CHPTR_11_SECURITIES
Chapter 11
Securities
File
Last update 21 May 2018
REVISIONS TO LEDS MANUAL CHAPTER 11, SECURITIES FILE
Revision Date Section revised Subject revised
May 30, 2007 11.6 Accuracy
July 12, 2007 11.18.26 Type Of Security
October 11, 2007 11.18.23 & 11.18.24 Updates and corrections
December 11, 2007 11.17 etc Query Security Transaction Corrected
February 27, 2008 11.3 Corrections to purge timings.
March 13, 2008 11.18 Explanatory text added
July 30, 2008 11.12.7 New paragraph on “$.O.MOD.ORI Modify Notifications” added.
July 30, 2008 Investigative Action details added
July 21, 2014 11.14.5 Correction to example transaction
October 30, 2017 11.13 Corrected RPP and Benefits and Effectiveness Data fields (VNP, VOR,
11.14.3 VRC, NPA, NPF) to Optional. Corrected references to RPS to RPP (Reason
11.14.5 for Property Record Removal).
11.15.3 Note: RPP must be present to use any of the other benefits and
11.15.6 effectiveness fields.
11.16.4
11.16.7
11.18.17
11.18.18
11.18.24
11.18.33
11.18.34
11.18.35
May 21, 2018 11.8 Updated/corrected reference and link to Validations chapter of the LEDS
Rep Manual
Chapter 11 – Securities File 11-1 For assistance call 503 378-5565
REVISIONS TO LEDS MANUAL CHAPTER 11, SECURITIES FILE ................................................... 1
11.0 SECURITIES .............................................................................................................................. 5
11.1 FILE DESCRIPTION .................................................................................................................. 5
11.2 AUTHORIZED SYSTEM USE .................................................................................................... 5
11.3 RETENTION PERIOD ................................................................................................................ 6
11.4 TIMELINESS OF ENTRY ........................................................................................................... 6
11.5 RECORD COMPLETENESS - GENERAL ................................................................................. 6
11.5.1 RECORD COMPLETENESS – LINKING CASE INFORMATION.................................... 6
11.5.2 RECORD COMPLETENESS – MISCELLANEOUS (MIS) FIELD ................................... 7
11.6 ACCURACY ............................................................................................................................... 7
11.7 DUPLICATE RECORDS ............................................................................................................ 7
11.8 RECORD VALIDATION ............................................................................................................. 7
11.9 LNU AND NIC NUMBERS ......................................................................................................... 7
11.10 LEDS AND NCIC CODES .......................................................................................................... 7
11.11 ENTRY TRANSACTION ............................................................................................................ 7
11.11.1 ENTRY TRANSACTION DESCRIPTION ........................................................................ 7
11.11.2 ADDITIONAL GUIDELINES FOR SERIALIZED SECURITIES ENTRY .......................... 8
11.11.3 ENTRY TRANSACTION PROCEDURE .......................................................................... 9
11.11.3.1 ENTRY MESSAGE KEYS ........................................................................................ 9
11.11.4 SECURITIES ENTRY (ES/ESS)...................................................................................... 9
11.11.4.1 SINGLE SECURITY ENTRY (ES) ............................................................................ 9
11.11.4.2 SINGLE SECURITY ENTRY EXAMPLE ................................................................ 10
11.11.4.3 QUERY AFTER SINGLE SECURITY ENTRY ............................................................... 10
11.11.5 CONSECUTIVELY NUMBERED SECURITY ENTRY................................................... 10
11.11.5.1 CONSECUTIVELY NUMBERED SECURITY ENTRY EXAMPLE............................ 1
11.11.6 INVESTIGATIVE INTEREST SUPPLEMENTAL RECORD.................................................. 1
11.11.6.1 IDENTIFICATION OF RECORD TO APPEND INVESTIGATIVE INTEREST ................. 1
11.11.6.2 ENTER INVESTIGATIVE INTEREST MESSAGE KEY ................................................... 2
11.11.6.3 ENTER INVESTIGATIVE INTEREST SUPPLEMENTAL RECORD (EII) ........................ 2
11.12 MODIFY TRANSACTION........................................................................................................... 4
11.12.1 MODIFY TRANSACTION DESCRIPTION....................................................................... 4
11.12.1.1 ADDITIONAL GUIDELINES FOR SERIAL SECURITIES MODIFICATION.............. 4
11.12.2 MODIFY TRANSACTION PROCEDURES ...................................................................... 4
11.12.2.1 DELETION OF DATA FROM A RECORD................................................................ 5
11.12.3 MODIFY MESSAGE KEYS ............................................................................................. 5
11.12.4 IDENTIFICATION OF RECORD TO BE MODIFIED ....................................................... 5
11.12.5 MODIFY SECURITIES TRANSACTION (MS/MSS) ........................................................ 5
11.12.5.1 MODIFY SINGLE SECURITY TRANSACTION EXAMPLE ...................................... 6
11.12.5.2 MODIFY SEQUENTIALLY NUMBERED SECURITIES EXAMPLE.......................... 6
11.12.6 INVESTIGATIVE INTEREST RECORD MODIFICATION ............................................... 6
11.12.7 NCIC MESSAGE WHEN THE ORI IS MODIFIED TO THAT OF ANOTHER AGENCY .. 6
11.13 BENEFITS AND EFFECTIVENESS DATA ............................................................................... 7
11.14 CLEAR TRANSACTION............................................................................................................ 7
11.14.1 CLEAR TRANSACTION DESCRIPTION ........................................................................ 7
11.14.2 CLEAR TRANSACTION PROCEDURE .......................................................................... 7
11.14.3 BENEFITS AND EFFECTIVENESS DATA...................................................................... 8
11.14.4 CLEAR MESSAGE KEYS ............................................................................................... 8
11.14.4.1 IDENTIFICATION OF RECORD TO BE CLEARED ................................................. 8
Chapter 11 – Securities File 11-2 For assistance call 503 378-5565
11.14.4.2 IDENTIFICATION OF A GROUP RECORD TO BE CLEARED ............................... 8
11.14.5. CLEAR SECURITIES TRANSACTION (CS/CSS) ......................................................... 10
11.14.6. CLEAR SECURITY TRANSACTION EXAMPLES......................................................... 11
11.14.6.1 CLEAR SINGLE SECURITY RECORD .................................................................. 11
11.14.6.2 CLEAR CONSECUTIVELY SERIALIZED SECURITIES RECORD ....................... 11
11.15 CANCEL TRANSACTION ....................................................................................................... 12
11.15.1 CANCEL TRANSACTION DESCRIPTION .................................................................... 12
11.15.1.1 ADDITIONAL GUIDELINES FOR SERIAL SECURITIES CANCELATION ............ 12
11.15.2 CANCEL TRANSACTION PROCEDURES ................................................................... 13
11.15.3 BENEFITS AND EFFECTIVENESS DATA.................................................................... 13
11.15.4 CANCEL MESSAGE KEYS ........................................................................................... 14
11.15.5 IDENTIFICATION OF RECORD TO BE CANCELED ................................................... 14
11.15.6. CANCEL SECURITIES TRANSACTION (XS, XXS)...................................................... 14
11.15.6.1 CANCEL SECURITES TRANSACTION EXAMPLES ............................................ 14
11.15.7 CANCEL INVESTIGATIVE INTEREST RECORD TRANSACTION .............................. 15
11.15.7.1 CANCEL INVESTIGATIVE INTEREST RECORD PROCEDURE .......................... 16
11.15.7.2 CANCEL INVESTIGATIVE INTEREST RECORD MESSAGE KEY (XII) ............... 16
11.15.7.3 IDENTIFICATION OF RECORD TO BE CANCELED ........................................... 16
11.15.7.4 CANCEL INVESTIGATIVE INTEREST DATA TRANSACTION (XII) ..................... 16
11.15.7.5 CANCEL INVESTIGATIVE INTEREST TRANSACTION EXAMPLES ................... 16
11.16 LOCATE TRANSACTION ....................................................................................................... 18
11.16.1 LOCATE TRANSACTION DESCRIPTION .................................................................... 18
11.16.2 LOCATE TRANSACTION PROCEDURES ................................................................... 18
11.16.2.1 IDENTIFICATION OF A GROUP RECORD FOR LOCATE ................................... 18
11.16.3 ADDITIONAL GUIDELINES FOR SERIALIZED SECURITIES LOCATE ...................... 19
11.16.4 BENEFITS AND EFFECTIVENESS DATA.................................................................... 19
11.16.5 LOCATE MESSAGE KEYS ........................................................................................... 19
11.16.6 IDENTIFICATION OF RECORD TO BE LOCATED ...................................................... 19
11.16.7 LOCATE SECURITIES TRANSACTION (LS/LSS)........................................................ 20
11.16.7.1 LOCATE SECURITIES TRANSACTION EXAMPLES ............................................ 20
11.17 INQUIRY TRANSACTION....................................................................................................... 21
11.17.1 QUERY MESSAGE KEYS ............................................................................................ 21
11.17.2 ADDITIONAL GUIDELINES FOR AN INQUIRY ............................................................ 21
11.17.3. RELATED SEARCH HITS (RSH) .................................................................................. 22
11.17.4 QUERY SECURITY TRANSACTION ............................................................................ 22
11.17.4.1 QUERY SINGLE SECURITY RECORD TRANSACTION EXAMPLE .................... 22
11.17.4.2 QUERY WITH A GROUP RECORD EXAMPLE..................................................... 23
11.17.5 BATCHED SECURITY QUERIES ................................................................................. 24
11.17.5.1 BATCHED SECURITY QUERIES TRANSACTION....................................................... 24
11.17.5.2 BATCHED SECURITY QUERY EXAMPLE............................................................ 24
11.17.5 QUERY CASE FILES TRANSACTION ......................................................................... 25
11.17.5.1 QUERY CASE FILES EXAMPLE ........................................................................... 25
11.18 MFC DIRECTORY .................................................................................................................. 26
11.18.1 DCL DATE OF CLEAR - 8 ............................................................................................ 26
11.18.2 DEN DENOMINATION - 9 ............................................................................................ 26
11.18.3 DII DATE OF INVESTIGATIVE INTEREST – 8 ........................................................... 28
11.18.4 DOC DATE OF CANCELLATION - 8 ............................................................................ 28
11.18.5 DOR DATE OF RECOVERY - 8 ................................................................................... 28
11.18.6 DOT DATE OF THEFT - 8 ............................................................................................ 28
11.18.7 ICA INVESTIGATIVE INTEREST CASE NUMBER – 20 .............................................. 28
Chapter 11 – Securities File 11-3 For assistance call 503 378-5565
11.18.8 IIA INVESTIGATIVE INTEREST AGENCY IDENTIFIER – 9 ........................................ 28
11.18.9 ISS ISSUER - 15 ........................................................................................................... 28
11.18.10 LKA LINKAGE CASE NUMBER - 20 ............................................................................ 30
11.18.11 LKI LINKAGE AGENCY IDENTIFIER - 9 ...................................................................... 30
11.18.12 MIS MISCELLANEOUS FIELD - 200 ............................................................................ 30
11.18.13 MKE MESSAGE KEY.................................................................................................... 36
11.18.14 NIA NOTIFY INVESTIGATING AGENCY – 1 ............................................................... 36
11.18.15 NIC NCIC NUMBER - 10 .............................................................................................. 36
11.18.16 NOA NOTIFY ORIGINATING AGENCY - 1 .................................................................. 36
11.18.17 NPA NUMBER OF PERSONS APPREHENDED - 3 .................................................... 36
11.18.18 NPF NUMBER OF MISSING PERSONS FOUND - 20 ................................................. 36
11.18.19 OCA ORIGINATING AGENCY CASE NUMBER - 20 ................................................... 37
11.18.20 ORI ORIGINATING AGENCY IDENTIFIER - 9 ............................................................. 37
11.18.21 OWN OWNER - 40 ....................................................................................................... 37
11.18.22 RCA RECOVERING AGENCY CASE NUMBER - 20 ................................................... 38
11.18.23 RMI RANSOM MONEY INDICATOR - 1 ....................................................................... 38
11.18.24 RPP REASON FOR PROPERTY RECORD REMOVAL - 21 ...................................... 39
11.18.25 RRI RECOVERING AGENCY IDENTIFIER -9 .............................................................. 39
11.18.26 RSH RELATED SEARCH HIT - 1 ................................................................................. 40
11.18.27 SDT SECURITY DATE (OR SERIES YEAR) - 9 .......................................................... 40
11.18.28 SER SERIAL NUMBER(S) - 18/37 ............................................................................... 41
11.18.29 SOC SOCIAL SECURITY NUMBER - 9 ....................................................................... 42
11.18.30 TYP TYPE OF SECURITY - 2 ...................................................................................... 43
11.18.31 VLD DATE OF LAST VALIDATION - 8 ......................................................................... 43
11.18.32 VLN NAME OF VALIDATOR - 30 ................................................................................. 43
11.18.33 VNP VALUE OF RECOVERED PROPERTY – 8 .......................................................... 44
11.18.34 VOR VALUE OF OTHER RECOVERED PROPERTY – 8 ............................................ 44
11.18.35 VRC VALUE OF RECOVERED CONTRABAND – 8 .................................................... 44
Chapter 11 – Securities File 11-4 For assistance call 503 378-5565
11.0 SECURITIES
This section describes procedures for making entries, updates, and inquires into the NCIC
securities file. Because of the relatively small number of securities stolen in Oregon and to avoid
unnecessary duplication, LEDS does not maintain a securities file.
11.1 FILE DESCRIPTION
For NCIC purposes, securities are identified as currency, e.g., Federal Reserve Notes, Silver
Certificates, U. S. Notes, Canadian Notes, and other foreign currency, etc.; those documents or
certificates that are generally considered to be evidence of debt (Treasury-issued bills, bonds, and
notes; municipal and corporate bonds; debentures; other non-personal notes; etc.) or ownership
of property (common or preferred stock); documents which represent subscription rights (stock
warrants, stock rights); other types traded in securities exchanges in the United States, except for
commodities futures; postal and other types of money orders, traveler's checks, warehouse
receipts, savings certificates, and interest coupons on stocks and bonds.
Items which DO NOT MEET the definition for entry in any NCIC file are personal notes; bank
drafts; cashier's checks; bank officer's checks; certified checks; personal checks; company
checks; U.S. Treasury checks, and other types of government checks (state and local); lost or
stolen credit cards; gold or silver coins; gift certificates; and savings and checking account
passbooks. Serialized food coupons (stamps and books), ingots, lottery tickets, and medals do not
qualify as securities for NCIC purposes, but may be entered in the NCIC Article File.
11.2 AUTHORIZED SYSTEM USE
The LEDS, NCIC, and other databases are designed for, and made available to, criminal justice
agencies to aid in the investigation of crimes and prosecution of criminal offenses.
In addition, under certain conditions, select governmental non-criminal justice agencies are
granted limited access via specific authority set forth in law, rule, and/or executive order
necessary to fulfill very specific duties of given agency.
Notwithstanding this exception, use of the system as well as all the data entered into or extracted
from any such database(s) is restricted to a Criminal Justice Purpose and the “administration of
criminal justice” which is defined as:
“The performance of any of the following activities: detection, apprehension, detention, pretrial
release, post trial release, prosecution, adjudication, correctional supervision, or rehabilitation of
accused persons or criminal offenders.”
The administration of criminal justice shall include criminal identification activities and the
collection, storage, and dissemination of criminal history record information. Criminal justice
employment investigations are included, as is the licensing or issuing of a permit for a weapon or
explosive when required to be performed by a criminal justice agency, pursuant to a federal, state,
or local law. (This category includes firearms dealers and purchasers, carriers of concealed
weapons, explosives dealers and users and lethal weapons dealers and users). State and Federal
Inspector General offices are included.
Defense of accused persons, whether by private counsel, public defender or other court appointed
counsel is not included in the definition of the administration of criminal justice.
LEDS and NCIC conduct both routine and unscheduled audits to ensure strict adherence to
system discipline. LEDS is mandated to investigate all reports of violations of system use policies,
physical and technical security, as well as data access, use, and dissemination policies and
procedures.
Chapter 11 – Securities File 11-5 For assistance call 503 378-5565
11.3 RETENTION PERIOD
The following retention periods have been established for NCIC Security Records.
TYPE LEDS NCIC
RETENTION PURGE RETENTION PURGE
Entries made by Secret Service N/A N/A UNTIL REMOVED N/A
Ransom Securities N/A N/A UNTIL REMOVED N/A
All other except Travelers checks N/A N/A YEAR OF ENTRY + ANNUAL
and money orders 4 YEARS
Travelers checks and money orders N/A N/A YEAR OF ENTRY + ANNUAL
2 YEARS
11.4 TIMELINESS OF ENTRY
Entry is to be made immediately after the decision to arrest or authorize arrest has been made,
and all conditions for entry are met. The promptness in entering, modifying, clearing, and
canceling of stolen security records is the responsibility of the originating agency.
Timely modification of a record is that which occurs as soon as possible following the detection of
erroneous data in an existing record, and/or as soon as possible following the receipt of data not
already stored in the record.
Timely removal from the file requires immediate removal of the record once the originating agency
has documentation the security has been recovered.
11.5 RECORD COMPLETENESS - GENERAL
Before entering a Securities File record, it is imperative to obtain as much information as possible.
It is the sole responsibility of the entering agency to ensure all sources of available information are
checked. Sources include, but are not limited to:
State and National Computerized Criminal History Files
Agency case files
Bureau of Public Debt
Vehicle Registration records (cars, boats, aircraft, etc.) in and out of state
Driving records in and out of state
Department of Corrections databases
Commercial investigative databases to which the entering agencies subscribe
And any and all other information that will result in a more complete record
11.5.1 RECORD COMPLETENESS – LINKING CASE INFORMATION
The capability to link records is useful when two or more agencies share the same case, or when
different cases in the same department are associated. When a query is made using the “Related
Search Hit” (RSH) field option of “Yes” (Y), all related (linked) records will be returned.
Related records are those with the same ORI/OCA as the primary hit response and all records
linked by the LKI/LKA contained in the primary hit response. Records entered within 30 days after
such query will also be returned.
Chapter 11 – Securities File 11-6 For assistance call 503 378-5565
11.5.2 RECORD COMPLETENESS – MISCELLANEOUS (MIS) FIELD
At minimum, agencies must enter a telephone number at which they may be reached 24-hours a
day for confirmation purposes.
11.6 ACCURACY
The accuracy of records is an integral part of the system. The accuracy of a record must be
double-checked by a second party. Agencies lacking staff support for this verification must
require the investigating officer to check the accuracy of the record, as the case officer carries the
primary responsibility for recovering the stolen property.
The verification of a record must include assuring all available cross checks, e.g. VIN/LIC, were
made and that the data in the record matches the data in the investigative report.
11.7 DUPLICATE RECORDS
If data in the TYP, SER, DEN, OCA, and ORI fields of a stolen security entry message are the
same as those field codes of a record already on file in NCIC 2000, the second entry will be
rejected with the message REJECT ON FILE. Whenever the message REJECT ON FILE is sent,
the record on file will also be transmitted.
A duplicate record will be accepted if the ORI or the OCA in the second entry is different. If
accepted, the first entry (record on file) will be furnished.
11.8 RECORD VALIDATION
Validations are completed by the LEDS Representative or designee. Procedures for
record validation are listed on LEDS secure website under LEDS Representative
Manual, Chapter 5 “Validations.”
https://apps.oregon.gov/Application/PDFDownload/OSP/pdfdownload/osp/LREP_Manual_CHPTR_5.pdf
11.9 LNU AND NIC NUMBERS
Because LEDS does not have a securities file an LNU is not issued.
A unique NCIC file number (NIC) is assigned to each record entered. This number is included in
the computer acknowledgment of the entry and should be retained in the agency case file along
with a copy of the record entered. No entry transaction is complete until the acknowledgment is
received from NCIC.
EXAMPLE: NCIC Number NIC/S475815385
11.10 LEDS AND NCIC CODES
Only codes listed in the LEDS Manual or the NCIC Code Manual are allowed in securities records.
To locate the proper codes for entering or interpreting NCIC Securities records see the Message
Field Code Directory, in section 11.18
11.11 ENTRY TRANSACTION
11.11.1 ENTRY TRANSACTION DESCRIPTION
Serially-numbered identifiable securities that have been stolen, embezzled, used for ransom, or
counterfeited may be entered into the file if a theft report has been made.
Chapter 11 – Securities File 11-7 For assistance call 503 378-5565
Only the agency holding the theft report and having primary jurisdiction over the place of actual
theft may make an NCIC 2000 entry. The only exception occurs when the agency has no
telecommunications equipment. In such instances, any criminal justice agency or regional
dispatch center may act as holder of the record. When such an entry is made, the agency holding
the record may place its own Originating Agency Identifier (ORI) in the ORI Field only when there
is a written agreement between the two agencies which delineates the legal responsibility for the
record. Additional information concerning these responsibilities can be found in the ORI File
chapter of this manual.
11.11.2 ADDITIONAL GUIDELINES FOR SERIALIZED SECURITIES ENTRY
1. The beginning and ending serial numbers of the sequence must have a hyphen separating
the two numbers for the SER Field. NCIC 2000 will accept two serial numbers containing
an equal number of characters, not exceeding 18 in each number, when the numbers are
separated by a hyphen, the message key code is ESS, and the consecutive sequence
does not exceed a total of 100 serial numbers.
2. Serial numbers in a group entry must be numerically consecutive, and the rightmost
numerics in the two numbers must establish the consecutive sequence. For example:
5387621-5387692 ABC6782-ABC6808
5382961-5382968 ABC67C53-ABC67C68
1235BD-1274BD AB6782C-AB6808C
3. Numbers composed of alphabetic characters only cannot be used. Alphabetic characters
may be present as a prefix, suffix, or intermixed with numeric characters; however, any
alphabetic(s) and its position must be constant in any two numbers used to denote a
sequence.
4. A consecutively serialized group of stolen securities with serial numbers having a common
suffix containing the alphabetic O should not be entered. The System automatically
changes the alphabetic O to the numeric 0 which will result in an alphabetic O in the suffix
being incorrectly treated as the rightmost numeric character.
5. When a group of consecutively serialized securities is entered, the System automatically
generates one NIC for the group record.
6. If more than 100 securities are to be entered, additional group entries must be made.
Inclusion of more than 100 securities in one group entry will result in the entry being
rejected. Thus, a group of stolen securities bearing serial numbers LT526800- LT526952
would have to be entered in two separate entries. For example:
ESS.OR0370100.TC.LT526800-LT526899.20.OREGON EXCESS.LEDSTEST REGIONAL
BANK..BLANK.20051205.2006-123456789...503 378-5565 SEE SER/LT526900-LT526952
ESS.OR0370100.TC.LT526900-LT526952.20.OREGON EXCESS.LEDSTEST REGIONAL
BANK..BLANK.20051205.2006-123456789...503 378-5565 SEE SER/LT526800-LT526899
Chapter 11 – Securities File 11-8 For assistance call 503 378-5565
11.11.3 ENTRY TRANSACTION PROCEDURE
If the message key ES or ESS is used, an acknowledgment will be received from NCIC. All
acknowledgments must be retained in the case files for documentation
11.11.3.1 ENTRY MESSAGE KEYS
ES Enter single security
ESS Enter consecutively serialized group of securities
11.11.4 SECURITIES ENTRY (ES/ESS)
11.11.4.1 SINGLE SECURITY ENTRY (ES)
ENTRY EXAMPLE: SINGLE SECURITY
This example shows a stolen $500.00 U.S. Savings Bond entry. All data fields must be
entered in the sequence shown, using periods to separate the fields. All fields must be
accounted for.
ES OR 0 3 7 0 0 0 0 SB D8 3 9 0 7 0 9 8E 500
MKE(4 • • TYP • • •
ORI (9) SER (18) DEN (9)
) (2)
U S T R E A S URY MA S O N , J O H N H E R B E R T
• •
ISS (15) OWN (40)
5 0 5 0 3 8 8 8 8 P 1 9 8 2 1 1 0 6 2 0 0 7 0 7 0 7 L E D S T RNG 2 0 0 8 0 7 3 0 - 0 5
• • • • •
SOC (9) SDT (9) DOT (8) OCA (20) LKI (9)
SET # 1
5 0 3 - 3 7 8 - 5 5 65 R E S D BURG O T H E R BOND S ST LN
•
LKA (20) MIS (200)
SET # 1 CONT
- TEST R E CORD
• •
MIS (200) CONT NOA (1) RMI (1)
Note:
Mandatory fields.
Conditional fields
.
Optional fields, however, if a mandatory field is present past the optional field, the dot on either
side is mandatory regardless if the optional field is left blank.
SET Must be used as a dataset; therefore each related field must contain appropriate data.
Indicates dot required only if optional field(s) is/are used. The dot is required if the field is left
• •
blank and another field is entered after it.
Chapter 11 – Securities File 11-9 For assistance call 503 378-5565
11.11.4.2 SINGLE SECURITY ENTRY EXAMPLE
ES.OR0370000.SB.D83908098E.500.USTREASURY.MASON,JOHN
HERBERT.505038888.P19821106.20070707.LEDSTRNG 20070730-05...503-378-5565 RESD BURG
OTHER BONDS STLN-TEST RECORD
NCIC ACKNOWLEDGMENT: ES TRANSACTION
REUR 0051 NCIC
0R0370000
NIC/S660011106 SER/D83908098E
OCA/LEDSTRNG 20070730-05
A transaction is not complete until the acknowledgment is received from NCIC.
11.11.4.3 QUERY AFTER SINGLE SECURITY ENTRY
QS.OR0370000.TYP/SB.SER/D83908098E.DEN/500
NCIC RESPONSE: QS ENTRY
MKE/STOLEN SECURITY
ORI/0R0370000 TYP/SB SER/D83908098E DEN/500 ISS/USTREASURY
OWN/MAS0N,J0HN HERBERT SOC/505038888 SDT/P19821106 DOT/20070707
OCA/LEDSTRNG 20070730-05
NOA/N
MIS/503-378-5565 RESD BURG 0THER B0NDS STLN-TEST REC0RD
NIC/S660011106 DTE/20080730 1722 EDT
ORI IS LEDSTEST COUNTY SHERIFFS OFFICE 503 378-3055 X55015
11.11.5 CONSECUTIVELY NUMBERED SECURITY ENTRY
This example shows the entry of 25 consecutively numbered money orders stolen prior to issue.
ESS OR 0 3 7 0 0 0 0 MO AZ 3 6 2 8 5 9 - AZ 3 6 2 8 8 3
MKE • • TYP • •
ORI (9) SER (18 - 18)
(4) (2)
B L ANK BK OF J ACKP I NE
• •
DEN (9) ISS (15)
BANK OF J ACKP I NE
• • •
OWN (40) SOC (9) SDT (9)
20060401 2006 - 1235
• • • •
DOT (8) OCA (20) LKI (9) LKA (20)
SET # 1
P HON E 503 378 - 5565 S T O L E N P R I OR T O I SSUE
MIS (200)
• •
MIS (200) CONT. NOA (1) RMI (1)
Note:
Mandatory fields. Conditional fields:
Optional fields, however, if a mandatory field is present past the optional field, the dot on either
side is mandatory regardless if the optional field is left blank.
SET Must be used as a dataset; therefore each related field must contain appropriate data.
Indicates dot required only if optional field(s) is/are used. The dot is required if the field is left
• •
blank and another field is entered after it.
Chapter 11 – Securities File 11-10 For assistance call 503 378-5565
11.11.5.1 CONSECUTIVELY NUMBERED SECURITY ENTRY EXAMPLE
ESS.OR0370000.MO.AZ362859-AZ362883.BLANK.BK OF JACKPINE.BANK OF
JACKPINE...20060401.2006-1235...PHONE 503 378-5565 STOLEN PRIOR TO ISSUE
NCIC ACKNOWLEDGMENT: ESS TRANSACTION
REUR 0012 NCIC
0R0370000
NIC/S860243048 SER/AZ362859-AZ362883
A transaction is not complete until the acknowledgment is received from NCIC.
If more than 100 securities are to be entered, additional group entries must be made. Inclusion of
more than 100 securities in one group entry will result in the entry being rejected. Thus, a group of
stolen securities bearing serial numbers LT526800- LT526952 would have to be entered in two
separate entries. For example:
ESS.OR0370100.TC.LT526800-LT526899.20.OREGON EXCESS.LEDSTEST REGIONAL
BANK..BLANK.20051205.2006-123456789...503 378-5565 SEE SER/LT526900-LT526952
ESS.OR0370100.TC.LT526900-LT526952.20.OREGON EXCESS.LEDSTEST REGIONAL
BANK..BLANK.20051205.2006-123456789...503 378-5565 SEE SER/LT526800-LT526899
11.11.6 INVESTIGATIVE INTEREST SUPPLEMENTAL RECORD
An Investigative Interest Supplemental Record can be added to stolen vehicle/boat part records.
11.11.6.1 IDENTIFICATION OF RECORD TO APPEND INVESTIGATIVE INTEREST
Records that are to have an Investigative Interest Supplemental Record appended must be
identified by:
• LNU and OCA in that order for LEDS only records
or
• NIC and OCA in that order for NCIC only records
or
• LNU, NIC, and OCA in that order for records that are in both LEDS and NCIC
Chapter 11 – Securities File 11-1 For assistance call 503 378-5565
11.11.6.2 ENTER INVESTIGATIVE INTEREST MESSAGE KEY
EII Enter Investigative Interest Supplemental Record.
11.11.6.3 ENTER INVESTIGATIVE INTEREST SUPPLEMENTAL RECORD (EII)
E I I OR 0 2 4 0 1 5 Y V 0 5 2 9 9 2 5 2 5 V 5 2 0 0 6 1 6 0 8 L EDS T RNG 2 0 0 8 0 7 2 9 - 0 1
• • • • •
MKE IIA(9) LNU(10) NIC(10) OCA(20)
LEDSTEST 2 0 0 8 0 7 2 9 - 0 2 2 0 0 8 0 7 2 9 Y DR I VER WAN T E D F OR COL L I S I ON
• • •
ICA(20) DII(8) NIA(1) MISC(200)
EV A S I ON
MISC(200)(Continued)
MISC(200) (Continued)
MISC(200) (Continued)
Note:
Mandatory fields.
Conditional fields.
Optional fields: however, if a mandatory field is present past the optional field, the dot on either
side is mandatory regardless if the optional field is left blank.
Indicates dot required only if optional field(s) is/are used. The dot is required if the field is left
• •
blank and another field is entered after it.
11.11.6.4 ENTER SUPPLEMENTAL II RECORD EXAMPLE
EII.OR024015Y.V052992525.V520061608.LEDSTRNG 20080729-01.LEDSTEST 20080729-
02.20080729.Y.DRIVER WANTED FOR COLLISION EVASION
LEDS ACKNOWLEDGMENT: EII ENTRY
REUR 0006 LEDS
OR024015Y
ENTERED EII INVESTIGATIVE INTEREST
LNU/V052992525 OCA/LEDSTRNG 20080729-01 ICA/LEDSTEST 20080729-02
FORWARDED TO NCIC
LEDS ORIGINATING AGENCY ENTER NOTIFICATION: EII ENTRY
LED OR024015Y 20080729 08:40:41 (LEDS)
SO LEDSTEST CO
(LTS9)
OR0370000
OR024015Y HAS ENTERED EII INVESTIGATIVE INTEREST
ON YOUR RECORD WITH LNU - V052992525
NCIC ACKNOWLEDGMENT: EII ENTRY
REUR 0006 III
0R024015Y
INVESTIGATIVE INTEREST NIC/V520061608 OCA/LEDSTRNG 20080729-01
Chapter 11 – Securities File 11-2 For assistance call 503 378-5565
NCIC ORIGINATING AGENCY ENTER NOTIFICATION: EII ENTRY
REUR III
$.I.
0R0370000
ENTERING AGENCY INVESTIGATIVE INTEREST NOTIFICATION AT 1139 EDT 20080729
0R024015Y OR LAW ENFORCE DATA SYSTEM OPERATION CTR SALEM
503 378-5565
NIC/V520061608 OCA/LEDSTRNG 20080729-01
1N01EII 0LE41OR0006.EII.0R024015Y.NIC/V520061608.0CA/LEDSTRNG 20080729-01.
LEDSTEST 20080729-02.20080729.Y.DRIVER WANTED F0R C0LLISI0N EVASI0N
QUERY AFTER EII ENTRY
QV.OR0370000.VIN/830633921
LEDS ACKNOWLEDGMENT AFTER QUERY
REUR 0007 LEDS
QV.OR0370000.VIN/830633921
NO MATCH ON VIN
STOLEN VEHICLE OR BOAT PARTS (BASED ON SER)
EP OR0370000
SER/830633921 BRA/CADILLAC CAT/CERTIFICATE OF TITLE
OCA/LEDSTRNG 20080729-01 DOT/2008/07/07 OAN/0ANTEST1234 VYR/2005 NOA/Y
MIS/ST0LEN CERT 1984 CAD
**VICTIM INFORMATION**
NAM/KEPT,LOOSING THINGS DAC/2008/07/29
ADR/2121 LOST PARTS LANE
CITY/SILVERTON STE/OR ZIP/97381
VPH/(503) 999-1212
**INVESTIGATIVE INTEREST**
IIA/OR024015Y - OSP - LAW ENFORCEMENT DATA SYSTEM DATE/2008/07/29
ICA/LEDSTEST 20080729-02 NIA/YES
MIS/DRIVER WANTED FOR COLLISION EVASION
ENT: 2008/07/29 AT 0811 FROM LE41 BY/LEDSTEST COUNTY SHERIFFS OFFI (LTS)
PURGEDATE: NOT PURGEABLE
LNU/V052992525 RECORD IN NCIC/YES NIC/V520061608
Chapter 11 – Securities File 11-3 For assistance call 503 378-5565
NCIC ACKNOWLEDGMENT AFTER QUERY
REUR 0007 NCIC
0R0370000
MKE/STOLEN PART
ORI/0R0370000 SER/830633921 BRA/CADI CAT/CT
OAN/0ANTEST1234 DOT/20080707
OCA/LEDSTRNG 20080729-01
NOA/Y
MIS/ST0LEN CERT 1984 CAD
VYR/2005
NIC/V520061608 DTE/20080729 1110 EDT
ORI IS LEDSTEST COUNTY SHERIFFS OFFICE 503 378-3055 X55015
INVESTIGATIVE INTEREST AGENCIES:
IIA/0R024015Y OR LAW ENFORCE DATA SYSTEM OPERATION CTR SALEM
CT1/503 378-5565 ICA/LEDSTEST 20080729-02 DII/20080729
MIS/DRIVER WANTED F0R C0LLISI0N EVASI0N
11.12 MODIFY TRANSACTION
11.12.1 MODIFY TRANSACTION DESCRIPTION
The modify transaction is used to add, delete or change data in one or more fields of an existing
securities base record.
11.12.1.1 ADDITIONAL GUIDELINES FOR SERIAL SECURITIES MODIFICATION
1. When serial numbers are used as an identifier for a consecutively serialized group record
modification, the lowest and highest of all serial numbers appearing in the existing group
record, including any numbers shown in a located status, must be used. For example, if a
record in file was entered with the serial numbers DD99888977-DD99888985, serial numbers
DD99888979-DD99888982 are in a located status, and serial numbers DD99888977 and
DD99888978 have been cleared or canceled, the serial numbers used to identify the record
would be DD99888979-DD99888985.
2. Except for the MKE, and SER, all fields in a group securities record may be changed by a
modification message (MKE/MSS). However, a group securities record that is in a located
status (MKE/LOCATED SECURITIES) cannot be modified.
3. Serial numbers of a consecutively serialized group record cannot be changed through use of a
modification message. Any error which relates to the serial numbers in the record must be
corrected by canceling the existing group record and making a new entry.
4. Errors discovered subsequent to a group record entry which concern one or more, but not all,
of the securities in a group record (for example, one half of a group of traveler's checks having
a different issue date than the other half) cannot be corrected with a modification message. In
such a case, it is necessary to cancel the original group entry and make correct entries, single
or group, depending on the situation.
11.12.2 MODIFY TRANSACTION PROCEDURES
A securities record can only be modified by the agency that made the original entry. Records must
be immediately modified when it is determined:
• Data contained in the record is incorrect
• Additional data has been located that is not included in the record
Chapter 11 – Securities File 11-4 For assistance call 503 378-5565
11.12.2.1 DELETION OF DATA FROM A RECORD
To delete data from a field, enter the message field code followed by a slash and a period. (e.g.
SOC/.)
11.12.3 MODIFY MESSAGE KEYS
MS Modify single security record
MSS Modify consecutively serialized group of securities
11.12.4 IDENTIFICATION OF RECORD TO BE MODIFIED
Records to be modified must be identified by either:
NIC and OCA together,
or
SER and OCA together
Each of the identification fields for the record to be modified must be preceded by the appropriate
message field code.
11.12.5 MODIFY SECURITIES TRANSACTION (MS/MSS)
Must be: • N I C / _ _ _ _
OR
•SER/____
MS•ORI •NIC/____ •OCA/____•VLN/____
•ORI/____
•TYP/____
•SER/____
•DEN/____
•ISS/____
Can be one or any • OW N / _ _ _ _
combination of these fields: •SDT/____
•DOT/____
• O C A / _ _ _ _ ( MUST NOT BE IN DELETE FORMAT)
•LKI/____
•LKA/____
•MIS/____
•NOA/____
•RMI/____
Chapter 11 – Securities File 11-5 For assistance call 503 378-5565
11.12.5.1 MODIFY SINGLE SECURITY TRANSACTION EXAMPLE
MODIFY SECURITY RECORD:- MS TRANSACTION
MS.OR0370000.SER/083908098E.OCA/YY-1234.SOC/505038898.MIS/.
The example above would add or change the social security number as shown and delete
the information in the miscellaneous field.
NCIC ACKNOWLEDGMENT: MS TRANSACTION
REUR 0020 NCIC
0R0370000
MODIFY SER/D83908098E
A transaction is not complete until the acknowledgment is received from NCIC.
11.12.5.2 MODIFY SEQUENTIALLY NUMBERED SECURITIES EXAMPLE
MODIFY SECURITY RECORD: MSS TRANSACTION
MSS.OR0370000.SER/AZ362859-AZ362883.OCA/2006-1235.MIS/PH0NE 503 378-5565 ST0LEN
PRI0R T0 ISSUE STLN BLANKS MAX AMT 500 EA
The example above would modify or add information to the miscellaneous field in a
consecutively serialized security record.
NCIC ACKNOWLEDGMENT: MSS TRANSACTION
REUR 0002 NCIC
0R0370000
MODIFY SER/AZ362859-AZ362883
11.12.6 INVESTIGATIVE INTEREST RECORD MODIFICATION
No one-step procedure is available to modify fields in an Investigative Interest Supplemental
Record. To modify, the Investigative Interest Supplemental Record must be canceled and
reentered.
11.12.7 NCIC MESSAGE WHEN THE ORI IS MODIFIED TO THAT OF ANOTHER AGENCY
NCIC will send an unsolicited $.O.MOD.ORI Modify Notification to the new Originating Agency
Identifier (ORI) when the ORI Field in an NCIC record is modified to its agency. Modification of the
ORI field is limited since the ORI of record can modify the ORI Field to another agency’s within its
state only.
For Example:
MS.OR0370000.SER/D83908098E.OCA/LEDSTRNG 20070730-05.ORI/OR0370100
Chapter 11 – Securities File 11-6 For assistance call 503 378-5565
NCIC CHANGE AGENCY ENTER NOTIFICATION MESSAGE
REUR III
$.O.MOD. ORI MODIFY NOTIFICATION
0R0370100
NOTIFICATION AT 1736 EDT 20080730
THE ORI IN THE FOLLOWING RECORD (NIC/S660011106) HAS BEEN
MODIFIED TO YOUR AGENCY'S FROM ORI/0R0370000. YOUR AGENCY
IS NOW ADMINISTRATIVELY RESPONSIBLE FOR THIS RECORD.
MKE/STOLEN SECURITY
ORI/0R0370100 TYP/SB SER/D83908098E DEN/500 ISS/USTREASURY
OWN/MAS0N,J0HN HERBERT SOC/505038888 SDT/P19821106 DOT/20070707
OCA/LEDSTRNG 20070730-05
MIS/503-378-5565 RESD BURG 0THER B0NDS STLN-TEST REC0RD
NIC/S660011106 DTE/20080730 1722 EDT
11.13 BENEFITS AND EFFECTIVENESS DATA
Benefits and effectiveness data is collected by the LEDS and NCIC systems to provide users with
a means of collecting data associated with solved cases.
Monthly summaries and other reports from benefits and effectiveness data may be obtained by
contacting the LEDS Operations Center at 503 378-5565.
Entry of benefits and effectiveness data is not mandatory but it does provide valuable statistical
information.
RPP must be present to use any of the other benefits and effectiveness fields.
Message Purpose Benefits and Effectiveness Fields
Cancel .rpp
Locate
Clear .rpp.npa.npf.vnp.vor.vrc
11.14 CLEAR TRANSACTION
11.14.1 CLEAR TRANSACTION DESCRIPTION
The clear transaction is used to clear the record from the system once the security/securities
has/have been recovered.
11.14.2 CLEAR TRANSACTION PROCEDURE
Clearance of a record is restricted to the agency that entered the record. A clear message is
transmitted under one of the following conditions:
1. When the agency recovering the security is the agency that entered the record.
a. If the agency that entered the record recovers the security, the date of clear (which cannot
be prior to the date of theft) must be entered following the two record identifiers.
Additionally, benefits and effectiveness data should be included.
Chapter 11 – Securities File 11-7 For assistance call 503 378-5565
2. When the agency that entered the record is officially advised that the security has been
recovered by another agency using the following procedures will ensure that the cleared
record contains complete recovery data (date of clear, recovering agency's identifier, and
recovering agency's case number).
a. If the record being cleared is in a located status (MKE/LOCATED SECURITY), only the
date of clear must be entered following the two record identifiers.
b. If the record being cleared is in an active status (MKE/STOLEN SECURITY), the date of
clear followed by the locating agency's identifier and the locating agency's case number, in
that order, without field codes, must be entered after the two record identifiers.
If the record must be removed for any other reason, the cancel transaction must be used.
11.14.3 BENEFITS AND EFFECTIVENESS DATA
Benefits and Effectiveness data may be included in the clear transaction.
11.14.4 CLEAR MESSAGE KEYS
CS Clear Single Security Record
CSS Clear Consecutively Serialized Securities Record
11.14.4.1 IDENTIFICATION OF RECORD TO BE CLEARED
Records to be cleared must be identified by either:
NIC and OCA together,
or
SER and OCA together
Each of the identification fields for the record to be cleared must be preceded by the appropriate
message field code.
11.14.4.2 IDENTIFICATION OF A GROUP RECORD TO BE CLEARED
There are three options for clearing consecutively serialized group records:
1. Clearing all securities in a group record:
a. The group record to be cleared must be identified by two identifiers, SER and OCA, in
that order or NIC and OCA, in that order, preceded by the proper MFC.
b. When SER is used, it must represent the lowest and highest serial numbers of the
consecutively numbered group of items that are in an active or located status. When
breaks in the consecutive order of the serial numbers exist, separate clear messages
must be sent.
c. It is recommended that NIC and OCA be used only when the entire group is to be
cleared. This procedure can be used even if there are breaks in the consecutive order
of the serial numbers.
2. Clearing more than one, but not all, securities in a group record:
Chapter 11 – Securities File 11-8 For assistance call 503 378-5565
a. The group record containing securities to be cleared must be identified by SER and
OCA, in that order, with each data element preceded by the proper MFC. The lowest
and highest serial numbers of the consecutively numbered items being cleared must be
used. When breaks in the consecutive order of the serial numbers exist, separate clear
messages must be sent.
b. NIC and OCA must not be used to identify the record as this will result in the clear
message applying to all securities in the group record.
3. Clearing a single security in a group record:
a. The group record containing the security to be cleared must be identified by SER (serial
number repeated as if it represented a range of numbers) and OCA, in that order, with
each data element preceded by the proper MFC. The OCA used as an identifier is the
OCA of the entering agency.
b. NIC and OCA must not be used to identify the record as this will result in the clear
message applying to all securities in the group record.
Chapter 11 – Securities File 11-9 For assistance call 503 378-5565
11.14.5. CLEAR SECURITIES TRANSACTION (CS/CSS)
CLEAR TRANSACTION
Recovered by Entering Agency
Must be: NIC/_ _ _ _
OR
SER/_ _ _ _
CS•ORI• SER/_ _ _ _ •OCA/_ _ _ _•DCL••RCA•RPP•NPA•NPF•VNP•VOR•VRC
Can be:
CS CLEAR TRANSACTION
CSS Located by a Different Agency
Must be: NIC/_ _ _ _
OR
SER/_ _ _ _
CSS•ORI• SER/_ _ _ _•OCA/_ _ _ _ •DCL•RRI•RCA•RPP•NPA•NPF•VNP•VOR•VRC
Chapter 11 – Securities File 11-10 For assistance call 503 378-5565
11.14.6. CLEAR SECURITY TRANSACTION EXAMPLES
11.14.6.1 CLEAR SINGLE SECURITY RECORD
CS.OR0370000.NIC/S178628481.OCA/123456789.20060602...HIT NCIC 20060529.2.0.10000.12000.0
NCIC ACKNOWLEDGMENT: CS TRANSACTION
REUR 0035 NCIC
OR0370000
CLEAR NIC/S178628481
The above clear example contains: message key (CS), Originating Agency Identifier
(OR0370000), two record identifiers (NIC/S178628481 and OCA/123456789), date of clear
(20060602), and benefits and effectiveness data: reason for property record removal (HIT NCIC
20060529), number of persons apprehended (2), value of recovered property (10000), and value
of recovered contraband (12000).
11.14.6.2 CLEAR CONSECUTIVELY SERIALIZED SECURITIES RECORD
Clearing All Securities in a Range:
CSS.OR0370000.NIC/S179633578.OCA/123456789.20060602.OR0370100.LEDSTRNG-9463.HIT NCIC
20060530.2.0.10000.12000.0
NCIC ACKNOWLEDGMENT: CSS TRANSACTION
REUR 0036 NCIC
OR0370000
CLEAR NIC/S179633578
The above clear example contains: message key (CSS), Originating Agency Identifier
(OR0370000), two record identifiers (NIC/S179633578 and OCA/123456789), date of clear
(20060602), recovering agency identifier (OR0370100), and recovering agency case number
(LEDSTRNG-9463) with benefits and effectiveness data: reason for property record removal (HIT
NCIC 20060530), number of persons apprehended (2), value of recovered property (10000), and
value of recovered contraband (12000).
Chapter 11 – Securities File 11-11 For assistance call 503 378-5565
Clearing Multiple Securities in a Range:
CSS.OR0370000.SER/DD99888984-DD99888988.OCA/123456789.20060602.OR0370100.LEDSTRNG-
9464.HIT NCIC 20060528.2.0.10000.12000.
NCIC ACKNOWLEDGMENT: CSS TRANSACTION
REUR 0037 NCIC
OR0370000
CLEAR SER/DD99888984-DD99888988
The above example contains: message key (CSS), Originating Agency Identifier (OR0370000),
two record identifiers (SER/DD99888984-DD99888988 and OCA/123456789), date of clear
(20060602), recovering agency identifier (OR0370100), and recovering agency case number
(LEDSTRNG-9464). Also benefits and effectiveness data: reason for property record removal (HIT
NCIC 20060528), number of persons apprehended (2), value of recovered property (10000), and
value of recovered contraband (12000).The SER/ represents only the securities from the
group record to be cleared.
Clearing One Security in a Range:
CSS.OR0370000.SER/DD99888980-D99888980.OCA/123456789.20060602.OR0370100.LEDSTRNG-
9464.HIT NCIC 20060528.2.0.10000.12000.
NCIC ACKNOWLEDGMENT: CSS TRANSACTION
REUR 0038 NCIC
OR0370000
CLEAR SER/DD99888980-DD99888980
The above example contains: message key (CSS), Originating Agency Identifier (OR0370000),
two record identifiers (SER/DD99888980-DD99888980 and OCA/123456789), date of clear
(20060602), recovering agency identifier (OR0370100), and recovering agency case number
(LEDSTRNG-9464). Also benefits and effectiveness data: reason for property record removal (HIT
NCIC 20060528), number of persons apprehended (2), value of recovered property (10000), and
value of recovered contraband (12000).The SER/ represents a single security from the group
record to be cleared.
11.15 CANCEL TRANSACTION
11.15.1 CANCEL TRANSACTION DESCRIPTION
The cancel transaction is used to cancel the record from the system when the record, for whatever
reason, is no longer valid.
11.15.1.1 ADDITIONAL GUIDELINES FOR SERIAL SECURITIES CANCELATION
There are three options for canceling consecutively serialized group records:
1. Canceling all securities in a group record:
a. The group record to be canceled must have two identifiers: SER and OCA, in that order,
or NIC and OCA, in that order, each preceded by the proper MFC.
Chapter 11 – Securities File 11-12 For assistance call 503 378-5565
b. When the SER is used, it must represent the lowest and highest serial numbers of the
consecutively numbered group of items that are in an active or a located status. When
breaks in the consecutive order of the serial numbers exist, separate cancel messages
must be sent. Date of cancelation (DOC) must follow the two record identifiers and must
be the current date or the current date minus one.
c. It is recommended that the NIC and the OCA only be used when the entire group record
is to be canceled. This procedure can be used even if there are any breaks in the
consecutive order of the serial numbers. It cannot be used if the entire range is not to be
canceled as it will cause all records in the range to be canceled.
2. Canceling more than one, but not all, securities in a group record:
The group record containing securities to be canceled must be identified by the SER
and the OCA, in that order, with each data element preceded by the proper MFC. The
lowest and highest serial number of the consecutively numbered items being canceled
must be used. When breaks in the consecutive order of the serial numbers exist, separate
cancel messages must be sent. DOC must follow the two record identifiers and must be the
current date or the current date minus one.
NIC and OCA should not be used to identify the record as this will result in cancelation of
the entire group record.
3. Canceling a single security in a group record:
The group record containing a single security to be canceled must be identified by SER
(serial number repeated as if it represented a range of numbers) and OCA, in that order,
with each data element preceded by the proper MFC. The serial number of the
consecutively numbered item being canceled must be used as the lowest and highest
value. DOC must follow the two record identifiers and must be the current date or the
current date minus one.
NIC and OCA should not be used to identify the record as this will result in cancelation of
the entire group record.
If any number in the range specified is not present in an active or located status, the transaction
will be rejected as an invalid serial number range.
11.15.2 CANCEL TRANSACTION PROCEDURES
A securities record can only be canceled by the agency that made the original entry. Records
must be immediately canceled when it is determined the record:
• is no longer valid
• is not correctable using a modify message and therefore must be re-entered
• was entered for training purposes and its use is no longer needed
11.15.3 BENEFITS AND EFFECTIVENESS DATA
Benefits and Effectiveness data may be included in the cancel transaction. No benefits and
effectiveness data are collected for serialized securities.
Chapter 11 – Securities File 11-13 For assistance call 503 378-5565
11.15.4 CANCEL MESSAGE KEYS
XS Cancel security transaction
XSS Cancel securities transaction
11.15.5 IDENTIFICATION OF RECORD TO BE CANCELED
Records to be canceled must be identified by either:
NIC and OCA both together,
or
SER and OCA both together
Each of the identification fields for the record to be canceled must be preceded by the appropriate
message field code.
11.15.6. CANCEL SECURITIES TRANSACTION (XS, XXS)
Must be: NIC/_ _ _ _ _
OR
SER/_ _ _ _ _
XS•ORI• SER/_ _ _ _•OCA/_ _ _ _ •DOC•RPP
11.15.6.1 CANCEL SECURITES TRANSACTION EXAMPLES
Cancel Single Security Record
XS.OR037000.NIC/S178628379.OCA/123425332.20060402.CASE DROPPED
NCIC ACKNOWLEDGMENT: XSS TRANSACTION
REUR 0031 NCIC
OR0370100
CANCEL NIC/S178628379
The above cancelation example contains: message key (XS), Originating Agency Identifier
(OR0370100), two record identifiers (NIC/S178628379 and OCA/123425332), date of cancelation
(20060402), and reason for property record removal (CASE DROPPED).
Chapter 11 – Securities File 11-14 For assistance call 503 378-5565
Canceling All Securities in a Range:
XSS.OR037000.NIC/S180195026.OCA/123456789.20060402.CASE DROPPED
NCIC ACKNOWLEDGMENT: XSS TRANSACTION
REUR 0032 NCIC
OR0370000
CANCEL NIC/S180195026
The above cancelation example contains: message key (XSS), Originating Agency Identifier
(OR0370000), two record identifiers (NIC/S180195026 and OCA/1234567689), and date of
cancelation (20060402).
Canceling Multiple Securities in a Range:
XSS.OR0370000.SER/DD99888970-DD99888976.OCA/123456789.20060402.CASE DROPPED
NCIC ACKNOWLEDGMENT: XSS TRANSACTION
REUR 0033 NCIC
OR0370000
CANCEL SER/DD99888970-DD99888976
The above cancelation message contains: header message key (XSS), Originating Agency
Identifier (OR0370000), two record identifiers (SER/DD99888970-DD99888976 and
OCA/123456789), and date of cancelation (20060402). Both serial numbers are considered as
one identifier. The SER/ represents only the securities to be canceled from the group record.
Canceling One Security in the Range:
XSS.OR0370000.SER/DD99888979-DD99888979.OCA/123456789.20060402.CASE DROPPED
NCIC ACKNOWLEDGMENT: XSS TRANSACTION
REUR 0035 NCIC
OR0370000
CANCEL SER/DD99888979-DD99888979
This cancelation example contains: message key (XSS), Originating Agency Identifier
(OR0370000), two record identifiers (SER/DD99888979-DD99888979 and OCA/123456789), and
date of cancelation (20060402). The SER/ represents a single security to be canceled from the
group record.
11.15.7 CANCEL INVESTIGATIVE INTEREST RECORD TRANSACTION
The cancel transaction is used to cancel the Investigative Interest Supplemental Record from the
system when the record, for whatever reason, is no longer valid.
An Investigative Interest Supplemental Record can only be cancelled by the agency that entered
it.
Chapter 11 – Securities File 11-15 For assistance call 503 378-5565
11.15.7.1 CANCEL INVESTIGATIVE INTEREST RECORD PROCEDURE
Investigative Interest Supplemental Records must be cancelled when it is determined the record:
• was entered in error
• modification of the information is needed and therefore must be re-entered
• there is no longer an investigative interest
• was entered for training purposes and it is no longer needed
11.15.7.2 CANCEL INVESTIGATIVE INTEREST RECORD MESSAGE KEY (XII)
XII Cancel Investigative Interest Supplemental Record
11.15.7.3 IDENTIFICATION OF RECORD TO BE CANCELED
Records that are to have an Investigative Interest Supplemental Record cancelled must be
identified by:
• LNU and OCA in that order for LEDS only records
or
• NIC and OCA in that order for NCIC only records
or
• LNU, NIC, and OCA in that order for records that are in both LEDS and NCIC
11.15.7.4 CANCEL INVESTIGATIVE INTEREST DATA TRANSACTION (XII)
XI I O R0 3 7 0 1 0 0 L NU/ V 0 8 2 5 8 6 5 7 7 NI C/ V 0 8 7 8 1 0 7 7 0 OC A / 0 5 - 8 2 8 8 0
MKE IIA(9) MFC LNU(10) MFC NIC(10) MFC OCA(20)
I CA/ 4 3 9 2 9 9 T E S T
OCA(Cont) MFC ICA(20)
Note:
Mandatory fields.
Conditional fields.
• • Indicates dot required only if conditional field to the left is used.
If the record is LEDS only then only LNU is required, if NCIC only then only NIC is required,
otherwise both LNU and NIC must be given. Message field codes (MFC) are required with LNU,
NIC, OCA, and ICA.
11.15.7.5 CANCEL INVESTIGATIVE INTEREST TRANSACTION EXAMPLES
11.15.7.5.1 CANCEL INVESTIGATIVE INTEREST TRANSACTION – LEDS ONLY
XII.OR0370100.LNU/V082586577.OCA/TEST122004.ICA/NEWOCA333
Chapter 11 – Securities File 11-16 For assistance call 503 378-5565
LEDS ACKNOWLEDGEMENT: XII ENTRY
REUR 0095 LEDS
OR0370100
CANCELED XII INVESTIGATIVE INTEREST
LNU/V082586577 OCA/05-82880
LEDS CANCEL NOTIFICATION TO AGENCY OF RECORD: XII ENTRY
OR0260200
OR0370100 HAS CANCELLED XII INVESTIGATIVE INTEREST
ON YOUR RECORD BELOW
STOLEN VEHICLE (BASED ON LNU)
EV OR0260200
VYR/1986 VMA/ALL TERRAIN VEHICLE VMO/WHE VST/OP VCO/RED
VIN/JH3TE100XGC025374
OCA/05-82880 DOT/2005/08/22 NOA/Y
MIS/H0NDA 4 TRAX, 36263
ENT: 2005/08/28 AT 1838 FROM P264 BY/PORTLAND POLICE BUREAU (PDP)
LNU/V082586577 RECORD IN NCIC/YES
11.15.7.5.2 CANCEL INVESTIGATIVE INTEREST TRANSACTION – NCIC ONLY
EII.OR0370100.NIC/V087810770.OCA/05-82880.ICA/NEWOCA333
NCIC ACKNOWLEDGEMENT: XII ENTRY
REUR 0085 NCIC
0R370100
CANCEL INVESTIGATIVE INTEREST NIC/V087810770 OCA/05-82880
NCIC CANCEL NOTIFICATION TO AGENCY OF RECORD: XII ENTRY
$.I.
MD1012600
CANCELLING AGENCY INVESTIGATIVE INTEREST NOTIFICATION AT 1302 EST 20070410
OR0020000 BENTON CO SO OR 541 766-6858
NIC/V087810770.OCA/05-82880
11.15.7.5.3 CANCEL INVESTIGATIVE INTEREST TRANSACTION – LEDS AND NCIC
XII.OR0370100.LNU/V082586577.NIC/V087810770.OCA/05-82880.ICA/NEWOCA333
LEDS ACKNOWLEDGEMENT: XII ENTRY
REUR 0095 LEDS
OR0370100
CANCELED XII INVESTIGATIVE INTEREST
LNU/V082586577 OCA/05-82880
FORWARDED TO NCIC
LEDS CANCEL NOTIFICATION TO AGENCY OF RECORD: XII ENTRY
OR0260200
OR0370100 HAS CANCELLED XII INVESTIGATIVE INTEREST
ON YOUR RECORD BELOW
STOLEN VEHICLE (BASED ON LNU)
EV OR0260200
Chapter 11 – Securities File 11-17 For assistance call 503 378-5565
VYR/1986 VMA/ALL TERRAIN VEHICLE VMO/WHE VST/OP VCO/RED
VIN/JH3TE100XGC025374
OCA/05-82880 DOT/2005/08/22 NOA/Y
MIS/H0NDA 4 TRAX, 36263
ENT: 2005/08/28 AT 1838 FROM P264 BY/PORTLAND POLICE BUREAU (PDP)
LNU/V082586577 RECORD IN NCIC/YES NIC/V087810770
NCIC ACKNOWLEDGEMENT: XII ENTRY
REUR 0096 NCIC
0R370100
CANCEL INVESTIGATIVE INTEREST NIC/V087810770 OCA/05-82880
NCIC CANCEL NOTIFICATION TO AGENCY OF RECORD: XII ENTRY
$.I.
OR0260200
CANCELLING AGENCY INVESTIGATIVE INTEREST NOTIFICATION AT 1302 EST 20070410
OR0370100 ANY CITY PD WA 555 555-4321
NIC/ V087810770.OCA/92341244
1N01HEADER.XII.WA1230000.NAM/SMITH, JOHN J.NIC/W146203706
11.16 LOCATE TRANSACTION
11.16.1 LOCATE TRANSACTION DESCRIPTION
Any agency, except the agency that entered the record, that recovers a security indexed in NCIC
2000 must place a locate message on the security record.
When an agency receives a record or multiple records in response to an inquiry, the agency that
can seize the stolen security must contact the ORI of each record possibly identical with the
security in question to confirm the hit.
Following confirmation with the originating agency, a locate message must be transmitted for each
record on file for the security. Once a consecutively serialized group record has had a locate
placed on it, it cannot be modified.
11.16.2 LOCATE TRANSACTION PROCEDURES
A locate transaction is used to report the recovery of a security which was entered into the file by
another agency.
The entry of a locate transaction will change the status of the security record to “LS” (located
security), or “LSS” (located consecutively serialized security).
The locating agency is responsible for verifying that the record in question is still active prior to
entering the locate transaction. Standard formats for making hit confirmation inquiries and hit
confirmation response transactions are located in Section 24.
Located records must be cleared by the agency which entered the record. Located records cannot
be canceled.
11.16.2.1 IDENTIFICATION OF A GROUP RECORD FOR LOCATE
There are three options for locating consecutively serialized group records:
1. Recovery of all securities in a group record:
Chapter 11 – Securities File 11-18 For assistance call 503 378-5565
a. The group record to be located requires two identifiers, SER and OCA, in that order, or
NIC and OCA, in that order, preceded by the proper MFC.
b. When using SER, it must represent the lowest and highest serial numbers of the
consecutively numbered group of recovered items. When breaks in the consecutive
order of the serial numbers exist, separate messages must be sent.
c. It is recommended that NIC and OCA be used only when the entire group record is to
be located. This procedure can be used even if there are breaks in the consecutive
order of the serial numbers. The OCA used as an identifier is the OCA of the agency
that entered the record. This OCA is contained in the NCIC 2000 response to the
recovering agency inquiry.
2. Recovery of more than one, but not all, securities in a group record:
The group record containing securities to be located must be identified by SER and OCA,
in that order, with each data element preceded by the proper MFC. The lowest and highest
serial numbers of the recovered consecutively numbered items must be used. When
breaks in the consecutive order of the serial numbers exist, separate locate messages
must be sent.
The combination of NIC and OCA must not be used to identify the record as this will result
in the locate message applying to all securities in the group record.
3. Recovery of a single security in a group record:
The group record containing the security to be located must be identified by SER (serial
number repeated as if it represented a range of numbers) and OCA, in that order, with each
data element preceded by the proper MFC.
The combination of NIC and OCA must not be used to identify the record as this will result
in the locate message applying to all securities in the group record.
11.16.3 ADDITIONAL GUIDELINES FOR SERIALIZED SECURITIES LOCATE
If any number in the range specified is not present in an active or located status, the transaction
will be rejected as an invalid serial number range.
11.16.4 BENEFITS AND EFFECTIVENESS DATA
Benefits and Effectiveness data may be included in the cancel transaction. Benefits and
effectiveness data are not collected for located serialized securities.
11.16.5 LOCATE MESSAGE KEYS
LS Locate security transaction
LSS Locate securities transaction
11.16.6 IDENTIFICATION OF RECORD TO BE LOCATED
Records to be located must be identified by either:
NIC and OCA both together,
or
SER and OCA both together
Each field to be located must be preceded by the appropriate message field code.
Chapter 11 – Securities File 11-19 For assistance call 503 378-5565
11.16.7 LOCATE SECURITIES TRANSACTION (LS/LSS)
Must be: NIC/_ _ _ _
OR
SER/_ _ _ _
LS•ORI• NIC/_ _ _ _ •OCA•DOR•RCA•RPP•NPA•NPF•VNP•VOR•VRC
11.16.7.1 LOCATE SECURITIES TRANSACTION EXAMPLES
Locating Single Security Record
LS.OR0370100.NIC/S178628481.OCA/123456789.20060629.LEDSTRNG-48703.HIT NCIC
20060627.4..1000.0.1500
NCIC ACKNOWLEDGMENT: LS TRANSACTION
REUR 0022 NCIC
OR0370100
LOCATE NIC/S178628481
The above locate example contains: message key (LS), Recovering Agency Identifier
(OR0370100), two record identifiers (NIC/S178628481 and OCA/123456789), date of recovery
(20060629), the recovering agency's case number (LEDSTRNG-48703). Also benefits and
effectiveness data: reason for property record removal (HIT NCIC 20060627), number of persons
apprehended (4), value of recovered property (1000), and value of recovered contraband (1500).
Locating All Securities in a Range
LSS.WA1230000.NIC/S179633578.OCA/123456789.20060629.LEDSTRNG-48704.HIT NCIC
20060629.4..1000.0.1500
NCIC ACKNOWLEDGMENT: LSS TRANSACTION
REUR 0024 NCIC
OR0370100
LOCATE NIC/S179633578
The above locate message example contains: message key (LSS), recovering agency identifier
(WA1230000), two record identifiers (NIC/S179633578 and OCA/123456789), date of recovery
(20060629), and recovering agency case number (LEDSTRNG-48704). Also benefits and
effectiveness data: reason for property record removal (HIT NCIC 20060629), number of persons
apprehended (4), value of recovered property (1000), and value of recovered contraband (1500).
Locating Multiple Securities in a Range
LSS.OR0370100.SER/DD99888984-DD99888989.OCA/123456789.20060629.LEDSTRNG-48705.HIT
NCIC 20060628.4..1000.0.1500
Chapter 11 – Securities File 11-20 For assistance call 503 378-5565
NCIC ACKNOWLEDGMENT: LSS TRANSACTION
REUR 0025 NCIC
OR0370100
LOCATE SER/DD99888984-DD99888989
The above locate message example contains: message key (LSS), recovering agency's identifier
(OR0370100), two record identifiers (SER/DD99888984-DD99888989 and OCA/123456789), date
of recovery (20060629), and the recovering agency's case number (LEDSTRNG-48705). The
SER/ represents the securities from the group record to be located. Also benefits and
effectiveness data: reason for property record removal (HIT NCIC 20060628), number of persons
apprehended (4), value of recovered property (1000), and value of recovered contraband (1500).
Locating One Security in a Range
LSS.OR0370100.SER/DD99888980-DD99888980.OCA/123456789.20060629.LEDSTRNG-48706.HIT
NCIC 20060628.4..1000.0.1500
NCIC ACKNOWLEDGMENT: LSS TRANSACTION
REUR 0026 NCIC
OR0370100
LOCATE SER/DD99888980-DD99888980
The above locate message example contains: message key (LSS), recovering agency identifier
(OR0370100), two record identifiers (SER/DD99888980- DD99888980 and OCA/123456789),
date of recovery (20060629), and the recovering agency case number (LEDSTRNG-48706). The
SER/ represents a single security from the group record to be located. Also benefits and
effectiveness data: reason for property record removal (HIT NCIC 20060628), number of persons
apprehended (4), value of recovered property (1000), and value of recovered contraband (1500).
11.17 INQUIRY TRANSACTION
An inquiry of the Securities File should include TYP, SER, and DEN. ISS should be included for
securities other than U.S. Treasury issues and currency. An inquiry may also be made by OWN;
OWN and TYP; OWN and OCA; OWN and SOC; or SOC only. Inquiries may be made using the
NIC only, if available.
BEARER, BLANK, UNKNOWN, UNK, UNKN, or CONTACT ORI must not be used as names of
owners for purposes of inquiry. Such inquiries will be rejected.
11.17.1 QUERY MESSAGE KEYS
QS Query security file
QSB Batched Queries on Security File
11.17.2 ADDITIONAL GUIDELINES FOR AN INQUIRY
1. An inquiry containing BLANK in the DEN will pull only records that are entered with the
word BLANK in the DEN. An inquiry containing a face value (e.g., 50 or 28-75) in the DEN
could pull records that have a matching DEN or DEN/BLANK.
2. An inquiry containing TYP data will limit the search to those security entries having a
matching type code or a type code of AO (All other). Use of AO pulls any record having a
Chapter 11 – Securities File 11-21 For assistance call 503 378-5565
matching SER and DEN regardless of the TYP code in the record. Furthermore, if the TYP
is MO or PM, an NCIC search will return hits of both TYP/MO and TYP/PM records.
3. If TYP is PM (Postal Money Order), the SER Field must be ten characters. (using the first
10 digits of the serial number).
4. An asterisk must not be used in the SER in an inquiry.
5. If the hit response contains more than 20 hit responses (primary and/or secondary), the
following will be included after the first 20 hit responses to indicate a file is being created
with up to an additional 100 hit responses.
ADDITIONAL HITS AVAILABLE, FILE NOTIFICATION TO FOLLOW
A $.B. administrative message will be sent to the ORI to identify the file name to be
requested to retrieve the hit responses.
11.17.3. RELATED SEARCH HITS (RSH)
If the “RSH” field is included in the query and you choose the “yes” (Y) option, your NCIC
response will include related records.
Related records are those with an ORI and OCA matching a primary search hit record's Linkage
Case Number (LKI) and Linkage Agency Identifier (LKA). Records with a matching ORI and OCA
will also be returned if entered within thirty (30) days of the hit.
11.17.4 QUERY SECURITY TRANSACTION
QS•ORI•T YP/____•SER/____•DEN/____•ISS/____
•SDT/____
Can be one or any
combination of these fields:
•RSH/____
OR
QS•ORI•OW N/____•TYP/____
•ISS/____
•OCA/____ Can be one or any
•SOC/____ combination of these fields:
•SDT/____
•RSH/____
OR
QS•ORI•SOC/____•RSH/____
OR
QS•ORI•NIC/____•RSH/____
11.17.4.1 QUERY SINGLE SECURITY RECORD TRANSACTION EXAMPLE
Query on a security gives access to single as well as group records in the Securities File.
QS.OR0370100.TYP/BD.SER/D30232.DEN/1000.ISS/CON EDISON
Chapter 11 – Securities File 11-22 For assistance call 503 378-5565
NCIC ACKNOWLEDGMENT: QS TRANSACTION
Negative Response:
REUR 00023 NCIC
OR0370100
NO RECORD SER/D30232 TYP/BD DEN/1000
Positive Response:
REUR 00024 NCIC
OR0370100
MKE/STOLEN SECURITY
ORI/MD1012600 TYP/BD SER/D30232 DEN/1000 ISS/CON EDISON
OWN/POWELL, JOSEPH SDT/M19971004 DOT/19981205
OCA/12343432
NIC/S178628175 DTE/19981205 0000 EST
ORI IS ANY CITY PD MD 301 555-1212
IMMED CONFIRM RECORD WITH ORI
11.17.4.2 QUERY WITH A GROUP RECORD EXAMPLE
An inquiry on a security may result in a single record positive response or a group record positive
response.
Only one serial number may be included in the SER of an inquiry of the Securities File.
NCIC ACKNOWLEDGMENT: QS TRANSACTION
QS.OR0370100.TYP/TC.SER/DD99888977.DEN/20.ISS/AMERICAN EXPRES.RSH/Y
The following is a typical response which illustrates the format of an active group record in which
some of the securities have been located, cleared, or canceled prior to the inquiry.
REUR 0027 NCIC
OR0370100
MKE/STOLEN SECURITIES
ORI/MD1012600 TYP/TC DEN/20 ISS/AMERICAN EXPRES
OWN/SMITHSON,JEROME HENRY SOC/525027777 SDT/P19930831 DOT/19991205
OCA/123456789
NIC/S179633578 DTE/19991207 1201 EST
ORI IS ANY CITY PD MD 301 555-1234
SER/DD99888977-DD99888978
DD99888982-DD99888983
MKE/LOCATED SECURITIES 20000120 NB1977700 9462
SER/DD99888980-DD99888980
MKE/LOCATED SECURITIES 20000120 NB1977700 9462
SER/DD99888984-DD99888985
IMMED CONFIRM RECORD WITH ORI
Chapter 11 – Securities File 11-23 For assistance call 503 378-5565
The lowest and highest serial numbers of the securities originally entered in the example record
above were SER/DD99888977-DD99888985. Since the entry of this record, some of the securities
of the group originally entered have been located (SER/DD99888980 and SER/DD99888984-
DD99888985) and cleared or canceled ( DD99888979 and DD99888981) prior to the time of the
inquiry.
11.17.5 BATCHED SECURITY QUERIES
1. The batch inquiry allows users to create a file of individual QS inquiries in one message. Each
inquiry is delimited by a sequence number (SEQ) at the beginning of the inquiry and an "&" as
a separator. The SEQ is three numerics and is used to match the responses (hit or no hit) to
the specific inquiry from which they were generated. Prior to each response SEQUENCE
NUMBER: <SEQ> will be returned to identify those responses that follow as coming from the
inquiry with that sequence number.
2. The sequence numbers do not have to be sequential, but they do have to be unique. The
MKE, ORI, and SEQ are entered without the MFC. The identifiers available in the QS inquiry
are available for use in the QSB message, including the RSH indicator, and are preceded by
the proper MFC.
3 There is a limit of 1800 characters for a batch inquiry, including the header and all control
characters.
11.17.5.1 BATCHED SECURITY QUERIES TRANSACTION
QSB•ORI•T YP/____ •SEQ
•SER/____
•DEN/____
•ISS/____
• OW N / _ _ _ _
Can be one or any
•SOC/____ combination of these fields:
•SDT/____
•OCA/____
•NIC/____
•RSH/____
11.17.5.2 BATCHED SECURITY QUERY EXAMPLE
QSB.OR0370100.001.TYP/BD.SER/D30232.DEN/1000.ISS/CON EDISON&002.OWN/SMITH,
JOSEPH.OCA/123242323&005.OWN/BROWN,ROBERT.SOC/144237911&010.NIC/S123456789
NCIC ACKNOWLEDGMENT: QSB TRANSACTION
REUR 0026 NCIC
OR0370100
BATCH INQUIRY RECEIVED
The results of the batch inquiry are transmitted via a file to be retrieved by the user. The maximum
number of inquiry batched records is 2000. The user is notified of the file by the $.B.
administrative message. The following is an example of the content of the file:
Chapter 11 – Securities File 11-24 For assistance call 503 378-5565
REUR 0027 NCIC
OR0370100
SEQUENCE NUMBER: 001
MKE/STOLEN SECURITY
ORI/MD1012600 TYP/BD SER/D30232 DEN/1000 ISS/CON EDISON
OWN/POWELL, JOSEPH SDT/M19801004 DOT/19980910
OCA/1232534444
NIC/S178628175 DTE/19980912 0000 EDT
ORI IS ANY CITY PD MD 301 555-1212
IMMED CONFIRM RECORD WITH ORI
SEQUENCE NUMBER: 002
NO RECORD OWN/SMITH, JOSEPH OCA/123242323
SEQUENCE NUMBER: 005
NO RECORD OWN/BROWN, ROBERT SOC/144237911
SEQUENCE NUMBER: 010
NO RECORD NIC/S123456789
11.17.5 QUERY CASE FILES TRANSACTION
The QCF transaction performs a search based upon the provided ORI and OCA. This query
returns all matching LEDS records, regardless of the record type; this transaction does not check
NCIC. This feature is especially useful when researching LKI and LKA fields.
QCF•ORI•ORI/____•OCA/____
11.17.5.1 QUERY CASE FILES EXAMPLE
QCF.OR0370000.ORI/OR0370000.OCA/YYYY-TEST12
LEDS RESPONSE: QCF TRANSACTION
MATCHED ON *OR0370000*YYYY-TEST12*
STOLEN ARTICLE
ESA OR0370000 TYP/RRADIO SER/101918171615141312 BRA/RCA
SIZ/ ACO/BLK OAN/ DOT/09-01-1994 VAL/1000.00
OCA/YY-TEST12 MIS/LEDS PERM TEST RCD
ENTERED ON 01-23-1996 AT 1140 FROM DY BY/OR S0 LEDSTEST (LTS)
LNU/A031848270
STOLEN GUN
ESG OR0370000 TYP/PI SER/LEDSTEST12 MAK/WAL
CAL/380 ACO/SIL OAN/ DOT/08-29-1994 VAL/600.00
OCA/YY-TEST12 MIS/LEDS TEST REC0RD
ENTERED ON 08-29-1994 AT 0256 FROM XA BY/OR S0 LEDSTEST (LTS)
UPDATED ON 09-01-1994 AT 1859 FROM XX
LNU/G031642076
*** CAUTION ***
FELONY WARRANT (BASED ON ORI,OCA)
EW-C OR0370000 NAM/EW,LEDS TEST .M.W.OR.09/09/1909
HGT/600 WGT/190 EYE/BLU HAI/RED SKN/MED
OCA/YY-TEST12 SMT/MC BEHAVIO FPC/PMTT121009DITT161504
LIC/TESTLRP6.OR.1999.PC VIN/JT2AE04E1P0999999.1993.TOYT.C0R.4D.RED
OFF/0901 OFN/H0MICIDE WITH GUN DOW/08-29-1994 CRT/OR024023J
WTP/FEL WNO/TEST12 BAL/-00
MIS/LEDS TEST REC0RD - D0NT L0CATE 0R TAKE ACTI0N - SUBJ IS SUICIDAL
**SUPPLEMENTAL INFORMATION**
Chapter 11 – Securities File 11-25 For assistance call 503 378-5565
DOB/01/22/1961
ENT: 08/29/1994 AT 0307 FROM XA BY/S0 LEDSTEST (LTS)
UPD: 02/16/1995 AT 1145 FROM GY
LNU/W032241020
RESTRICTED WARRANT-ISSUING & ADJOINING COUNTIES (BASED ON ORI,OCA)
RW OR0370000 NAM/RW,LEDS TEST .M.W.OR.09/09/1909
HGT/502 WGT/90 EYE/BRO HAI/BRO SKN/MED
OCA/YY-TEST12 SMT/GLASSES
MNU/OA-1122334455
OFF/5404 OFN/DUII DOW/08-15-1994 CRT/OR024035J
WTP/RAC WNO/94123 BAL/350-00
MIS/LEDS TEST REC0RD - D0 N0T L0CATE 0R TAKE ACTI0N
ENT: 08/15/1994 AT 1135 FROM GY BY/S0 LEDSTEST (LTS)
UPD: 02/16/1995 AT 1132 FROM GY
LNU/W072233424
11.18 MFC DIRECTORY
Each message transaction is comprised of multiple data elements; this section provides the
necessary information on data elements for these transactions. Each data element is identified by
a specific field name. Each field name is abbreviated with a unique three-character code called a
message field code (MFC). The MFC’s are sorted alphabetically, then followed by a plain-word
description of each. The number immediately following the description indicates the maximum
number of characters allowed for that data element. Below the description line is text describing
specific requirements for that field.
11.18.1 DCL DATE OF CLEAR - 8
MANDATORY
Date format, which is YYYYMMDD. Must be a valid NCIC date equal to or less than current date.
11.18.2 DEN DENOMINATION - 9
MANDATORY
Enter in the denomination field the amount of money represented by bonds, debentures, currency,
travelers checks, money orders, notes and other securities as indicated thereon. An amount which
does not include a fraction of a dollar should be entered omitting the cents position, e.g., a money
order for $37.00 would be entered as 37. When the amount includes a fraction of a dollar, a
hyphen should be used in place of a period (decimal). E.g., a money order for 35.75 would be
entered as 35-75.
Denominations of money orders, stolen, embezzled or missing before being issued by the
appropriate authority and before value amounts were indicated thereon should be entered as
“BLANK”. This indicates that the amount to be paid was not stated on the money order.
Enter the number of shares represented by stock certificates. These securities do not state an
amount to be paid which would be used to denote denomination. (Do not enter par value of stock
in the denomination field.) If the number of shares represented by a stock certificate are not set
out because the certificate was stolen before being properly executed, the word “BLANK” should
be entered in the denomination field.
When entering warrants and rights, enter the number of new securities which the document
entitles the owner to purchase. This will be clearly stated on the document. When the number
includes a fraction represented with a numerator and denominator, a hyphen should be used to
Chapter 11 – Securities File 11-26 For assistance call 503 378-5565
represent the slash (/), e.g., 4 3/8 would be shown as 4 3-8. When the number includes a fraction
represented as a decimal, a hyphen should be used in place of the decimal point, e.g., 4.75 would
be entered as 4-75.
Warehouse receipts do not represent a value and may be issued for numerous warehouse items.
In each instance include in the Denomination Field only the alpha characters “WR”.
Do not use commas, periods, decimal points or dollar signs in the denomination field.
Denomination should always be entered in numerical form except where entry of the word
“BLANK” or the alpha characters “WR” are appropriate.
The following are examples of entries in the denomination field:
$1,000 Bond 1000
100 Shares Stock Certificate 100
$5 Federal Reserve Note 5
$37.50 Money Order 37-50
Warehouse Receipt WR
Warrant Representing Right to Purchase Four Shares of Stock 4
If type (TYP) is Bank of Canada (BC), DEN must be 1, 2, 5, 10, 20, 50, 100, 500, or 1000.
If TYP is Treasury Bill (BL), DEN must be 1000, 5000, 10000, over 10000 in multiples of 5000 up
to 1000000.
If TYP is Federal Reserve Bank Note (FB), DEN must be 1, 2, 5, 10, 20, 50, or 100.
If TYP is Federal Reserve Note (FR), DEN must be 1, 2, 5, 10, 20, 50, 100, 500, 1000, 5000, or
10000.
If TYP is FR, and the Security Date (SDT) is 1969 and greater, the DEN cannot be 500, 1000,
5000, or 10000.
If TYP is FR and the SDT is 1976, DEN must be 2.
If TYP is Gold Certificate (GC), DEN must be 10, 20, 50, 100, 500, 1000, 5000, 10000, or 100000.
If TYP is National Bank Note (NB), DEN must be 5, 10, 20, 50, or 100.
If TYP is U.S. Individual Retirement Bond (RB), DEN must be 50, 100, 500, or 1000.
If TYP is U.S. Savings Bond (SB), DEN must be 10, 25, 50, 75, 100, 200, 500, 1000, 5000, 10000,
or 100000.
If TYP is Silver Certificate (SC), DEN must be 1, 2, 5, 10, 20, 50, 100, 500, or 1000.
If TYP is U.S. Savings Note (SN), DEN must be 25, 50, 75, or 100.
If TYP is Treasury Bond (TB), DEN must be 500, 1000, 5000, 10000, 100000, or 1000000.
If TYP is Treasury Certificate of Indebtedness (TD), or Treasury Note (TN), DEN must be 1000,
5000, 10000, 100000, or 1000000.
If TYP is U.S. Note (UN), DEN must be 1, 2, 5, 10, 20, 50, 100, 500, 1000, 5000, or 10000.
When the RMI Field contains the value C (COUNTERFEIT), edits on DEN Field do not apply.
Chapter 11 – Securities File 11-27 For assistance call 503 378-5565
11.18.3 DII DATE OF INVESTIGATIVE INTEREST – 8
MANDATORY
Date that Investigative Interest Supplemental Record is entered. Date format i.e. YYYYMMDD.
11.18.4 DOC DATE OF CANCELLATION - 8
MANDATORY
Date format. Must be equal to current date or current date minus one.
11.18.5 DOR DATE OF RECOVERY - 8
MANDATORY
Date format. Must be equal to or less than current date.
11.18.6 DOT DATE OF THEFT - 8
MANDATORY
Date format. Date the security was stolen, lost or embezzled.
11.18.7 ICA INVESTIGATIVE INTEREST CASE NUMBER – 20
MANDATORY
Case number assigned by investigative interest supplemental record entering agency. Letters,
digits, hyphens, and spaces permitted. Must be longer than one character. Cannot be all spaces,
all zeros, or "NONE". First seven characters cannot match first seven characters of IIA.
It is strongly recommended that agencies assign unique case numbers to records entered under
their ORI unless these records are directly related to the same incident.
11.18.8 IIA INVESTIGATIVE INTEREST AGENCY IDENTIFIER – 9
MANDATORY
This is the ORI of the agency submitting the Investigative Interest Supplemental Record, or of the
agency on whose behalf the supplemental record is submitted. Must be an active Oregon ORI.
First seven characters cannot match first seven characters of ICA.
11.18.9 ISS ISSUER - 15
MANDATORY
Enter in the issuer field the name of the company, agency or organization as printed on the
security even though the security may have been stolen, embezzled or missing before being
appropriately prepared or “issued” by an authorized person.
Issuer of U.S. Currency and U.S. Treasury obligations (e.g., Treasury Bonds, Bills, or Notes; U.S.
Savings Bonds) should be shown as USTREASURY (disregard the name of bank or corporation
which may have issued the document as an agent of the Government). Issuer of securities issued
by other agencies of the U.S. Government should be shown by full name or use of generally
accepted abbreviation for that agency. Issuer of Bank of Canada Notes (currency) may be shown
as CANADA.
Chapter 11 – Securities File 11-28 For assistance call 503 378-5565
When name of issuer has more characters than the 15 characters permitted in this field, the name
should be abbreviated to 15 characters in as meaningful a fashion as possible.
Abbreviations used in the financial pages of newspapers are acceptable and will serve as useful
guidelines. Care should be exercised to ensure accuracy in making the identification.
To conserve space, words such as The, And, Limited, Company, Co., Corporation, Corp., of, at,
Incorporated, Inc., Association, Assoc., etc., should not be included.
The name of a state or a province included in a corporate name which serves to set the name of
the corporation apart from other corporations having similar names should be included where
feasible. E.g., Standard Oil Company (New Jersey), the Standard Oil Company (Ohio), Standard
Oil Company of California. Commas and periods can not be used for punctuation. Parentheses
must be replaced with hyphens if punctuation is necessary.
Initials may be included, but with periods omitted. If initials constitute the full name, the name
should be written without intervening spaces or periods.
In abbreviating words, use generally accepted abbreviations or contractions when feasible. In
circumstances which involve names consisting of a large number of separate words, it may be
desirable for purposes of recognition to use several letters of key words.
Following are examples of acceptable abbreviations for issuers:
Full Name Abbreviation
Allied Chemical Corp. ALLIED CHEMICAL
American Express AMERICAN EXPRES
Bank of America National Trust and BANK AMER NTS
Savings Association
Bank of New York BK OF NEW YORK
Canadian Pacific Express Company CANADA PACIF EXP
C.E.I. CEI
Central National Bank of Cleveland CNT NAT BK CLEV
Chicago, Illinois, Transit Authority CG IL TRNS AUTH
The Deltona DELTONA
Dominion Bankshares DOMINION BKSHRS
Eastern Air Lines, Inc. EASTERN AIR L
Equitable Savings & Loan Association EQUITABLE S-L
Federal Home Loan Bank of New York FHLB NY
Louisiana-Pacific Corporation LA-PACIFIC
Maryland National Bank MD NAT BK
Northwestern Financial Corporation NW FINANCIAL
OCE-Industries Inc. OCE-INDUSTRIES
PayLess Drug Stores Northwest, Inc. PAY LS DRG S NW
Pyramid Derrick & Equipment Corp. PYRMD DRK-EQUIP
Quaker Oats Co. QUAKER OATS
Realty Income Trust REALT INC TRUST
Republic National Bank of Dallas REP N BK DALLAS
Rheem Manufacturing RHEEM MFG
Standard Oil Company (New Jersey) STANDARD OIL-NJ
Suburban Propane Gas Corp SUBRBN PROP GAS
Thos. Cook and Son (Bankers) Ltd. THOS COOK-BNKRS
Chapter 11 – Securities File 11-29 For assistance call 503 378-5565
TransCanada Pipelines TRNSCANADA PIPE
U.S. Fidelity & Guaranty Co. US FIDEL-GURNTY
Virginia National Bank VA NAT BK
Western Union Corp. WESTERN UNION
Youngston Sheet & Tube Co. YNGSTWN S-TUBE
Zenith Radio Corp. ZENITH RADIO
If TYP is BL, FB, FR, GC, NB, RB, SB, SC, SN, TB, TD, TN, or UN, then ISS must be US
TREASURY.
If TYP is BC, ISS must be CANADA.
When the RMI Field contains the value C (COUNTERFEIT), edits on ISS Field do not apply.
11.18.10 LKA LINKAGE CASE NUMBER - 20
CONDITIONAL
• Mandatory with LKI – used as a set
• Otherwise must be blank
To specify other Oregon records as being related records, enter the ORI of the related record in
LKI and the OCA of the related record in LKA.
The LKI and LKA must match at least one ORI and OCA in an existing LEDS record. If the current
message is NCIC Qualified then at least one of the ORI-and-OCA-matching records must be
NCIC Qualified.
The LKI and LKA cannot match the ORI and OCA in the same message. The LKI and LKA must
be entered, modified, or deleted together, as a set.
The characters permitted in LKA are letters, numbers, hyphens, and spaces (same as OCA).
The capability to link records is useful when two or more agencies share the same case, or when
different cases in the same department are associated. When a record is hit by a query using the
RSH/Y option, all records related to it will also be returned. Related records are those with ORI
and OCA matching the hit record's LKI and LKA or ORI and OCA. (For clarification see Query
section examples.)
It is strongly recommended that agencies assign unique case numbers to records entered under
their ORI unless these records are directly related to the same incident.
11.18.11 LKI LINKAGE AGENCY IDENTIFIER - 9
OPTIONAL
Use together with LKA to specify other Oregon records as being related records. Enter the ORI of
the related record in LKI and the OCA of the related record in LKA.
11.18.12 MIS MISCELLANEOUS FIELD - 200
MANDATORY
At minimum, agencies must enter a telephone number at which they may be reached 24-hours a
day for confirmation purposes.
INTEREST RATES
Chapter 11 – Securities File 11-30 For assistance call 503 378-5565
Whenever an interest rate is shown on a security, it should be included as the first item in the
miscellaneous field followed by the alpha characters INT or INTEREST. Enter only the interest
rate or amount as shown on the security.
If two such rates or amounts are shown, with one figure relating to one period and a second figure
relating to a second period, use the first figure only.
Enter an interest rate which is a mixed fractional figure without using a percentage, underscore, or
diagonal (slash) symbol, e.g., 4 1/8% would be entered 4 1-8 INT; 4 ½% would be entered 4 1-2
INT. If interest is a whole number, enter only the whole disregarding percentage sign, decimal
point and zeroes (if the omission of zeroes does not change the value of the figure), e.g., 4%
would be entered 4 INT and $4.00 would be entered 4 INT.
OTHER SIGNIFICANT INFORMATION
Significant information not called for by specific fields in the securities file format may be entered
in the miscellaneous field. It is suggested that additional information be entered in the
miscellaneous field when it would be helpful to an inquiring agency (e.g., other unrecovered
securities were taken during same robbery) or would more fully describe the item(s) being entered
and may be necessary to an inquiring agency for positive identification. For example, a large
corporation may issue many kinds of securities which are not identical but are similar in many
respects. In such instances descriptive terms such as “convertible”, “cumulative”, “series A”,
“sinking fund”, “senior”, or “collateral trust”, would be of assistance to the inquiring agency in
assuring positive identification. Necessary descriptive terms ordinarily appear prominently on
securities.
COUNTERFEITING
U.S. Currency
In entering counterfeited U.S. currency, include in the miscellaneous field the face plate number
and the back plate number of each bill. The face plate number will be found on the right side of the
face of the bill (the side with the portrait and printed with black ink) above and slightly to the left of
the lower right-hand denomination numeral on the white background inside and close to the lacy
border ornamentation. It will consist of a prefix alpha character and one or more numeric
characters. The back plate number consists of one or more numeric characters which will be
found on the right side of the back of the bill (the side printed with green ink) on the white
background inside and close to the lacy border ornamentation to the right and in some instances
below the center of the bill.
Canadian Currency
In entering counterfeited Bank of Canada notes, include in the miscellaneous field the face plate
number and back plate number of each note. These numbers are extremely small. Close
inspection of the note with a magnifying glass may be required to identify them. The face plate
number is located inside the lacy border ornamentation and immediately above and to the far left
of the engraved black bar which extends the full width of the face (portrait side) of the note
between the borders and on which is inscribed “BANK OF CANADA - BANQUE DU CANADA”. It
will consist of one or more numeric characters which will be found in one of a variety of locations
in the light area immediately adjoining the lacy border ornamentation in the lower half of the note.
For example, the Canadian $1 note back plate number is located approximately 5/8 inch to the
right of the inside edge of the left border and Canadian $5 note back plate number is located
approximately 1/8 inch to the left of the inside edge of the right border at its juncture with the
diagonal line made by the border in the lower right-hand corner.
Abbreviations for Counterfeit Entries
Chapter 11 – Securities File 11-31 For assistance call 503 378-5565
The following abbreviations may be used to indicate that the plate number being entered is a face
plate or back plate number.
Face Plate Number FP.
Back Plate Number BP.
Example “MIS” Field Entry for Counterfeit Record. A miscellaneous field entry for a counterfeit bill
(note) might read:
“COUNTERFEIT FP A123 BP 345”
ADDITIONAL LOCATION OR OFFENSE INFORMATION
The originating agency may wish to enter city or location of theft, identity of the agency or branch
office from which the securities were taken, or nature of the offense.
SUGGESTED ABBREVIATIONS FOR USE IN THE “MIS” FIELD
Following is a list of abbreviations for use in the miscellaneous field (securities format) to further
describe various types of securities:
Term Abbreviation
Adjustment ADJ
Assumed ASD
Bearer BRR
Bond BD
Callable CALL
Capital CAP
Certificate CTF
Collateral Trust CT
Common COM
Consolidated CONSOL
Contingent CONTGT
Convertible CV
Coupon CPN
Cumulative CUM
Debenture DB
Debenture Bond DB
Dividend DIV
Equipment EQ
Equipment Trust ET
First 1ST
Chapter 11 – Securities File 11-32 For assistance call 503 378-5565
General GEN
Guaranteed GTD
Improvement IMP
Income INC
Indebtedness IND
Interest INT
Issue ISS
Joint JT
Term Abbreviation
Junior JR
Maturity MAT
Mortgage MTG
Municipal MUN
Non-Cumulative NONCUM
Non-Voting NV
Ordinary ORD
Par Value PV
Participating PART
Percent PCT
Preference PREF
Preferred PFD
Principal PRIN
Redeemable RDBLE
Refunding REF
Registered REG
Revenue REV
Right RT
Second 2ND
Secured SECD
Senior SR
Serial SRL
Series SER
Sinking Fund SF
Subordinated SUB
Chapter 11 – Securities File 11-33 For assistance call 503 378-5565
Unsecured UNSECD
Voting VTG
Warrant WAR
Chapter 11 – Securities File 11-34 For assistance call 503 378-5565
Chapter 11 – Securities File 11-35 For assistance call 503 378-5565
11.18.13 MKE MESSAGE KEY
MANDATORY
Code indicating the message being processed. The message keys described in this chapter are
CS, CSS, ES, ESS, LS, LSS, MS, MSS, QS, QSB, XS, XSS, ZS.
11.18.14 NIA NOTIFY INVESTIGATING AGENCY – 1
MANDATORY
"Y" or "N". Indicator used to request notification when the base record is hit by an inquiry.
An administrative message is automatically sent to the ORI of the supplemental investigative
interest record when a cancel, clear, locate, modify, or purge transaction effects the base record
regardless of the setting of the Notify Investigative Agency flag (NIA). When NIA is set to “Y” an
administrative message is also sent when an inquiry generates a hit on the base record.
11.18.15 NIC NCIC NUMBER - 10
AUTOMATIC
A self-checking NCIC-assigned number used to identify records in NCIC. It is a letter (S in the
Security File) followed by nine digits. Must have valid check digits when used to identify a record
in a subsequent transaction.
11.18.16 NOA NOTIFY ORIGINATING AGENCY - 1
OPTIONAL
"Y" or "N". Indicator used to request notification when record is hit. An unsolicited administrative
message is sent to the ORI of record when an inquiry, enter, or modify transaction results in a hit
response; and the Notify Originating Agency flag (NOA) is set to Y. Defaults to "N" if unused. This
replaces the use of "NOAH" in the MIS field which did not generate an automatic message but
directed the user to contact the owner of the record.
11.18.17 NPA NUMBER OF PERSONS APPREHENDED - 3
OPTIONAL
Count of persons arrested as a result of locating stolen security. Can be entered only if RPP is
entered. Must be 0 if RPP is OTHER MEANS or PREVIOUSLY LOCATED
11.18.18 NPF NUMBER OF MISSING PERSONS FOUND - 20
OPTIONAL
Five-character coded number of missing persons found as a result of recovering article, if none
enter 0.Can have up to four groups of five characters each, formatted like "nnn[J or O][I or N]".
The first three characters must be digits. Leading zeros must be included. The fourth character
must be a J for Juvenile or an O for Other person. The fifth character must be I or N for Indexed or
Not indexed in NCIC. Since the J,O,I and N can be used four ways, NCIC has made it possible to
code all four ways all at once. For example, 001JI002JN003OI003ON would be decoded, from left
to right, as:
One juvenile, indexed in NCIC 001JI
Chapter 11 – Securities File 11-36 For assistance call 503 378-5565
Two juveniles, not indexed in NCIC 002JN
Three other missing people, in NCIC 003OI
Three other missing people, not in NCIC 003ON
11.18.19 OCA ORIGINATING AGENCY CASE NUMBER - 20
MANDATORY
The case number assigned by the agency responsible for the record. Letters, digits, hyphens, and
spaces permitted. Cannot be a single letter, all spaces, all zeros, or "NONE". The first seven
characters cannot match the first seven characters of ORI, RCA, or RRI.
A second OCA in a modify transaction must not be in delete format (i.e. OCA/.)
It is strongly recommended that agencies assign unique case numbers to records entered under
their ORI unless these records are directly related to the same incident.
11.18.20 ORI ORIGINATING AGENCY IDENTIFIER - 9
MANDATORY
Code for agency submitting message, or for agency on whose behalf message is submitted. It is
the agency of record for messages. Must be an active ORI. The first seven characters cannot
match the first seven characters of OCA.
11.18.21 OWN OWNER - 40
MANDATORY
The full name of the owner appearing on the face of the security is to be included if space in this
field permits. Most names can be listed in their entirety because 40 characters are allowed in this
field. Names must be entered in this order: Mandatory surname; mandatory comma; space
(optional); mandatory first name or initial; space (include only if middle name or initial will follow);
middle name(s) or initial(s) if any; mandatory space after each middle name or initial except last
one; and suffix denoting seniority (Jr., III, etc.) if any. Incorrect placement or omission of the
comma will result in a negative response to inquiries on the name. If more than one comma is
used when entering the name, the message will be rejected.
If the owner is not a person but a company, bank, brokerage house, etc., list the full name in the
same order as it appears on the documents; however, the following words and symbols should not
be included:
and Corporation Limited & (
)
Co. Inc. of ‘ /
Company Incorporated S.A . -
Corp. Ltd. the (other symbols)
If the owner’s name exceeds the allotted 40 characters, write the name out to the maximum extent
possible. This may result in eliminating a part of a word or several words. For example, First
National Bank of San Gregorio, California, would be entered as FIRST NATIONAL BANK SAN
GREGORIO CALIFOR; Bank of America National Trust and Savings Association would be
entered as BANK AMERICA NATIONAL TRUST SAVING ASSO.
Chapter 11 – Securities File 11-37 For assistance call 503 378-5565
The word “BEARER” must be entered for all types of currency—Bank of Canada (Canadian Note),
Federal Reserve Bank Note, Federal Reserve Note, Gold Certificate, National Bank Note, Silver
Certificate, and U.S. Note. “BEARER” must also be entered in the Owner Field when the name of
owner is not set out on the face of the security because the security was not designed to include a
specific owner’s name or when the security contains the words “Payable to Bearer.” The word
“BLANK” should be entered when the security was stolen or embezzled before the appropriate
space provided for name of owner was filled.
When co-owners (two owners) are listed on the security, use only the name of the first person
listed even if deceased. A title(s) such as “Mr.”, “Mr. or Mrs.”, “Mr. and Mrs.”, “Dr.”, “Dr. or Mrs.”,
“Dr. and Mrs.”, etc., is not to be included except when it is necessary to differentiate a wife’s
identity from that of her husband in which case the title Mrs. would be included, E.g., SWANSON,
ROBERT D MRS. Disregard the name of a person (or organization) identified as beneficiary or to
whom security is payable on death (P.O.D.).
The name of the person or company holding a traveler’s check at the time of theft or
embezzlement should be entered in the Owner Field even though this information is not indicated
on the face of the document. This situation would occur when the purchaser of the traveler’s
check had cashed it or used it to make a purchase. In this event the name appearing on the
traveler’s check should be included in the Miscellaneous Field to assist in its identification.
Similarly, the person in possession of a money order at the time of theft or embezzlement should
be identified as the owner even though his name does not appear on the document. This situation
would occur when the purchaser of a money order had filled in the payee line thereon but had not
turned the money order over to the person or company to whom payment is to be made. In this
instance the name of the payee should be placed in the Miscellaneous Field to further identify the
money order.
11.18.22 RCA RECOVERING AGENCY CASE NUMBER - 20
CONDITIONAL
• MANDATORY if item is recovered by DIFFERENT AGENCY
• MUST BE LEFT BLANK if item is recovered by ENTERING AGENCY
Case number assigned by recovering agency. Letters, digits, hyphens, and spaces permitted.
Cannot be a single letter, all spaces, all zeros, or "NONE". The first seven characters cannot
match the first seven characters of ORI, OCA, or RRI.
It is strongly recommended that agencies assign unique case numbers to records entered under
their ORI unless these records are directly related to the same incident.
11.18.23 RMI RANSOM MONEY INDICATOR - 1
OPTIONAL
The RMI Field can have a value of B (Bait Money), C (Counterfeit), or R (Ransom). The entry of
one of these codes in the RMI Field will result in a code translation following the message key
translation in a hit response. The entry of R in the RMI Field also results in the unlimited retention
of the record. The entry of C in the RMI Field will cause the edits on the SER, DEN, ISS, OWN,
and SDT to be bypassed.
Bait money (prerecorded currency) is Federal Reserve Notes that have been marked to identify
stolen money as evidence against a robber.
Chapter 11 – Securities File 11-38 For assistance call 503 378-5565
11.18.24 RPP REASON FOR PROPERTY RECORD REMOVAL - 21
OPTIONAL
Reason for cancel, locate, or clear message.
Benefits and effectiveness data is collected by LEDS and NCIC. Benefits and effectiveness data is
collected by the LEDS and NCIC systems to provide users with a means of collecting data
associated with solved cases.
Monthly summaries and other reports from benefits and effectiveness data may be obtained by
contacting the LEDS Operations Center at (503) 378-5565.
RPP must be present to use any of the other benefits and effectiveness fields. If RPP is "OTHER
MEANS" or "PREVIOUSLY LOCATED", then NPA, NPF, VNP, VOR, and VRC must be blank or 0
if they are in the message.
All dates must be today or prior to today, in YYYYMMDD format.
BENEFITS AND EFFECTIVENESS FIELDS
MESSAGE PURPOSE RPP VALUES ALLOWED ALLOWED
NPA, NPF, VNP, VOR, VRC
ADMIN CLOSING
Cancel Stolen
CASE DROPPED
Securities
NOT STOLEN
HIT LOCAL YYYYMMDD
HIT STATE YYYYMMDD Yes
Locate Stolen
HIT NCIC YYYYMMDD
Securities
OTHER MEANS
Must be blank or 0
PREVIOUS RECOVERY
HIT LOCAL YYYYMMDD
Clear Stolen
HIT STATE YYYYMMDD Yes
Securities
HIT NCIC YYYYMMDD
“HIT LOCAL” is used to denote that the record is held in a local system e.g. AIRS, “HIT STATE” is
used to denote that the record is held in a “state” system e.g. LEDS, and “HIT NCIC” is used to
denote that the record is held in NCIC.
“OTHER MEANS” indicates that the Locate was accomplished through means other than a
system hit
“PREVIOUS RECOVERY” indicates that the property was previously located but that the
Clear/Locate transaction was not performed.
11.18.25 RRI RECOVERING AGENCY IDENTIFIER -9
CONDITIONAL
• MANDATORY if item is recovered by DIFFERENT AGENCY
• MUST BE LEFT BLANK if item is recovered by ENTERING AGENCY
Recovering agency ORI when different than agency submitting clear message. Must be an active
ORI. First seven characters cannot match first seven characters of ORI, OCA, or RCA.
Chapter 11 – Securities File 11-39 For assistance call 503 378-5565
11.18.26 RSH RELATED SEARCH HIT - 1
OPTIONAL
"Y" or "N". Indicator for NCIC query system to perform a secondary search for related records.
Related records are those with ORI and OCA matching a primary search hit record's LKI and LKA.
Records with matching ORI and OCA will also be returned if entered within thirty (30) days of the
primary hit.
11.18.27 SDT SECURITY DATE (OR SERIES YEAR) - 9
CONDITIONAL
If SDT contains data, it must be one of the following:
1. A maturity date, format consisting of the alphabetic M followed by a valid Gregorian date
(MYYYYMMDD);
2. An issue date, format consisting of the alphabetic P followed by a valid Gregorian date
(PYYYYMMDD);
3. A series year consisting of four numeric characters with an optional fifth character (YYYY,
YYYYA). The leftmost two characters must be 19 (i.e., 19YY) or 20 (i.e., 20YY).
or
4. The word BLANK;
(1) SECURITIES Other Than Currency
Several dates may appear on a security. For NCIC purposes, however, two dates are of
primary significance. These will be referred to as maturity date (due date) and issue date.
When maturity date is referred to, the date entered in the security date field is to be preceded
by the alpha character M, e.g., M19861017 for the maturity date October 17, 1986.
When the issue date is referred to, the date entered is to be preceded by the alpha character
P, e.g., P19770513 for the issue date May 13, 1977.
Securities such as bonds, debentures, notes and other certificates acknowledging debt usually
set out a specific date when they become payable to owner (maturity). Maturity date is to be
used when it is set out.
Certain securities may represent shares of ownership in a corporation (e.g., stock certificates)
and as such have no maturity (due) date. Others may be documents which can be cashed if
appropriately signed or endorsed (e.g., travelers checks, money orders). For such securities,
the date shown thereon as date prepared or issued should be entered as the issue date.
When a money order was stolen before it was issued and the issue date had not been
recorded thereon, the word “BLANK” is to be entered in the security date field. Any date of
issue subsequently entered thereon would be a date entered by an individual other than an
authorized representative of the issuing organization/agency.
(2) CURRENCY
When entering currency, the series year (four numeric characters and any alpha character
suffix) must be included in the security date field. The series year is found on the face of U.S.
currency following the word “SERIES” (e.g., “SERIES 1963A” would be entered as “1963A”).
Chapter 11 – Securities File 11-40 For assistance call 503 378-5565
When entering Bank of Canada Notes (paper money), enter the year which follows the word
“OTTAWA”, on the face, of the note centered immediately under a black bar on which is written
“BANK OF CANADA-BANQUE DU CANADA”, e.g., “1974”.
For NCIC purposes this date is referred to as “series year”.
The alpha characters M or P cannot be prefixed to the series year, as is done when entering
the maturity or issue date of other securities.
If the TYP equals FR, the data must be equal to 1928, 1928A, 1928B, 1928C, 1934, 1934A,
1934B, 1934C, 1934D, 1950, 1950A, 1950B, 1950C, 1950D, 1950E, 1963, 1963A, 1963B,
1969A, 1969B, 1969C, 1969D, 1974, 1976, 1977, 1977A, 1981, 1981A, 1985, 1988, 1988A,
1990, 1993, 1995, 1996 1999, 2001, or greater.
If the TYP equals GC, SC, UN, or NB, the data must be in the series year format.
If the TYP equals FR and DEN equals 2, the SDT must be 1976,1995,1999, or 2003.
If the RMI Field contains C (COUNTERFEIT), the edits on SDT do not apply.
11.18.28 SER SERIAL NUMBER(S) - 18/37
MANDATORY
The serial number must be a unique number identifying the stolen, embezzled, counterfeited, or
missing security.
If MKE is ES, must be 1 to 18 alphabetic and/or numeric characters; must not be single zero only,
run of zeros only, single alphabetics only, or run of alphabetics only.
If MKE is ESS, a single hyphen must separate the two numbers designating the lowest and
highest serial numbers of the sequence; the two numbers must contain an equal number of
characters not exceeding 18 in each number. A group record cannot include more than 100
consecutive serial numbers. Alphabetic characters only cannot be used. Any alphabetic(s) and its
position must be constant in any two numbers used to denote a sequence. Rightmost numerics
must establish consecutive sequence.
Cannot be entered as a group record when serial numbers end in alpha O.
If a serial number contains one or more characters over one or more characters (A/B AB/BD etc.),
enter the numerator first immediately followed by the denominator without underscore or slash
symbol (E.g., A/B would be entered as AB and AB/BD would be entered as ABBD).
When entering consecutively serialized securities (ESS), a single hyphen must separate the two
numbers designating the lowest and highest serial numbers of the sequence. The two numbers
must contain an equal number of characters not exceeding 18 in each number. A group record
cannot contain more than 100 consecutively serialized numbers.
Serial numbers composed of alphas, numerals, or a combination thereof, must be entered
omitting spaces, hyphens, commas, and symbols.
If TYP is FR, SER must be nine or ten characters unless DEN is 20, 50, or 100, and SDT is 1996;
then the SER must be 11 characters. In that case, characters one and two must be alphabetic,
excluding the letter O. Positions three through ten must be numeric. Character eleven must be an
alphabetic, excluding the letter O. Otherwise, the first character (prefix) must be an alphabetic A
through L. If the SER is ten characters, the tenth position (suffix) must be an alphabetic A through
N or P through Z. If SER is nine characters, and the suffix is an asterisk, the MIS Field must
contain ASTERISK SER as the first two words.
Chapter 11 – Securities File 11-41 For assistance call 503 378-5565
All U.S. Savings Bond serial numbers begin and end with an alpha character. (E.g. D839070E).
The beginning alpha character denotes the denomination of the bond. (E.g., D83907078E. D
represents a $500.00 bond.)
If the TYP code is PM then the SER must have ten characters.
If DEN is First character or SER must be:
10 X
25 Q
50 L
75 K
100 C
200 R
500 D
1000 M
5000 V
10000 X
100000 W
In each case, the last character of the SER must be A, B, C, D, E, F, G, H, J, or K.
If last character is: SER must be:
E 3-12 characters
EE 4-12 characters
H 3-10 characters
HH 4-11 characters
When TYP code is SN the following apply:
If DEN is: First character of SER must be:
25 Q
50 L
75 K
100 C
When an asterisk (*) symbol is an integral part of a serial number, as on some U.S. Currency, it is
not included in the serial number field, rather an appropriate entry must be made in the
miscellaneous field explaining the asterisk as part of the SER. E.g., ASTERISK SER.
Place any number typed on the certificate following the name of the owner in the serial number
field. If the number typed after the name of the owner is the owner’s social security number, enter
it in the SOC field.
Serial numbers for savings bonds begin and end with alpha characters.
11.18.29 SOC SOCIAL SECURITY NUMBER - 9
OPTIONAL
If TYP is BC, FB, FR, GC, NB, SC, or UN, then SOC must be blank.
Must not be less than 001010001 or have a value of 8 or 9 in the first position or have a value of
00 in the fourth and fifth position. Invalid and/or non-issued numbers are accepted but cause a
SOC attention message.
Chapter 11 – Securities File 11-42 For assistance call 503 378-5565
The social security number of the person who is the owner of the security should be entered (at
the earliest opportunity if not available) in the social security number field (a searchable field) for
further positive identification. The social security number should be readily obtainable from the
owner, the issuer, the transfer agent, or the owner’s broker or investment company.
If the owner of the security being entered is not a person but is a corporation, foundation, etc., the
owner will not have a social security number, hence no entry can be made in the social security
number field.
If the security being entered intentionally does not list the name of the owner (e.g., a “bearer”
bond) or the security was stolen before it had been executed in all respects by appropriate
authority, no entry can be made in the social security number field.
When co-owners are listed on the security, use only the SOC of the first person listed if available.
Upon entry of invalid and/or non-issued social security numbers, a caveat will be generated
stating that the SOC has not been assigned and that the agency should check for a possible data
entry error. This caveat will be generated each time such a number is entered, modified, or
queried:
ATTENTION: THE SOC USED IN YOUR TRANSACTION HAS NOT BEEN ASSIGNED BY THE
SOCIAL SECURITY ADMINISTRATION. PLEASE CHECK FOR A DATA ENTRY ERROR.
11.18.30 TYP TYPE OF SECURITY - 2
MANDATORY
The code of each type of security consists of two alphabetic characters. The type code must be a
valid security type code from the Securities Data Codes section of the NCIC 2000Code Manual.
To insure accurate retrieval of information entered in the file, use the code which most precisely
describes the item being entered (e.g., Federal Reserve Bank Note = FB, Treasury Bond = TB,
U.S. Postal Money Orders = PM; Common, “Capital” or “Ordinary” Stock = CS; or Preferred Stock
= PS). Use the more general codes such as BD (bond), MO (money order), and NT (note) for
those securities which cannot be described positively by any of the listed codes.
11.18.31 VLD DATE OF LAST VALIDATION - 8
AUTOMATIC
Date and time record last validated. Automatically updated when record is validated (i.e., VLN is
modified).
11.18.32 VLN NAME OF VALIDATOR - 30
OPTIONAL
Use VLN in a modify message to validate a record. All characters except period, slash, single
quote and double quote permitted. Can be in any form that will uniquely identify the person
validating record, i.e., employee identification number, user id number, name, etc. VLN cannot be
modified to be blank.
VLN data will only be included in responses when queried by the ORI of record.
Chapter 11 – Securities File 11-43 For assistance call 503 378-5565
11.18.33 VNP VALUE OF RECOVERED PROPERTY – 8
OPTIONAL
Fair market value (in whole dollars) of the recovered stolen security identified in the record, if none
enter 0. Can be entered only if RPP is entered. Must be 0 if RPP is OTHER MEANS or
PREVIOUSLY RECOVERED
11.18.34 VOR VALUE OF OTHER RECOVERED PROPERTY – 8
OPTIONAL
Fair market value (in whole dollars) of property recovered as a result of locating the stolen
securities identified in the record, if none enter 0. Can be entered only if RPP is entered. Must be
0 if RPP is OTHER MEANS or PREVIOUSLY RECOVERED
11.18.35 VRC VALUE OF RECOVERED CONTRABAND – 8
OPTIONAL
Fair market value (in whole dollars) of contraband recovered as a result of locating the stolen
securities identified in the record, if none enter 0. Can be entered only if RPP is entered. Must be
0 if RPP is OTHER MEANS or PREVIOUSLY RECOVERED
Chapter 11 – Securities File 11-44 For assistance call 503 378-5565
Source: CHPTR_11_SECURITIES.docx