simultaneously.
Although it is not a federal requirement to access the NICS to conduct disposition of rearm background
checks, the NICS Section has developed training resources to assist in educating law enforcement in the current
processes available. ese resources include the process of using the NICS E-Check method and also accessing
the NICS via the NCIC for the purpose of disposing of rearms in an agency’s possession. e NICS Section
recommends discussion between your agency and your state CJIS Systems Ocer regarding the options available
to criminal justice agencies within your state. To learn more about the disposition of rearms and the options
available to your agency, please review the Law Enforcement and Criminal Justice Agencies’ User Guide for the
Disposition of Firearms.
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8.0 Assisting Denied or Delayed Customers
When a Federal Firearms Licensee (FFL) initiates a National Instant Criminal Background Check System
(NICS) transaction, a name search is conducted to search three national databases for possible matches. ese
databases are the National Crime Information Center (NCIC), which contains information on wanted persons,
protection orders, and other persons identied as relevant to the NICS searches; the Interstate Identication
Index (III), which contains criminal history records; and the NICS Indices, which contains information on pro-
hibited persons as dened in the Gun Control Act of 1968. e NICS Indices includes individuals who have been
determined to be federally or state prohibited from possessing a rearm and the disqualifying information may
not be available through the NCIC or III systems.
A denial indicates the individual has been determined to be prohibited from receiving or possessing a rearm
due to matching a record in one or more of the aforementioned databases. e individual may request, in writ-
ing, the reason for denial. e FBI Criminal Justice Information Services Division’s NICS Section will respond to
the initial appeal request providing a general reason for denial within ve business days. By law, the FBI cannot
provide additional information regarding any criminal record without the determination of a positive identi-
cation through comparison of ngerprints with the record. Once the prospective rearm purchaser receives
the reason for denial, if he/she wishes to challenge the accuracy of the record or declare his/her rearm rights
have been restored, a written request to the FBI is required, along with submission of ngerprints and/or docu-
mentation. If the challenge is successful, the FBI ensures the FBI record is corrected or claried and coordinates
eorts to correct records maintained by state agencies. Upon conclusion, the FBI will provide written approval to
overturn the previous decision. If the FBI cannot resolve the challenge, the individual will be provided the name
of the agency originating the record, e.g., arresting agency, court with jurisdiction over the records, or the state
bureau, in order to initiate a review of the record.
A delay response indicates the information supplied by the prospective rearms purchaser has matched a re-
cord contained in one or more of the databases. is requires the NICS Section to review the matching record(s),
determine if any prohibitors exist, and clarify or obtain complete disposition information when necessary. If the
transaction is not resolved within the allowed three-business-day time frame, it is at the discretion of the FFL
whether to transfer the rearm. However, the NICS Section continues to work on the case in an eort to obtain
complete disposition information. When disposition information is required on a matching record but cannot be
found, the transaction is delayed and remains open until either the information is found or 88 days have passed.
If 88 days pass, then the transaction is purged from the NICS.
Upon initial receipt of an appeal, the prospective rearm purchaser is issued a letter (if applicable) contain-
ing the reason for denial and provided referral agencies. If the individual wishes to challenge the accuracy of the
record upon which the denial is based, he or she is directed to contact the agency maintaining the disqualifying
information. For more information please visit What to Expect—e Appeal Process.
You may be asking:
• What does being directed to the agency maintaining the disqualifying information mean?
Because the CJIS Division serves only as the custodian of arrest information submitted voluntarily by
local, state, tribal, and federal agencies, the NICS Section must clarify information from external agencies
when necessary.
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National Instant Criminal Background Check System (NICS) Law Enforcement Guide
• What does the individual need from our agency?
e individual may need one of the following:
■ To be directed to the appropriate court having jurisdiction over the specic arrest to obtain more com-
plete crime classication level and/or disposition and sentencing information.
■ Resolution of a warrant/protection order.
■ A copy of an arrest incident report.
To assist in determining the appropriate documents needed to process an appeal you may reference
Documents Requested to Further the Appeal.
For additional information regarding appeals, you may reference the NICS Appeals Web site.
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NICS Acronyms
AKA Also Known As
AOL Arrest Offense Literal
ARI Agency Record Identifier
ARN Alien Registration Number
ART Article
ATF Bureau of Alcohol, Tobacco, Firearms and Explosives
ATFRDD ATF Relief from Disabilities Database
AWOL Absent Without Leave
BCD Bad Conduct Discharge
BRD Brady Indicator
CHR Criminal History Record
COC Country of Citizenship
COB Close of Business
CUS Custody
DD Dishonorable Discharge
DD214 Department of Defense Document 214
DDF Disposition Document File
DLU Date Last Updated
DOA Date of Arrest
DOB Date of Birth
DOJ Department of Justice
DUI Driving Under the Influence
EDP Enter Denied Person
FBI Federal Bureau of Investigation
FFL Federal Firearms Licensee
FNU FBI Number
FQ Full Record Query for NLETS
FTA Failure to Appear
FTC Failure to Comply
FTP Failure to Pay
GCM General Court Martial
HDR Header
IAQ Immigration Alien Query
IAR Immigration Alien Response
ICD Interface Control Document
ICE U.S. Immigration and Customs Enforcement
ID Identification
IDR Immediate Determination Rate
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National Instant Criminal Background Check System (NICS) Law Enforcement Guide
IFFS Identification for Firearms Sales
III Interstate Identification Index
IQ Index Query for NLETS
KST Known or Appropriately Suspected Terrorist File
LESC Law Enforcement Support Center
LEO Law Enforcement Online
LPR Legal Permanent Resident
LRAT Legal Research and Analysis Team
MCDV Misdemeanor Crime of Domestic Violence
MDP Modify Denied Person
MISC Miscellaneous
MKE Message Key
MPF Missing Persons File
NCIC National Crime Information Center
NCHIP National Criminal History Improvement Program
NDN NICS Denial Notification
NDO NICS Denial Overturn
NI Non Ident
NIAA NICS Improvement Amendments Act of 2007
NIC NCIC Identification Code
NICS National Instant Criminal Background Check System
NLETS International Justice and Public Safety Information Sharing Network
NLN NICS Delay Notification
NPN NICS Proceed Notification
NRI NICS Record Identifier
NSST NICS State Support Team
NTN NICS Transaction Number
OFF Offense Code
ORI Originating Agency Identifier
PCA Prohibiting Category for NICS Indices
PCO Protection Order Condition
PII Personally Identifiable Information
PO Protection Order
POB Place of Birth
POC Point of Contact
QDP Query Denied Persons on NICS
QNP Query NICS and Protection Orders on NICS
QNR Query NICS Record on NICS
SCM Summary Court Martial
SDP Supplement Denied Persons
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SID State Identification Number
SIG Special Interest Group
SISI State Information Sharing Initiative
SPCM Special Court Martial
SOP State of Purchase
SOR State of Residence
SRI State Record Identifier
UPIN Unique Personal Identification Number
VAF Voluntary Appeal File
XDP Cancel Denied Person
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National Instant Criminal Background Check System (NICS) Law Enforcement Guide
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Criminal Justice Information Services Division
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