U.S.

Department of Justice
Bureau of Alcohol, Tobacco, Firearms and Explosives
_________________________________________________________

FIREARMS TECHNOLOGY
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BRANCH
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____________________________________________________________________________________________________________

Standard Operating Procedures

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Evidence Handling and Processing
___________________________________________
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· f, Firearms Technology ranch
 TABLE OF CONTENTS

1.0 OBJECTIVE ......................................................................................................... 3

1.1 Mission ................................................................................................. 3

1.2 Purpose................................................................................................. 3
1.3 Benefit .................................................................................................. 3

2.0 RECEIVING EVIDENCE .................................................................................... 3

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2.1 Receiving Evidence by Mail ................................................................. 3
2.2 Receiving Evidence in Person............................................................... 3

3.0 IN-PROCESSING EVIDENCE ............................................................................ 4

3.1 Handling Contaminated Evidence ....................................................... 4

3.2 Ensuring Evidence was Intended for FTB ........................................... 4
3.3 Inspecting the Evidence for Damage.................................................... 5
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3.4 Safety Checks Prior to Processing Evidence ........................................ 5
3.5 In-Processing Evidence ........................................................................ 6

4.0 OUT-PROCESSING EVIDENCE NOT INTENDED FOR FTB ......................... 8

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4.1 Evidence Log Out................................................................................. 8
4.2 After Log out of Evidence ..................................................................... 8

5.0 SHIPPING EVIDENCE NOT INTENDED FOR FTB ......................................... 8

5.1 Shipping Box and Packaging Reusable ................................................ 8

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5.2 Shipping Box, Packaging Material, or Both Require Replacement. .... 8

6.0 REFERENCES AND EXHIBITS ......................................................................... 9

6.1 References ............................................................................................ 9

6.2 Exhibits................................................................................................. 9
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1.0 OBJECTIVE

1.1 Mission

The Firearms Technology Branch (FTB) provides expert technical support to ATF, other
Federal agencies, State and local law enforcement, the firearms industry, Congress, and
the general public. FTB is responsible for the classification of firearms and ammunition
under the Federal firearms laws. FTB maintains an extensive firearms reference
collection, as well as technical firearms reference files, a library, and firearms databases.
This Branch is also responsible for the technical evaluation of firearms to determine if
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they meet the requirements for importation into the United States. Further, FTB provides
the U.S. Department of Justice, State prosecutors offices, District Attorneys offices, and
military courts with expert firearms testimony. This testimony includes the identification
and origin of firearms; how they are regulated under Federal law; and other matters
relating to firearms and the firearms industry.

1.2 Purpose

The purpose of this document is to provide guidance for the Firearms Enforcement
Specialist (FES) when handling evidence that has arrived at FTB for evaluation by the
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Firearms Enforcement Officers (FEOs). All evidence will be handled in a manner that
maintains the identity, integrity, condition, and security of the item while under FTB
custody. If the FES is unavailable, the FTB Duty Officer will be responsible for
performing the duties outlined in this SOP.

1.3 Benefit
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To promote quality and consistent implementation of FTB evidence handling and
processing.

2.0 RECEIVING EVIDENCE

2.1 Receiving Evidence by Mail

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When evidence arrives at the mailroom of the ATF Martinsburg, WV, facility, the FES is
the designated FTB representative for retrieving incoming evidence.

2.1.1 The FES will sign the mailroom log when evidence is picked up from the
mailroom.

2.1.2 The FES will place the evidence into the FTB secure evidence staging
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area.

2.2 Receiving Evidence in Person

When evidence arrives at the Martinsburg facility via hand delivery by an ATF Agent, the
FES is the designated FTB representative for accepting incoming evidence.

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 2.2.1 The FES will take the ATF F 3311.3, Firearms Technology Evidence
Transmittal Form (Exhibit 1), accompanying the evidence and draw a line
after the last evidence entry on the form through to the bottom of the form,
leaving no extra empty space on the form after the last listed item of
evidence.

2.2.2 The FES will date-stamp the Evidence Transmittal Form.

2.2.3 The FES will utilize the “Firearms Enforcement Specialist” stamp on the
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signature block, and he/she will sign above the block on the Evidence
Transmittal Form.

2.2.4 The FES will provide a copy of the Evidence Transmittal Form to the ATF
Agent and keep the original for FTB records.

3.0 IN-PROCESSING EVIDENCE

The FES will process all incoming evidence prior to the evidence being distributed to a
FEO.
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3.1 Handling Contaminated Evidence

Evidence arriving at FTB may have been exposed to contaminants, including blood
and/or chemicals. When receiving and processing evidence that is contaminated, the
following safety precautions must be followed. The FES will alert the office of the
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receipt of any contaminated evidence sent in from the field.

3.1.1 The FES must wear personal protective equipment (PPE), such as powder-
free rubber gloves and safety glasses. If necessary, the FES may wear
more than one pair of protective rubber gloves to handle the evidence.
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3.1.2 Upon completion of handling contaminated evidence, the FES will wash
his/her hands, forearms, and any contacted areas thoroughly with warm,
soapy water and/or hand sanitizer.

3.2 Ensuring Evidence was Intended for FTB

The FES will ensure FTB does not process any evidence intended for another location by
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checking the FTB Evidence Transmittal ATF Form 3311.3 (Exhibit 1). On occasion, an
ATF Agent may send evidence to FTB that needs to be evaluated by the ATF Laboratory
first (inspecting for fingerprints, etc.).

3.2.1 The FES will locate the Evidence Transmittal Form for the incoming
evidence.

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 NOTE: The Evidence Transmittal Form could be located on the outside or
inside of the shipping box.

3.2.2 The FES will sign the Evidence Identification Tag 3400.11 (Exhibit 3) and
log the evidence into the FTB electronic evidence database and FTB
evidence log to maintain chain of custody.

3.2.3 The FES will request confirmation from the submitting ATF Agent that the
evidence was not intended for FTB.
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3.2.4 If the evidence was intended for the ATF laboratory or another testing
facility, the FES will log the evidence out the FTB electronic evidence
database and FTB evidence log and reroute it accordingly.

3.3 Inspecting the Evidence for Damage

The FES will inspect all incoming evidence for signs of damage.

3.3.1 Damage to shipping box detected.

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3.3.1.1 The FES will photograph the condition of the box, the shipping
label, and contents of the box.

3.3.1.2 The FES will print a copy of the photograph(s) and place with the
Evidence Transmittal Form.
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3.3.2 Damage to evidence detected.

3.3.2.1 The FES will photograph the condition of the evidence.

3.3.2.2 The FES will contact the submitting ATF Agent via e-mail.
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NOTE: The FES will attach the photograph(s) to the e-mail.

3.3.2.3 The FES will print a copy of the photograph(s) and place with the
Evidence Transmittal Form.

3.3.3 No damage detected.

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3.3.3.1 The FES will proceed to Section 3.4.

3.4 Safety Checks Prior to Processing Evidence

Prior to processing the evidence for examination, a safety check will be conducted by the
FES.

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 3.4.1 The FES will treat all firearms as though they are loaded until
rendered safe. This rule will be followed at all times.

3.4.2 The FES will always keep the muzzle pointed in a safe direction and
always keep his or her finger(s) off the trigger and outside the trigger
guard until the firearm has been rendered safe.

3.4.3 If the firearm has a magazine or other source of ammunition, the FES will
remove it if applicable.
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3.4.4 The FES will place the barrel of the firearm into a bullet trap and perform
an open breech inspection of the chamber, and any other visual or physical
inspection deemed necessary, to ensure the firearm is unloaded.

3.4.5 The FES will check for any obstructions before test firing.

3.4.5.1 A removed obstruction will be kept with the evidence and

documented.
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3.4.6 If a loaded firearm is submitted, the FES will clear the weapon.

3.4.7 The FES will insert a yellow chamber checker flag or a zip tie into the
barrel of the firearm to indicate that the weapon has been rendered safe.

3.4.8 The FES will notify the FTB Branch Chief (or Acting Branch Chief) when
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a loaded firearm is submitted to the FTB.

3.5 In-Processing Evidence

While in-processing evidence, the FES will check off the corresponding steps of the FTB
Work Plan Worksheet (Exhibit 2) as they are completed. The FES will be responsible for
completing up to step 6 on the Worksheet.
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3.5.1 The FES will remove the shipping label and stamp with date received.
This will be kept with the paperwork.

3.5.2 The FES must compare all evidence with the Evidence Transmittal Form
to verify that all of the evidence and paperwork correspond.
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NOTE: If there is a discrepancy, the FES will contact the submitting ATF
Agent for clarification and document discrepancies.

3.5.3 The FES will sign and date the ATF Form 3400.11 Evidence Identification
Tag(s) (Exhibit 3).

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 NOTE: If necessary, the FES will generate evidence tag(s) with the
information obtained from the accompanied Evidence Transmittal Form.

3.5.4 The FES will assign an internal FTB tracking number to the evidence.

3.5.5 The FES will mark the same internal FTB case number on the Evidence
Transmittal Form, the shipping label, and clearly and legibly on the outside
of the box in which the evidence will be stored.

3.5.6 The FES will reseal the box and retain the box(es) in the FTB secure
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evidence staging area.

3.5.7 The FES will log the evidence into the FTB electronic evidence database
and FTB evidence log.

3.5.8 The FES will search for the ATF Agent’s case number in the evidence
database. The evidence will be assigned to the FEO who has performed
work under an existing case number to maintain consistency.

3.5.9 Any evidence without an existing case number will be assigned to a FEO
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on a rotational basis.

3.5.10 The FES will place the Evidence Transmittal Form, incoming shipping
label, and all relevant documentation into an orange case folder. For
hand-delivered evidence, the FES will also provide an ATF E-Form
3400.23 Receipt of Property and Other Items (Exhibit 4) in the folder for
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the submitting ATF Agent to sign when resuming custody.

3.5.11 “Expedite” evidence (Block 6 checked on the Evidence Transmittal Form)

must be hand-carried to the assigned FEO with the orange case folder
placed within a yellow expedite folder.

3.5.11.1 The assigned FEO will verify that the documentation corresponds
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to the evidence.

3.5.11.2 The FEO will initial and date the corresponding entry in the
evidence log and the evidence tag(s).

3.5.12 For evidence that is not marked “Expedite,” the orange case folder will be
provided to the assigned FEO. The evidence will remain in the FTB
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secure evidence staging area until it is needed for technical examination.

3.5.12.1 When the FEO is ready to obtain the evidence, the FEO will
verify that the documentation corresponds to the evidence.

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 3.5.12.2 The FEO will initial and date the corresponding entry in the
evidence log and the evidence tag(s).

3.5.13 Once the FEO takes custody, the FEO is responsible for the condition,
location, and storage of the evidence.

4.0 OUT-PROCESSING EVIDENCE NOT INTENDED FOR FTB

4.1 Evidence Log Out

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4.1.1 After receiving confirmation from the submitting ATF Agent, the FES will
log the evidence out of the FTB electronic evidence database and FTB
evidence log as being shipped with the date of departure to the laboratory.

4.1.2 The FES will ship the package immediately to the appropriate ATF
laboratory for processing (Section 5.0).

4.1.3 The FES will record the out-processing date and the returned common or
contract carrier tracking number into the evidence log.
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4.1.4 The FES will check incoming tracking e-mails daily to verify that the
items were delivered and print a copy of the delivery confirmation.

4.2 After Log out of Evidence

After the evidence has been logged out, the FES will use a red marker to mark the
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shipping label located in the ledger book.

5.0 SHIPPING EVIDENCE NOT INTENDED FOR FTB

The FES will determine if the shipping box and packaging received with the evidence
will be able to maintain the integrity of the evidence if used again for shipment.
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5.1 Shipping Box and Packaging Reusable

The FES will ship the evidence by common or contract carrier. FTB will use a carrier the
having the ability to track the shipment.

5.2 Shipping Box, Packaging Material, or Both Require Replacement.

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5.2.1 The FES will replace the shipping box, packaging material, or both to
ensure the integrity of the evidence during shipment.

5.2.2 The FES will ship the evidence by common or contract carrier. The FTB
will use a carrier with the ability to track the shipment.

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6.0 REFERENCES AND EXHIBITS

6.1 References

1. Federal Firearms Regulations Reference Guide, ATF Publication 5300.4.

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2. ATF Publication 3317.2, ATF Safety and Security Information for Federal
Firearms Licensees.

6.2 Exhibits

Exhibit 1. ATF E-Form 3311.3, Firearms Technology Evidence Transmittal Form

Exhibit 2. FTB Work Plan Worksheet

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Exhibit 3. ATF Form 3400.11, Evidence Identification Tag

Exhibit 4. ATF E-Form 3400.23, Receipt of Property and Other Items

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Exhibit 1. ATF E-Form 3311.3, Firearms Technology Evidence Transmittal Form

u.s_lDtputmmt of JIISfu:e
Bwmu,of Ako:boL Tobacco., F.iie;mn, a n d ~
Finial'IDS Technology :faidence Transmittal Form

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 Exhibit 2. FTB Work Plan Worksheet

Department oflusti.oe
Bureau ofAkolwl, Tobac.co, F'irearmsand!Explomres
Firmrm.s T«Jmalo:g;y lhmldl
244NeedR.ooo
Martinsl!mg, WV 25405
~ : (304) ,6 16-4300 Facsimile: ,(304) ,6 16-4301

WORKPLAN
The Fireu.ms Enforcement Offic.eJ (FEO) mm:t document the rest.Ms ,o f each slep beginning with step 6
and ,con.tinning through.step 13 contained within tms work plan as the steps are perromred.. The documentation
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may include but is not limited to notes, photograpm, or sketches. The steps ma:y be documented withirn the
AJF Foan 331 U Report ,ofTeclmical Examination without the use ,ofad.ditiona] notes. This \\'om plan is .a

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guide fur the FEO to utiliz.e to complete an evid.enoe ex:aminati.on. The .FRO should •e til!lre that he/s'he follows
the appropriate FIB Procedure based upon fire type of evidence being e3ammed..

Receive evidence;

1 2- Verify and inclu.de theFI'B number here: - - - - - - - ~

1' 3. Perlomt safety chedk of physical item(s);

1 14.. Verify items ,o f,evi.dence are consistent with the written evidence trammittalATF Fmm 33H.3
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and the evidence tag(s);

I' .5. Sign ,evidence transmittal. tag(s);

I' 6. Verify wbmitfers request;

i 7. Begin. completing top portion of the A 1F Form 3311.2, Report of Tedmical. Examma.tion;
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r--:- g_ Begin. examination (see appropriate FTB Guidelines based upon the fype o,f firearm being
exam'ffled)~

I' 9. Perlonn initial physical examination and notate any external physical modi.fications(s) (see
appmpriate FfB Guidelines based.upon the type ,o ffueann being examined);

r---i 10. ff necessary, perlhmt reseaich utilizing A'IF sources to inclnde bu.t not hmi.ted to,National.
Reference lJlnary, National Reference Collection, database, J-file, internet 1esearoh etc.;
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i 11 . ffpossibie, fire the weapon before msassemb]y;

i 12. After firing \\'eapon, disassembie and .notate any internal modifications that have been made to
the evidence it~

i7 13. FormuJate c.onclnsion; and

i 14. Piarea copy of all d.ooum.entati.on.utiliz.ed iin fire fommlati.on o,ftheexaminati.on in the file
folder with a copy of the final report Al] hand written or typed c.ase notes should go in a pilnl:
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envelope and madied "case notes" a.nd then sea!led by the FEO.
Signed): dated: - - - - - - -

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 Exhibit 3. ATF Form 3400.11, Evidence Identification Tag

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 Exhibit 4. ATF E-Form 3400.23, Receipt of Property and Other Items

U.S. Dtp.utmmt of JEIB;~

BuJmn.o f Alcohol. Tobacco. F,immm m:l. &JI~
RK.eipt for Property and Other Items

P.w! _ ,o.f _ ICaset'Impectioo.1'.ilmber Ctie-'Inspedioo. 1f:mle

Thkenftom: {=,l(: titl11. ali,tu:;!i_ jf;rppr~ Eecipimt {na!!I,: titllJ. addr.ss, flappmpriai.)
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Loatim of Tumsfi!r ,or Smlm!, Basis fur 'fiamfl!r o:- Sl!imre afilemi:

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