How to Appeal a Denial of an Attempted Firearms Purchase in New York (Part 1 of 3)

On September 13, 2023, the NYS Police interjected themselves into the firearms background check system, in between the federal NICS background check system and the federally-licensed dealer in firearms. This was done as part of the 2022 “Concealed Carry Improvements Act” (“CCIA”). At the same time, the NYS Police and the NYS Office of the Attorney General became responsible for administrative appeals of denials of attempted firearms purchases.

So, how does the new New York state appeals process work?

In this three-part series, I’m going to walk you through the steps of the new administrative appeal process. First, the NYSP administrative appeal of the denial at the store. Second, the NYS OAG administrative appeal of a confirmed denial by the NYSP directly. Third, the role, if any for the FBI appeal and/or a court case.

As it has developed, New Yorkers seeking to purchase a firearm are continued to be required under the federal Gun Control Act of 1963 to fill out and sign the ATF Form 4473 at the federally-licensed dealer AND give additional information through a NYS Police on-line portal as part of that same attempted transaction. The federal paperwork lives at the FFL. The NYS Police data disappears from the dealer through the electronic portal.

At some point between a few minutes and upwards of thirty days to never, the NYS Police indicate to the licensed dealer whether to proceed with the sale, or not, or to simply keep the customer in a holding pattern. A “proceed,” and you can purchase the firearm. A “delay,” and you are on hold. A “deny,” and you have a right to appeal the denial.

Talking only about a “DENY,” the licensed dealer would then give you, the customer, an “STN,” which stands for “State Transaction Number.” You will need that number to submit your appeal. You should also jot down for your own notes the day, date, and time of the attempted purchase, and, if it is not within a few minutes, also jot down from the dealer the when they received the deny and the STN.

Your right to appeal the denial is found within the CCIA. It is codified at NY Executive Law §228(8). This statute says:

“(8) Any potential buyer or transferee shall have thirty days to appeal the denial of a background check, using a form established by the superintendent. Upon receipt of an appeal, the division shall provide such applicant a reason for a denial within thirty days. Upon receipt of the reason for denial, the appellant may appeal to the attorney general.”

The “NYS NICS Guide for Appeals” is a 1-page PDF published by the NYS Police. It is found on the www.NYSNICS.NY.gov website. It says you can file the appeal on line, starting with entry of the STN number in the very first box on the web form. The NYS Police electronic filing system does not offer a PDF downloadable to file on paper through the mail. I am not aware of any paper format available for this purpose. Also, the on-line NYSP appeal does not allow an individual to input attorney representation, or, for an attorney to conduct this first step on behalf of a client.

Watch out that there is a deadline for filing this appeal: thirty days (30 days). So, thirty days for you to file + 30 days for the NYSP to respond to you. My general tip concerning deadlines is don’t wait until the deadline. If you are going to appeal, appeal. If you are going to consult with an attorney about the appeal, get up with the attorney of your choice.

Thus far, the chatter around the NYSP on-line appeal of a denial is that an e-mail response is promptly provided by the NYSP to the individual. It seems results are mixed; some are denied again and others are reversed to a “proceed.”

If you win your appeal, the “deny” at the computer of the original shop where you first attempted the purchase will change to “proceed.” Dealers are reporting to me that they do not receive a notification of a change of the status of a customer. Basically, a customer who wins their appeal should go back to the dealer, and ask the dealer to look up the transaction, to confirm it has cleared on the dealer screen, so that the transaction can be completed.

One wrinkle on that successful appeal to the NYSP: if your submission + the NYSP response + you going to the dealer takes longer than thirty days, you will have to go through a fresh background check.

If you lose your appeal, “upon receipt of the reason for denial, the appellant may appeal to the attorney general.” That will be our next segment.

For now, here is a recap of useful information:

1. The statute is NY Executive Law §228(8) on taking the appeal to the NYSP of a denial at the counter of a licensed firearms dealer.

2. The NYS Police published a 1-page instructions flyer in PDF form that you can download at www.NYSNICS.ny.gov. The NYSP can also be reached at 1-877-NYS-NICS.

3. The same website page includes the link to the NYSP “Appeals Form” for an on-line administrative appeal to the NYSP, which you must complete within thirty days (30 days) of the denial at the gun shop.

To learn more about this and other federal and state rights relating to the Second Amendment and other of your civil rights, go to www.CapannaLaw.com for more information. This blog is provided to readers of the www.GOA-NY.com website for informational purposes only. It does not constitute legal advice. You should consult with an attorney of your choosing concerning your individual circumstances. Please do not provide personal information to GOA-NY through this website or other means as there may be no confidentiality rule to cover such a transmission.