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U.S. Department of Just Bureau of Alcobol, Tabacco, Firearms and Explosives Order — pan | ATFO3140.14 ‘SUBJECT: DENIAL ENFORCEMENT AND NICS INTELLIGENCE DATE: 8/9/2017 BRANCH ~ REFERRALS AND INVESTIGATIONS. RECERTIFICATION DATE: 9/2022 OPI: 750000 All ATF Employees PURPOSE. This Order provides general background and guidelines for field investigations relating to National Instant Criminal Background Check System (NICS) denial referrals. CANCELLATION, This Order cancels: ATF O 3140.1, Denial Enforcement and NICS Intelligence Branch — Referrals and Investigations, dated 11/12/2014 5. Memorandum from the Assistant Director (AD), Field Operations (FO), dated 07/08/2015, NICS Delayed Denials, © Memorandum from the Assistant Director (AD), Field Operations (FO), dated 03/30/2018, NICS Standard Denial Investigations, DISCUSSION. This Order sets policy on the way in which NICS denial referral field investigations are conducted and emphasizes the importance of prioritizing Such investigations in the interest of public safety. REFERENCES @ _ATF-0 3400.1D, Property Taken into Bureau Custody, dated 05/08/2015 b. ATF 0 3210.70, Investigative Policies, Procedures, and Techniques, dated 12/14/2012 © ATF 0 3310.46, Firearms Enforcement Program, dated 03/19/2013. 4. ATF 0.3800.2, ATF inteligence Program, dated 02/01/2012 © Memorandum from the AD FO dated 11/18/2013, Mandatory ATF NICS Referral application (ANR) Database Checks {ATF Frontine Analytics Production System User Guide, dated 06/26/2016. GUN CONTROL ACT AND THE BRADY LAW & The Gun Control Act of 1968 creates a framework making it unlawful to sella firearm to.a Person who is prohibited from receiving or possessing a firearm, while also regulating the firearms industry and supporting Federal, State, and local law enforcement in their firearms related investigations, At tne same time, the Act criminalizes the acquisition of a firearm by a person providing false information to a Federal firearms licensee (FFL), b_ The categories of “prohibited persons” include any person: (1) who has been convicted in any court of a crime punishable by imprisonment for 2 term exceeding 1 year (2) who is a fugitive from justice: @ 4) 6 @ 7) @) @ (19) ATF 0 3140.14, 9/2017 who is an unlawful user of or addicted to any controlled substance, as defined in section 102 of the Controlled Substances Act (21 U.S.C. 802), who has been adjudicated as a mental defective or who has been committed to a mental institution; who being an alien’ (a) _isillegally or unlawfully in the Unites States or (b) except as provided in subsection (y)(2), has been admitted to the United States under a nonimmigrant visa as defined in section 101(a)(26) of the Immigration and Nationality Act (8 U.S.C. 1101(a)(26); who has been discharged from the Armad Forces under dishonorable conditions, who, having been a citizen of the United States, has renounced his citzenshif who is the subject of a court order that: (2) 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, (©) includes a finding that such person represents a credible threat to the physical safety of such intimate partner or child; or 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; ‘who has been convicted in any court of a misdemeanor crime of domestic, violence, and ‘who is under indictment for @ crime punishable by imprisonment for a term exceeding 1 year. The Brady Handgun Violence Prevention Act of 1993 (Brady Act), was signed into law requiring FFL to request background checks on prospective purchasers prior to receiving @ firearm. The permanent provisions of the Brady Act, effective November 30, 1998, required the U.S. Attorney General to establish the National Instant Criminal Background Check System (NICS) maintained by the Federal Bureau of Investigation (FBI). FFLs may contact the NICS, by telephone or other electronic means. to determine whether or not the transfer of a firearm would violate section 922 (g) or (n) of Title 18, United States Code (U.S.C), or State law. If a background check of the prospective purchaser results in a denial, ATF is responsible for conducting a criminal investigation resulting from the NICS denial referrals Page2 ATFO.3140.18 8/9/2017 DEFINITIONS. a. _ ATE Frontline Analytics Database and Dashboards are tools used to assist supervisors ‘and managers in planning and evaluating their efforts to reduce violent crime. . ATE NICS Reterral Application (ANR) is the database repository for information relating toall firearm denials received from the FBI NICS Section © Delayed Denials are denials in which the firearm has been transferred to a prohibited person. A delayed denial occurs when an FBI NICS Section examiner cannot make & determination whether the individual is prohibited from purchasing andor possessing @ firearm within 3 business days; therefore, permitting the FFL by law to complete the transaction, Delayed denials are referred to the field for investigation, . Denial occurs when an individual attempts to purchase a firearm and is denied, prior to receiving te frearm, because he/she is prohibited by aw, or is believed to be prohibited by law, in one or more of the ten categories listed previously in paragraph 5, subparagraphs b. (1) through (10) e nial Ent NICS Intelligence (DENI) Branch The mission of the DENI Branch is to research and analyze NICS denials received from the FBI NICS Section and refer them to ATF field offices for further investigation, to serve as ATF's liaison with the FBI on NICS matters, to respond to FFL inquiries regarding NICS issues, and to analyze data f. _Eull Point of Contact (POC) State is a State that conducts its own background checks for firearms purchases instead of the FBI NICS Section, There are currently 13 full POC States/territories with their own background check/denial systems in place (See Permanent Brady State Lists attached as Exhibit 1.) POC States send denials to the DENI Branch through the FBI NICS Section 9. _NIGSis the FBI's National Instant Criminal Background Check System used to determine if an individual is prohibited from purchasing a firearm, h. Non-BOC State is a State that conducts no background checks for firearm purchases, relying upon the FBI NICS Section to conduct all background checks for firearm purchases. There are currently 36 non-POC States/territories. (See Exhibit 1.) All firearm denial information is transmitted from tne FBI NICS Section to ATF. i ‘Non-Referred Denials are denials in which the firearm was not transferred, do not meet the standard denial referral criteria, and are not sent to the field for further investigation, | Querturns are notices that the FBI NICS Section has determined the subject of a denial is not a prohibited person. k. Partial POC State is a State that conducts its own background checks for handgun Purchases and the FBI NICS Section conducts the background checks for long gun Purchases. There are currently seven partial POC States/terrtories. (See Exhibit 1.) All denials relating to firearm background checks completed by the FBI NICS Section are transmitted to ATF Pre-Pawn NICS Check is an option for licensed pawnbrokers to conduct a NICS check Prior to accepting a firearm offered for pawn Page 3 ATF 0 3140.14, 89/2017 Pre-Pawn NICS Check Denial ocours when an individual attempts to pawn a firearm and 's denied because he/she is prohibited by law in one or more of the ten categories listed previously in paragraph §, subparagraphs b. (1) through (10). ‘Standard Denials are denials in which the firearm was not transferred to the prohibited, or believed to be prohibited, person. Standard denials are based upon referral criteria/minimum thresholds established by the United States Attorney's Office (USAO) in each Federal judicial district, General NICS Procedures, a ATE Headquarters Responsibilities. All open NICS delayed denials must have a status Update documented in the Open NICS Delayed Denial report (located in the Frontine Analytics Dashboard) within the fist 10 days of each month, This report will be reviewed by ATF Investigative Support Branch ISB) personnel on the tenth calendar day of each ‘month and will be used to report the status of investigative efforts to the Executive Statt The focus of this review will be to determine the status of open delayed denial investigations, to ensure they are being investigated in a timely fashion, ang thatthe disposition of involved frearm(s) is documented appropriately. I ISB determines there are significant matters of concer regarding @ NICS case, they will work directly with the field to resolve the issue. ISB will update the Deputy Assistant Directors (DADS), Field Operations, monthly, specifically on the status of the NICS delayed denials. The DADS will work directly with the Special Agents in Charge to resolve any outstanding issues. ‘Special Agent in Charae (SAC) Responsibilities. On an annual basis, the SAC will review the current referral guidelines agreed upon with the U.S. Attorneys in their area of responsibilty and determine whether the existing referral guidelines are reflective of the current policies of the U.S. Attorney's Office or whether any adjustments could be made to create or encourage enhanced prosecution of NICS referrals. Should the SAC determine changes need to be made to those guidelines the SAC will meet with his/her respective U.S. Attorney(s) to reaffirm the importance of prosecution of violations related to Federal firearm prohibitions and, where needed, update referral guidelines, This duty may be delegated to an assistant special agent in charge (ASAC), resident agent in charge (RAC), or group supervisor (GS), as deamed appropriate (1) Each SAC will certify for each U.S. Attorey the referral guidelines are current or ‘notification of new referral guidelines will be submitted by memorandum annually by January 15 to the respective DAD, Field Operations with a copy to the Chief, DENI Branch. (2) Each SAC will establish a NICS coordinator and an alternate (back-up) coordinator in the field division and notify the Chief, DENI Branch, via email, of this designation and of any changes thereafter. The SAC will also ensure all personnel in their field division are informed of whom the coordinator and the alternate are. in addition, a lst of each field civision’s NICS coordinator, and the alternates, will be posted on the ATF Intranet, (3) Each SAC, at hisiher discretion, should meet with histher law enforcement counterparts in POC States (see Permanent Brady State Lists attached as Exhibit 1) to establish joint coordination of NICS referral investigations. This duty may be delegated to an ASAC, RAC, or GS as deemed appropriate Division Counsel Responsibilties. Division counsel will be available to respond to ‘questions regarding a subject's prohibited status and support the case agent's assessment of obtained information/documentation such as: criginal and/or amended charging documents (compiainvinformation‘indictment) with any Supporting charging Page 4 8 ATF 0 3140.14, 8/9/2017 affidavit, joural entry/order of plea/convietion/sentencing, court minutesidacket sheets, state pardons, restorations of rights, expunctions/expungements, deferred adjudications, and statements of mental competency. When requested, the Division Counsel will provide a written legal opinion or explanation on the subject's prohibited/non-prohibited ‘status, which willbe then entered as a source document in N-Force NICS Delayed Denial Cases ~ Field Investigation, Delayed denial investigations involve the transfer of a firearm to a suspected prohibited person and should be prioritized appropriately. A delayed denial occurs when an FBI NICS examiner cannot make a determination whether the individual is prohibited from purchasing andior possessing a firearm within 3 business days of the initial delayed response, therefore permitting the FFL to complete the transaction, 3 DEN Branch Responsibilities - Delayed Denials. Delayed deniats are transmitted to the DENI Branch from the FBI NIGS Section day. The DENI Branch evaluates and refers. NICS delayed denials where the subjects believed to be prohibited to the appropriate field avision through the division NICS coordinator for investigation. These denials are stored in the ATF ANR database (1) The DENI Branch will compile and forward all available supporting documentation to the appropriate NICS coordinator (2) Ifthe DENI Branch is notified by the FBI NICS Section of an overtum on an open delayed denial investigation, the DENI Branch will ntity the special agent ‘assigned to the investigation without delay b, NICS Coordinator Responsibilities ~ Delayed Denials, (1) The NICS coordinator will maintain situational awareness of the status of all open NICS cases in their feld division. Particular emphasis is to be placed on timely investigations associated with delayed denials; determining if a firearm was transferred; the legality of the transfer, and, when possession is prohibited, documenting efforts to seize the firearm or cause the subject to divest themselves of the firearm. This may be accomplished by review of the case file in 'N-Force, or communications with the RAC/GS andlor case agent. In order to maintain organizational awareness of the status of NICS delayed denials, the NIGS coordinator will maintain the Frontine Analytics Criminal Enforcement dashboard report “Open NICS Delayed Denials’ for all open NICS delayed denial ccases in their field division. For procedures to update and maintain the report, see the ATF Frontline Analytics Production System User Guide. The NICS coordinator will ensure all open NICS delayed denials have a status update documented in the Open NICS Delayed Denial report within the first 10 days of the month as this report will be used fo update the Executive Staff at ATF Headquarters on the status of investigative efforts on a monthly basis. The NICS ‘Coordinator is required to acquire and maintain access to ANR (NICS Referral Application) database in order to support field operation/retrieval efforts, (2) Within 3 business days of receiving a delayed denial referral from the DENI Branch, the NICS cocrdinator will upload all the available supporting documentation into the source folder in N-Force and forward the referral as @ general investigation in N-Force to the respective field office for investigation, Cases in which the subject's criminal history involve serious firearm offenses, Violent or serious felonies, mental iiness, or domestic violence, the NICS. coordinator will insure the case is sent to the field in an expeditious manner. If additional time is needed by the NICS coordinator a justification must be documented in the case management log. The management log drop-down of Page 5 ATF 0 3140.18 9/2017, "Intel-Field intelligence Support (See Remarks)" in N-Force should be used by the NICS coordinator when inputting pertinent information. (3) Additional NICS Coordinator Duties Concerning Delayed Denials. (a) {fat any point the NICS coordinator is notified by a special agent that an investigation has uncovered information to sustain a prohibition or identified other prohibiting conditions, or determined that a subject is not federally prohibitec from possessing firearms in a case, they shall ensure the appropriate documentation (certified evidence such as official court, institution, or military documents) is forwarded to the DENI Branch without delay. The DENI Branch will subsequently notify the FBI NICS ‘Section of those subjects not federally prohibited from receiving or possessing firearms without delay. RACIGS Responsibilities ~ Delayed Denials (1) Within three business days of receiving a referral from the NICS coordinator, the RACIGS will assign the general case in N-Force to a special agent and ensure that investigative activity, as defined in paragraph 8.4. (2) (a) through (4) in this Order, is intiated. During the process of vetting the case, the RAC/GS will document all non-Repor of Investigation (ROI) investigative activity in the Management log appropriately, (2) Toassign a delayed denial case to an agent in N-Force, the RAC/GS will select “Case Transferred’ (3) Once assigned to a special agent, the case will be assigned an Ul number, and the RAC/GS will monitor the progress and outcomes of all investigations to ensure field agents are responding to delayed denials in a timely fashion and appropriately document supervisory case activity in the N-Force case ‘management log, (4) The RAG/GS may coordinate with the NICS coordinator to ensure every open NICS delayed denial has a status update documented in the Open NICS Delayed Denial report within the first 10 days of the month, as this report will be used to Notify the status of investigative efforts to the Executive Staff at ATF Headquarters on a monthiy basis, (5) When the investigation is complete the RAC/GS must ensure the proper case closing code has been used by the investigating special agent as outlined in Paragraph 12, subparagraph a. through d. The RAC/GS will ensure the special agent properly closes and documents a NICS denial in N-Force through the use of the "Firearms Retrieval NICS" report of information with the appropriate event ‘sub-type (abandonment, firearm not transferred, given to local law enforcement, referred to other agency, returned to FFL, seized by ATF, subject not prohibited, transferred to a third party or unable to locate subject), or by converting the {general case to an actual case, resulting in the subsequent closure of the general case, lnvestigating Special Agent Responsibilities ~ Delayed Denials, (1) Special agents should be aware delayed denial investigations involve the transfer of a firearm to a suspected prohibited person and should be prioritized appropriately, Page 6 ATF 3140.18 89/2017 (2) Upon being assigned a delayed denial case, the special agent will conduct the following investigative activity: fa) () © @ If during the initial assessment conducted by the RAC/special agent it ‘appears the disabilty identified by NICS may not be a qualifying conviction or prohibition, the RAC/special agent will review the information with Division Counsel and obtain the necessary court and/or law enforcement records for a more definitive review of the prohibition determination. The special agent will document this in the case management log. Otherwise, within 3 business days of being assigned the case, the special agent will contact the suspected prohibited possessor in person or via telephone to affirmatively advise him/her of ‘the prohibition, confirm his/her acquisition/ possession of the firearm(s), and discuss and initiate various firearm disposition scenarios. The ‘special agent will document all investigative activity related to all contact with the suspected prohibited person in an ROI and/or the case management log in N-Force If the special agent is unable to make contact with the suspected prohibited person in person or via phone within 3 business days, or where extenuating circumstances exist (e.g., extraordinary distance andior inclement weather), with RAC/GS concurrence noted in the case management log, the special agent will send a Warning Notice of Prohibited Firearm Transaction letter (See Exhibit 2) via Certified Return Receipt Requested mail Other factors to balance public safety concerns land the efficientieffective use of ATF resources should also be considered. In any extenuating circumstances, the RAC/GS will provide detailed documentation of the factors leading to the decision to approve the special agent's investigative activity in the case management log in N-Force. If the special agent has not successfully contacted the suspected prohibited person andior retrieved the firearm/ammunition within 14 calendar days, the special agent will send a Warning Notice of Prohibited Firearm Transaction letter via Certified Return Receipt Requested mail to the last known address of the suspected prohibited person, even if a previous notice was sent. A variance for this reporting period may be granted by the RACIGS if the special agent has not received the proper documentation from an outside agency (court records, etc.) to properly determine prohibition. Acknowledgement of this will be made in the N- Force management log, along with justification showing that the special ‘agent requested the proper documentation without any reasonable delay. The special agent will also notify the chief law enforcement officer, or the designated representative, for the agency, which has primary local jurisdiction for the suspected prohibited person’s last known address. Ifthe firearm has not yet been retrieved, returned, or otherwise removed from the possession of the suspected prchibited possessor, and, when the investigation confirms the existence of a prohibition, the special ‘agent will update the continued investigative activity, at a minimum, ‘every 30 days in N-Force. (3) fat any point during the investigation it is determined the subject is not federally prohibited from possessing firearms, the special agent will follow the Not Prohibited Person procedures, which require the special agent provide certified Page 7 (4) «) 6) ATF 0.3140.14, 3/9/2017 evidence such as official court, institution, or military documents showing the Subject is not prohibited. This documentation will be scanned and added to the case source folder in N-Force, as well as be provided to the NICS coordinator, Who will forward it without delay to the DENI Branch. The DENI Branch will notify the FBI NICS Section of those subjects not federally prohibited from receiving or possessing firearms. If at any point the investigation has uncovered information to sustain the prohibition, or identified other prohibiting conditions, that information should be documented and stored in N-Force, as well as provided to the NICS coordinator, who will forward it without delay to the DEN! Branch. ‘The special agent will properly close and document all NICS denials in N-Force through the use of the "Firearms Retrieval NICS" report of information with the appropriate event sub-type (abandonment, firearm not transferred, given to local law enforcement, referred to other agency, returned to FFL, seized by ATF, subject not prohibited, transferred to a third party, or unable to locate subject), or by converting the case to an actual case, resulting in the subsequent closure of the general case, If the special agent seizes and takes custody of a firearm, as set forth in ATF O 3400.1D, Property Taken into Bureau Custody (ATF Property Manual), the ‘special agent will convert the general case to an actual case and properly dispose of it upon completion of the investigation Allfirearms seized as part of a delayed denial should be evaluated for entry into the National integrated Ballistic Information Network (NIBIN). The special agent should take into consideration factors including, but not limited to, the amount of {ime the firearm has been in possession ofthe Subject, the condition ofthe firearm (e.g., new in the box), and any statements made by the subject or other witnesses during the course ofthe investigation. NOTE: Divisions can deviate from the above delineated delayed denial process with the approval of the SAC and concurrence from the regional Field Operations DAD. If an officelsivision ‘chooses to deviate trom the process of a delayed denial as described in paragraph 8 of this Order, such deviation must be documented in a memorandum through the SAC and forwarded to the DENI Branch (with @ copy to appropriate Field Operations DAD). The office/division is stil required to comply with the deadiines and overall timelines set out in paragraph 8, subparagraphs (2), €(1), and d (2)(a) through (4), © Additional Special Agent Duties and Discretion Concerning Delayed Denials. (1) Additional discretion may be exercised by the special agent to determine whether seizure of the firearm is appropriate, The special agent should consider the subject's interview, his/her criminal intent, the nature of the previous conviction, and length of time since the conviction when determining whether seizure of the firearm is appropriate. Ifthe special agent determines seizure is not recommended, with RACIGS concurrence noted in the case management log detailing the factors leading to the decision, the special agent's investigative activityiactions may include: (2) Disposition Divestiture. The subject should be allowed to divest himseltinerseif ofthe firearm. This disposition must be documented using the most accurate RO! type and subtype to accurately describe the disposition ofthe firearm (e.g., RO! Type “Firearms Retrieval (NICS), Subtype "Given to Local Law Enforcement’). The subject may divest himselfinerself by any ofthe folowing Page 8 ATF 0 3140.18 8/9/2017 Seizure, The firearm will be seized for forfeiture. The subject \will be advised that any time prior to the court entering an order for forfeiture, the subject may direct that the firearm be transferred to an FFL, Returning the firearm to an FEL. The subject may return the firearm or ammunition to the FFL from whom it was purchased, orto any FFL. Al attempts must be made by the special agent to personally witness this transfer. However, for the purpose of expediting the transfer of the firearm, when circumstances exist which hinder the special agent's ability to witness the transfer, ‘and with the consent of the RACIGS, the following documentation is acceptable for validating and acknowledging the transfer: a The subject must obtain written documentation from the FFL, which shows that the firearm in question was returned to the FFL; and provide a copy of that documentation to the special agent. The special agent must contact the FFL to obtain visual confirmation ofthe return, such as a copy ofthe receipt or photo ofthe Acquisition and Distribution Book, for the case file ‘Abandonment. The subject may also be given the option of divesting himself herself of the firearm or ammunition by giving it to the local ATF office and completing an abandonment form (F 3400.1), ‘Third garty transfer. The subject may engage in a third party iransfer by transferring or seling the firearm to a non-prohibted third party. The special agent must conduct a criminal history check on the receiving third party to ensure they are not prohibited. The thd party transfer may be made in the folowing manner 2 Transferring the firearm or ammunition to a FFL or selling the firearm or ammunition to a thitd party through an FFL. When such transfers are made, the special agent must obtain a copy of the transferring document and a properly executed copy of the “Acknowledgement of Notice in Receiving Firearm(s) andor Ammunition” (Exhibit 3) It an FFL is not available to facilitate the transfer of a firearm to a third party, the special agent or another law ‘enforcement entity must witness a transfer of a firearm ‘or ammunition to a third party, who must be a resident of the same State as the transferor (prohibited person). In ‘such cases, the special agent or other law enforcement entity must obtain a copy of the transferring document ‘and a properly executed copy of the “Acknowledgement of notice in receiving firearm(s) and/or ammunition” (Exhibit 3), Page 8 10. @ ATF 0 3140.14 8/9/2017 @ —_Inextraordinary circumstances, a third party transfer may be made outside the presence of an FFL, special agent, or other law enforcement entity ifthe transfer has ‘been pre-approved by the SAC, the special agent has insured that the receiving party is not prohibited, and an ‘Acknowledgement of Notice in Receiving Firearm(s) or ‘Ammunition form is signed by the third party in the presence of a notary. NOTE: Under no circumstances may such firearms be transferred to a person employed by the subject or to an individual residing with the subject. State Seizure. When extenuating circumstances exist (such as extraordinary Gistance, but the subjects criminal history involves firearms, violent or serious felonies, mental ilness, or domestic violence), the special agent, with RAC/GS approval, may enlist the assistance of State and local law enforcement to obtain 4 State seizure warrant (based upon information supplied by the ATF special ‘agent that establishes probable cause), and then seize the firearm. The seizing law enforcement agency can then present the firearm to ATF for adoption under Federal law, allowing time for a special agent to retrieve and seize the firearm, Special agents must take into account the Civil Asset Forfeiture Reform Act deadlines. NOTE’ Under no circumstances wil local law enforcement be allowed to destroy or dispose of said firearm, Pre-Pawn Check Denial ~ Field Investigation. a. —_Pre-Pawn NICS Check Denials occur when an individual attempts to pawn a firearm and is denied because he/she is prohibited by law in one or more of the ten categories listed previously in paragraph §, subparagraph b. (1) through (10). Pre-Pawn NICS checks are fot required in every State and are voluntary where not required, b. When a field office/civision is notified of a pre-pawn NICS check denial, the case will be followed up in accordance with the procedures oultined in a delayed denial case, as listed in paragraph 5, subparagraph b. (1) through (10) in this Order. ‘Standard Denial — Field investigations. Standard denial investigations involve the attempted Purchase of a firearm by a suspected prohibited person where the transaction is denied by the FBI NICS Section based on the background check and no transfer of the firearm occurs. a DENI Branch Responsibilities — Standard Denial a @ ‘The DENI Branch screens standard denial cases and only refers to the fiele those denials that meet the referral guidelines of the respective U.S. Attorney's Office The DENI Branch will forward the Not Referred Denials Report, which consists of data regarding NICS deniais that did not meet the referral guidelines and, therefore, were not referred to the field for investigation, to the NICS coordinator weekly b. NICS Coordinator Responsibilities — ial a ‘The NICS coordinator will ensure standard denial cases are sent to the ‘appropriate field office within 5 business days when they are received from the DENI Branch. If additional time is needed by the NICS coordinator, a justification must be documented in the case management log, The management log drop- Page 10 ATF 0.3140.14, 8/9/2017 down of “Intel-Field inteligence Support (See Remarks)" in N-Force should be used by the NICS coordinator when inputting pertinent information, (2) The NICS coordinator will review the Not Referred Denials Report and may ‘coordinate with the division Crime Gun Intelligence Center for determination of potential leads that will then be referred to the field for further investigation, (3) The NICS coordinator will notify the Chief, DENI Branch by email a standard denial case is received that does not meet the referral guidelines, The notification will expiain in detail the reasons the standarc denial did not meet the referral Suidelines. c. RACIGS Responsibilities ~ Standard Denials, (1) Upon receipt of a referral trom the NICS coordinator, the RACIGS will assign the {general case to a special agent in N-Force by selecting “Case Transferred,” and ensure the special agent initiates investigative activity within 10 business days, (2) During the process of vetting the case, the RAC/GS will document non-RO! Investigative activity in the management log as deemed appropriate (3) Once assigned special agents, the RAC/GS will monitor the progress and ‘outcomes of all investigations to ensure field agents are responding to standard denials in a timely fashion and document supervisory case activity in the N-Force case management log (4) When the investigation is complete. the RACIGS must ensure the investigating special agent has used the proper case closing code, as outlined in paragrach 12, subparagraph a. through d,, and that the investigation is closed in N-Force by Using the case tab on the N-Force toolbar, selecting close case," and entering a losing date 4 Investigating Special Agent Responsibilties ~ Standard Denials, (1) Forall standard denial cases, the special agent will initiate investigative activity ‘within 10 business days of receiving the referral. Based on the facts of the investigation, the special agent may use discretion whether to convert the general case to an actual case with concurrence of the RAC/GS (2) Investigative activity may include attempting to contact the suspected or confirmed prohibited individual in person or via telephone to discuss the specifics of the standard denial, to question the individual regarding any previous attempts to obtain a firearm, and to identify if the individual is currently in possession of other firearms, Where appropriate and in lieu of prosecution, the special agent will serve a Warning Notice of Prohibited Firearm Transaction (See Exnibit 2), in person or via certified mail, The special agent should consider personally serving the warning notice if a suspected prohibited person has a violent criminal history or has made more than one attempt to purchase a firearm in the past year. (3) Allinvestigative activity will be primarily documented in an ROI and the case ‘management log will be updated at a minimum every 30 days in N-Foree. Page 11 " 12, 13. ATF O.3140.14, argi2017 Collateral Requests 3, NICS referrals are assigned to the field division where the purchase or attempted purchase took place. There may be instances in which the subject resides in another State in a different field division. For example, a Virginia resident (Washington Field Division) purchases a long gun in North Carolina (Charlotte Field Division). The referral for a delayed denial would be sent to the Charlotte Field Division; however, the firearm would need to be retrieved by special agents from the Washington Field Division >. NICS referral may be transferred by the RAC/GS to another field division with concurrence from the receiving RAC/GS and notification to the NICS coordinator. NICS referrals may also be transferred at the division level from NICS coordinator to NICS. ‘coordinator with authorization from the RACIGS or higher authority ©. Ifthe assigned field division determines that it needs to initiate @ collateral investigation (as set forth in ATF O 3210.70, Investigative Priorities, Procedures and Techniques), it remains responsible for maintaining the case fll in its entirety, including any ROI prepared in N-Force by the assisting field division, Closing NICS cases in N-Force. In al investigations, the special agent must determine and select the appropriate event type (Firearms Retrievals (NICS) and case closing code in N-Force. Listed below are the appropriate applications for several closing codes, This is not a complete list ofall possible closing codes a, Closed — Not a Prohibited Person will be used when a special agent determines the subject is not federally prohibited from possessing firearms. When this closing code is used, the special agent will follow the Not Prohibited Person procedures, which require that the special agent provide certified evidence such as official court, institution, or miltary documents showing that the subjects not prohibited. This documentation will be provided to the NICS Coordinator, who without delay will forward Itto the DENI Branch, The DENI Branch will notify the FBI NICS Section of those subjects not federally prohibited from recelving or possessing firearms. This closing code may be used for delayed denial, pre-pawn check NICS denials, or standard denial investigations. b. Closed — Interdiction/Deterrence Actions willbe used when a special agent has retrieved a firearm but prosecution has been declined, when the subject lacked knowledge or intent to merit recommendation for prosecution, orn those cases in which the special agent has warned an attempted purchaser in ieu of prosecution. This closing code may be used for delayed denial, pre-pawn check NICS denials, or standard denial investigations ©. Closed = No Prosecutive Merit will be used when the referral meets the established referral ‘guidelines but itis determined that the case lacks prosecutorial merit This closing code may be used for delayed denial, pre-pawn check NICS denials, or standard denial investigations. d. Closed = Did not Meet Federal/State Guidelines will be used when the referral does not meet the established referral guidelines. In all cases for which this code is used, the NICS ‘coordinator will notify the Chief, DENI Branch. This closing code may only be used for standard denial investigations. Other General NICS Procedures, 2. Armed Career Crimina's. All referrals involving armed career criminals will be investigated and recommended for prosecution. If the case is decined by the U.S AAttomey's Office, the special agent wil request a letter or e-mail ofthe declination from the U.S. Attorney's Office. The special agent will document inthe case management log or in an ROI the reasons provided as to why the case was declined. The declination of @ Page 12 14 8 ATF 0 3140.18, AUG 0.9 2017 recommendation for prosecution involving an armed career criminal wll be reported to the SAC. NICS Appellant Possessors. When the ATF DENI Branch receives information from the FBI NICS Appeals Unit regarding direct statements of current possession of a firearm by an appeliant who has recently been denied purchase, they wil forward this information Via @ general N-Force case to the field for further investigation i jal Agents Utlizing the ATF NICS Referral Application (ANR) Database. Referral information from the FBI NICS to the DENI Branch relating to purchases or attempted purchases of firearms by prohibited persons is captured in the ANR database. Itis required that each subject of an ATF 922(g) investigation be queried in the ATF ANR, database to determine whether the subject has ever previously been denied the purchase of a firearm by the FBI NICS. If tis determined, the subject has been previously denied, this will be documented, and further investigation will be conducted as needed. A hit’ of a prohibited person's name in the ATF ANR database could strengthen the 922(g) case with a potential additional charge relating to the previous “lying and trying” conduct, as well as demonstrate intent and knowledge as the prohibited person was found in possession of a firearm after being previously denied. In order to meet this requirement, it will be incumbent upon the special agent to gain ‘access to the ATF ANR database through E-Request (READ_ONLY USER) and supervisor approval. The special agent may also contact the division NICS coordinator or the ATF DENI Branch who are required to have access to the ATF ANR database. QUESTIONS. Any questions regarding this Order should be directed to the Chief, Field Management Staff at (202) 648-8400. f Assistant ty (Field Operations) Page 13, ATF 0 3140.14, si9r2017 Permanent Brady State Lists Exhibit 1 States and U. S. Territories in which the FBI Conducts NICS Checks for All Firearm Transactions Alabama ‘Alaska ‘American Samoa Arizona Arkansas: Delaware De. Georgia ‘Guam Idaho Indiana Kansas Kentucky Louisiana Maine Massachusetts Michigan Minnesota Mississippi Missour Montana New Mexico New York North Dakota N. Mariana Isiands Ohio Oktahoma Puerto Rico Rede Island South Carolina South Dakota Texas Vermont Virgin islands West Virginia wyoming States that int of Contact (POC) for All Firearm Transactions California Colorado Connecticut Florida Hawai thinois Nevada New Jersey ‘Oregon Pennsylvania Tennessee Utah Virginia L ‘States that Act as a Partial Point of Contact (POC) for NICS Checks New Hampshire lowa [New Hampshire Department of Safety for handguns Permit POC for handguns FBI- long guns FBI fong guns North Carolina Maryland Permit POC for handguns Maryland State Police - handguns FBI long guns and assault weapons FB) — long guns/pawn redemptions Washington Permit POC for handguns without CPL Wisconsin FBI handguns with CPL Department of Juste for handguns FB —long guns FB) — long guns Nebraska - Permit POC for handguns FBI- ang gun Page 14 ATF 0.3140.1A 9/2017 US. Department of Justice Exhibit 2 Bureau of Alcohol, Tobacco, Firearms and Explosives Field Division Date: TO: WARNING NOTICE OF PROHIBITED FIREARM TRANSACTION ‘The Bureau of Alcohol, Tobacco, Firearms and Explosives (ATF) is the government agency responsible for enforcing Federal firearms laws. Information received by ATF indicates you have acquired or attempted to acquire one or more firearms, while you are prohibited from receiving or possessing a firearm because of an indictment or conviction for a felony, or other firearms disability under Federal law. This leter officially notifies you that, because of your felony indictment, conviction, or other prohibiting Federal firearms disability, Federal law prohibits you from receiving or possessing a firearm or ammunition. Federal law also provides that it shall be unlawful to give false information to a Federal firearms licensee (FFL) during the acquisition or attempted acquisition of a firearm or ammunition, Specifically, Federal law at Title 18, Chapter 44 United States Code (U.S.C.), Sections 922(g) and (n), provide, among other prohibitors, that it is unlawful for any person who is under indictment for, or has been convicted in any court of a crime punishable by imprisonment for a term exceeding one year (ie.,a “felony”) to ship, transport, possess or receive any firearm or ammunition that has affected interstate oF foreign commerce. Further, Title 18, Chapter 44 U'S.C., Sections 922(a)(6) and 924(a)(1)(A), provide that itis unlawful for any person to make a false statement to an FFL when acquiring or attempting to acquire a firearm or ammunition, For example, itis unlawful to misrepresent on a Firearms Transaction Record Part | ~ Over-the-Counter, ATF Form 4473, that you are not prohibited from receiving or possessing a firearm by answering “No” to Question 11. b, through i, or making any other false Fepresentations. Any person under a Federal firearms disability who acquires a firearm or ammunition, oF ‘who makes a false statement or misrepresentation to an FFL when acquiring or attempting to acquire a firearm or ammunition may be imprisoned for up to ten (10) years and/or fined up to $250,000. See Title 18, Chapter 44 U.S.C, Sections 922(g), 922(n), 922(a\(6), 924(a)(1(A) and 924(a}(2), “ Page 15 ATF 0.3140.14, 8/9/2017 You are hereby advised that you are prohibited from receiving or possessing a firearm or ammunition because of your prior convietion or other Federal firearms disability. If you are currently in possession of a firearm and/or ammunition that you previously possessed or received while ‘under a Federal firearms disability, you have several options, In some instances, you may return the firearm immediately to the FFL. To discuss other options, you must contact Special Agent {name at Iphone number] immediately. You will be required to sign this Warming Notice and return a copy to ATE even if you have already retumed the firearm to the FFL. Be advised this Warning Notice does not constitute a bar to the United States, or any State or ‘municipality, to prosecuting you for any criminal offense related to any unlawful firearm transaction. If you have any questions or have information concerning any illegal firearm purchases, please contact this office at [phone number} Resident Agent in Charge Bureau of Alcohol, Tobacco, Firearms and Explosives Field Office Warning Notice Served by: Special Agent, ATF: Date Served: Location Served: ATE Return Address: - (notice mailed) Witnessed by: Special Agent, ATE: Date Thereby acknowledge receipt of this Warning Notice: Recipient's Name (Printed): Recipient's Signature Date Signed by Recipient: 2 Page 16 ATF 3140.18, 89/2017 U.S. Department of Justice Exhibit 3 Bureau of Alcohol, Tobacco, Firearms and Explosives Field Division Date: TO: ACKNOWLEDGEMENT OF NOTICE IN RECEIVING FIREARM(S) OR AMMUNITION Thereby acknowledge that Special Agent of the Bureau of Alcohol, Tobacco, Firearms and Explosives (ATF) has informed me itis unlawful under Federal (18 US.C. §§ 922(4),(x)) and/or State law for a person to deliver, return, sell, loan, or otherwise transfer any firearm or ammunition to a person knowing or having reasonable cause to believe that person is prohi ited from shipping, transporting, receiving, or possessing firearms or ammunition under Federal (18 USC. §§ 922(2),(x)) and/or State law Thereby acknowledge is currently subject to Federal and/or State firearms disabilities, and it would be a violation of Federal and/or State law for me to deliver, return, sell, loan, or otherwise transfer the following firearms) or ammunition to that person, or any other person who is prohibited by Federal and/or State law from shipping, transporting, receiving or possessing, firearms or ammunition, Page 17 ATF 3140.14, 8/9/2017 ACKNOWLEDGEMENT OF NOTICE IN RECEIVING FIREARM(S) OR AMMUNITION Firearm(s)/Ammunition Identified As: SIGNED: Printed Name: Date: Witnessed by: Spes 1 Agent, Law Enforcement Representative or other Witness: Signed: Print Name and Title, applicable Special Agent, Law Enforcement Representative or other Witness: med: Print Name and 1 if applicable eit Page 18

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