Michael Bowling, Ph.D. Gene Lauver Regional Justice Information Service Matthew J. Hickman Devon B. Adams Bureau of Justice Statistics The Brady Handgun Violence Preven- tion Act (Brady Act) mandates criminal history background checks on persons applying to purchase firearms from federally licensed firearm dealers, Federal Firearm Licensees (FFL's). This Bulletin reports the number of applications for firearm transfers and permits, rejections that resulted from background checks, and reasons for rejection for selected States in the period since the permanent provisions of the Brady Act became effective. The permanent provisions of the Brady Act became effective on November 30, 1998. The act established the National Instant Criminal Background Check System (NICS) and requires a back- ground check by the Federal Bureau of Investigation (FBI) or a State point of contact (POC) on persons applying to receive firearms from an FFL. The Bureau of Justice Statistics (BJS) began the Firearm Inquiry Statistics (FIST) program in 1995 to collect infor- mation on background checks conducted by State and local agencies. The State and local data C when combined with FBI NICS data C provide national estimates of the total • From the inception of the Brady Act on February 29, 1994, to December 31, 2003, more than 53 million appli- cations for firearm transfers were subject to background checks. About 1,102,000 applications were rejected. • State and local agencies conducted background checks on about half of the applications for firearm transfers or permits in 2003, while the FBI was responsible for the remainder. • 790,000 applications were rejected during the 5 years of the permanent provisions of the Brady Act (1999- 2003), a rate of 1.9%. • In 2003, 126,000 (1.6%) of approxi- mately 7,831,000 applications for firearm transfers or permits were rejected by the FBI or State and local agencies. This national rejection rate continues the decline that has occurred each year since 1999, when the rate was 2.4%. • During the 5 years of the permanent provisions of the Brady Act, the rejec- tion rate for applications checked by the FBI (1.5%) was lower than for checks by State and local agencies (2.4%). Rejection rates for individual State points of contact (POC’s) ranged from 5% to less than 1%. • From 1999 to 2003, the majority of rejections for State and local agencies, (58%) were due to applicants’ felony convictions or indictments; about 13% were rejected for a domestic violence misdemeanor conviction or restraining order. Other reasons for rejection included State or local law prohib- itions, fugitive status, mental illness or disability, drug addiction, dishonor- able military discharge, and illegal alien status. • An estimated 8,000 persons were arrested from 1999 to 2003 for an outstanding warrant or submission of false information on an application, according to ATF and checking agencies reporting arrests to FIST. Highlights Note: All counts are rounded. See notes on table 1. 2.1% 2.4% 1.9% 1.6% Rejection rate 1,102,000 312,000 790,000 126,000 Rejected 53,548,000 12,740,000 40,808,000 7,831,000 Received Full Brady period (1994-2003) Interim Brady (1994-98) Permanent Brady (1999-2003) 2003 Applications for firearm transfer National total during C Background checks of applications for firearm transfers since implementation of the Brady Act U.S. Department of Justice Office of Justice Programs Bureau of Justice Statistics Bulletin Trends for Permanent Brady Period, 1999-2003 Background Checks for Firearm Transfers, 2003 September 2004, NCJ 204428
Transcript
Michael Bowling, Ph.D.Gene Lauver
Regional Justice Information Service
Matthew J. HickmanDevon B. Adams
Bureau of Justice Statistics
The Brady Handgun Violence Preven-tion Act (Brady Act) mandates criminalhistory background checks on personsapplying to purchase firearms fromfederally licensed firearm dealers,Federal Firearm Licensees (FFL's).This Bulletin reports the number ofapplications for firearm transfers andpermits, rejections that resulted frombackground checks, and reasons forrejection for selected States in theperiod since the permanent provisionsof the Brady Act became effective.
The permanent provisions of the BradyAct became effective on November 30,1998. The act established the NationalInstant Criminal Background CheckSystem (NICS) and requires a back-ground check by the Federal Bureau of Investigation (FBI) or a State point of contact (POC) on persons applyingto receive firearms from an FFL.
The Bureau of Justice Statistics (BJS)began the Firearm Inquiry Statistics(FIST) program in 1995 to collect infor-mation on background checksconducted by State and local agencies.The State and local data C whencombined with FBI NICS data Cprovide national estimates of the total
• From the inception of the Brady Acton February 29, 1994, to December31, 2003, more than 53 million appli-cations for firearm transfers weresubject to background checks. About1,102,000 applications were rejected.
• State and local agencies conductedbackground checks on about half ofthe applications for firearm transfers or permits in 2003, while the FBI wasresponsible for the remainder.
• 790,000 applications were rejectedduring the 5 years of the permanentprovisions of the Brady Act (1999-2003), a rate of 1.9%.
• In 2003, 126,000 (1.6%) of approxi-mately 7,831,000 applications forfirearm transfers or permits wererejected by the FBI or State and localagencies. This national rejection ratecontinues the decline that hasoccurred each year since 1999, when the rate was 2.4%.
• During the 5 years of the permanentprovisions of the Brady Act, the rejec-tion rate for applications checked bythe FBI (1.5%) was lower than forchecks by State and local agencies(2.4%). Rejection rates for individualState points of contact (POC’s) rangedfrom 5% to less than 1%.
• From 1999 to 2003, the majority ofrejections for State and local agencies,(58%) were due to applicants’ felonyconvictions or indictments; about 13%were rejected for a domestic violencemisdemeanor conviction or restrainingorder. Other reasons for rejectionincluded State or local law prohib-itions, fugitive status, mental illness or disability, drug addiction, dishonor-able military discharge, and illegalalien status.
• An estimated 8,000 persons werearrested from 1999 to 2003 for anoutstanding warrant or submission offalse information on an application,according to ATF and checkingagencies reporting arrests to FIST.
Highlights
Note: All counts are rounded. See notes on table 1.
Background checks of applications for firearm transfers since implementation of the Brady Act
U.S. Department of JusticeOffice of Justice Programs
Bureau of Justice Statistics
BulletinTrends for Permanent Brady Period, 1999-2003
Background Checks forFirearm Transfers, 2003
September 2004, NCJ 204428
BJS
Note
This report is one in a series. Most recent editions may be available. To view a list of all in the series go to http://www.ojp.usdoj.gov/bjs/pubalp2.htm#bcft
number of applications and rejectionsresulting from the Brady Act and similarState laws.
In 2003 FIST collected informationfrom 19 statewide POC's and approxi-mately 700 State and local agenciesthat conduct their own checks underFederal and State laws. The FBI alsocompiled data on the inquiries or trans-actions handled by the NICS section.1
Nearly all applications included in the2003 FIST survey were subject to aNICS check, as well as checks to fulfillany additional State requirements. Asmall number of applications weresubject only to checks required byState laws. (See Components of thenational firearm check system on page11 for further details.)
National estimates
In 2003, 7,831,000 applications werefiled, increasing from 7,806,000 in2002, or 0.3% (table 1). In addition to
the nearly 4.5 million applications forfirearm transfers processed by the FBIin 2003, State and local checkingagencies processed 3.4 millionapplications.
In the 5-year period of the permanentprovisions, the FBI and State and localagencies received about 41 millionapplications. This can be compared tothe 12.7 million applications during theinterim period (1994-98). Most of theapplications in the interim period werefor handgun transfers. Under thepermanent provisions, backgroundchecks for long guns were added,greatly increasing the volume ofchecks.
Since the inception of the Brady Act,State and local agencies have conducted more than 31 millionbackground checks. The FBIaccounted for more than 22 millionbackground checks under the perma-nent provisions of the Brady Act.
When a background check producesevidence of factors that disqualify anapplicant from owning a firearm, theapplication is rejected. (See Definitionson page 11 for more detail.)
Rejections fell to 126,000 in 2003 from136,000 in 2002, a decrease of 7%.This decrease continued an overallnumerical decrease for each year since1999. In 2003 the FBI rejected 61,000 firearmtransfer applications, a 1.4% rejectionrate, while State and local agenciesrejected 65,000, a rate of 1.9%.
Together, approximately 126,000firearm transfer applications wererejected in 2003, a rate of 1.6%. Thisoverall rate of rejection continued a5-year decline for both the FBI andState and local agencies.
Since the inception of the Brady Act(the interim provisions went into effecton March 1,1994), more than 53 millionapplications for firearm transfers havebeen checked, of which 1,102,000were rejected, a rejection rate of 2.1%.Even with the addition of checks forlong guns and pawn redemptions, thenational rejection rate continues thedecline that has occurred each yearunder permanent Brady (2.4% duringthe interim period and 1.9% during thefirst 5 years of permanent Brady).
2 Background Checks for Firearm Transfers, 2003
Note: Counts are rounded. Statistics for national totals from 1999 to 2003 combine FIST estimates of the number of checks and rejections done byState and local agencies and the FBI number of actual transactions and rejections reported by the NICS operations reports. Data through November29, 1998, are primarily for handguns. For information about FIST estimates before 1999 see Presale Handgun Checks, the Brady Interim Period,1994-98 (NCJ 175034) <http://www.ojp.usdoj.gov/bjs/abstract/phc98.htm>.aMarch 1, 1994 - November 29, 1998.bNovember 30 - December 31, 1998. Counts are from the National Instant Criminal Background Check System (NICS) Operations Report (November 30, 1998 - December 31, 1999) and may include multiple transactions for the same application.
rateRejectedReceivedrateRejectedReceived rateRejectedReceivedRejectionNumber of applicationsRejectionNumber of applications RejectionNumber of applications
State and local agenciesFBITotal
Table 1. Number of applications and estimates of rejections for firearm transfers, 1994-2003
1The number of background checks handled byState POC’s, as reported in the National InstantCriminal Background Check System (NICS) maybe higher than the estimates reported herebecause multiple inquiries or transactions for thesame application (which may be done at thediscretion of the submitting agency) areprocessed. FIST only counts the first of multipleinquiries.
Approval systems
State systems for approval of aprospective firearm purchaser can beclassified as "instant approval,""purchase permit," "exempt carrypermit," or "other approval" systems.
Instant approval systems
Instant approval (instant check)systems require a seller to transmit theapplicant's information to a checkingagency by telephone or computer. Thechecking agency is required to respondto the seller at once or as soon aspossible (generally within 3 days).State agencies conducted 2 millioninstant checks in 2003, and about40,000 (2.1%) of the applications wererejected. From 1999 to 2003 Stateinstant approval systems received 11.2million applications, rejecting 311,000(2.8%) (table 2).
The FIST survey also included all Statepermits required to purchase firearmsand certain "exempt carry permits" thatcan be used to make purchaseswithout a background check at theactual time of purchase. (Federal lawdoes not mandate a permit to purchasefirearms.)
Purchase permit systems
State purchase permit systems requirefirearm purchasers to obtain, after abackground check, a government-issued document (such as a permit,license, identification card, or otherdocument) that must be presented to aseller in order to receive a firearm.Most agencies issuing purchasepermits operate under State statutesthat allow between 7 and 30 days tocomplete a background check. Therewere 729,000 applications filed forState and local purchase permits in2003, while 16,000, or about 2%, wererejected. Under the permanent provi-sions of the Brady Act, 3.6 million appli-cations for purchase permits werereceived by State and local agencies,of which 76,000 were rejected (2.1%).
Exempt carry permit systems
An exempt carry permit is not requiredfor purchase but can be used toexempt the holder from a backgroundcheck at the point of sale. A permit isexempt if it is issued after a check thatincludes the NICS, and meets otherrequirements of the Brady Act under aBureau of Alcohol, Tobacco, Firearmsand Explosives (ATF) regulation and18 U.S.C. 922 (A)(3). Agencies issuing
exempt carry permits usually request acheck by sending information to theFBI.
In 2003 State agencies received anestimated 173,000 exempt carry permitapplications, of which 2,700 wererejected (1.6%). Besides the Stateagencies, local agencies received172,000 applications for exempt carrypermits. Local agencies rejected about2,400 applications for exempt carrypermits for a rejection rate of 1.4%.Nine States reported statewide data onexempt carry permits for 2003. From1999 to 2003 State and local agenciesreceived 1,662,000 applications forexempt carry permits, rejecting 36,000or 2.1%. Some permits are only
Background Checks for Firearm Transfers, 2003 3
Note: Agencies that conduct checks for exempt carry permits in Alaska, Arkansas, Mississippi, North Dakota, South Carolina, Texas, and Wyoming request that the FBI conduct the background check, but the State agency makes the decision to reject. Thus, the total number of applications in these States is included in the FBI checks, but the number of rejections is included in the State and local checks. Total for 5-year period includes December 1998.
1.94%790,44640,808,3821.61%126,1817,831,146National total (FIST and FBI)
1.54%344,21722,308,8901.37%61,1704,462,801FBI total
2.41%446,22918,499,4921.93%65,0113,368,345State and local total (FIST)
----(337,016)----(52,293)Adjustment (see note)
2.37446,22918,836,5081.9065,0113,420,638Unadjusted State and local total
exempt under State law, includingIndiana and Minnesota carry permits. Other types of approval systems
Other approval systems require a sellerto transmit the applicant's informationto a checking agency by mail,telephone, or computer. The checkingagency is not required to respondimmediately but must respond beforethe end of a State statutory time limit,generally within 7 to 10 days. Othertypes of approval systems processed394,000 applications in 2003 (predomi-nately in California), and about 1% ofthem were rejected. From 1999 to2003 these systems received 2.3million applications, rejecting 24,000(or 1%).
Rejection rates varied by type of state-wide approval system from 1999 to2003. Instant check systems had thehighest rate (2.8%). Several Stateinstant check systems (notablyColorado, Georgia, and Tennessee)entered the 5-year period in 1999 withrelatively high rejection rates thatgradually declined. Rejection rates forinstant checks were followed by carrypermits (2.4%), purchase permits(2.2%), and other approvals (1.1%).
Analysis of rejection rates
Among the States for which the FBI conducted both long gun andhandgun background checks for transfers from 1999 to 2003, ratesranged from more than 2% for Alaska,Arkansas, and Idaho to less than 1%for Massachusetts, Maine, and RhodeIsland (table 3).
Rejection rates in Massachusetts andRhode Island may have been low inpart because these States require abackground check by a local agencythat is separate from the NICS check.The local background check may elimi-nate some applicants before a NICScheck is necessary.
Delaware is similar because the StatePolice conduct a check that is separatefrom the NICS process. For this checkDelaware reported a rejection rate of3.2% to FIST in 2003, but the FBIrejection rate for Delaware was 1.6%overall from 1999 to 2003.
Statewide reporting
In 2003 the FIST survey obtainedstatewide data from 20 NICS points ofcontact (including Hawaii) andDelaware. The 17 States that providedcomplete statewide data processedchecks for 2.1 million applications in2003, rejecting 43,000 (table 4). From1999 to 2003, the 16 States thatprovided FIST with complete statewidedata conducted checks for 11 millionapplications, of which 266,000 wererejected.
The many interrelated factors that influ-ence rejection rates have not been fullyquantified, but a few observations arepossible from the data available. Therejection rates in States surveyed by FIST in 2003 ranged from 0.3% in Connecticut to nearly 4% in Tennes-see.
From 1999 to 2003, among the lowestrates for instant checks were those inNew Jersey (0.4%) and Illinois (0.8%),where an instant check at the time oftransfer is the second step required forapproval of prospective firearmowners. During the first step of theprocess C application for the requisitepermit or ID card C the rejection rate isconsiderably higher in New Jersey(1.9%) and Illinois (2.5%), more similarthan the second step to the nationalaverage of 1.9%.
Generally, the higher rejection ratesoccurred in States that implemented aninstant approval system on or after theeffective date of the Brady Act. Duringthe 5-year period these States includedColorado (4.6%), Tennessee (5.1%),and Georgia (4.0%).
Approval systems established beforepassage of the Brady Act, such asCalifornia (1%), Virginia (1.3%), andWisconsin (1.5%), generally had lowerrates that varied little from year to year.
4 Background Checks for Firearm Transfers, 2003
Note: States are those for which the FBI conducted all checks under permanent Brady. The total for the 5-year period includes December 1998.
Table 3. Rejection rates for selected FBI states, 1999-2003
Local reporting
Local agencies mainly conduct checksfor purchase and exempt carry permits.In 2003 local agencies received660,000 applications, of which 11,000(1.7%) were rejected. From 1999 to2003, 3 million applications forpurchase and exempt carry permitswere received by local agencies, ofwhich 62,000 (2.1%) were rejected.
Rejection rates varied among localagencies by size of the populationserved, by the jurisdiction, and by thetype of permit. For purchase permits in2003, rejection rates were highest injurisdictions over 100,000 and lowest inthose under 10,000. Similarly, rejectionrates for exempt carry permits werehighest in the largest jurisdictions andlowest in the smallest jurisdictions.
Overall, rejection rates in 2003 werehigher for purchase permits than forexempt carry permits. Over the periodof the permanent provisions of theBrady Act, a pattern similar to that in2003 held. Rejection rates for purchaseand exempt carry permits were highestin jurisdictions over 100,000 and lowestin those under 10,000.
Availability of records
During the first 5 years of the perma-nent Brady Act, all States maintaineddatabases that recorded felony convic-tions, and many maintained data onother disqualifying factors such asfugitive status, court restraining orders,mental illness, and domestic violencemisdemeanor convictions. States differas to the degree of automation used inrecord searching and whether recordsare in a central database or in countycourts or other local agencies.
Background Checks for Firearm Transfers, 2003 5
1.170.62Under 10,0001.491.2510,000 to 100,0002.04%1.74%Over 100,000
Exempt carry permits
1.320.87Under 10,0001.721.5010,000 to 100,0002.59%2.92%Over 100,000
Purchase permits
1999-20032003
Local rejection rates by population served and type of permit, 1999-2003Population
served Note: Each of the 17 listed States reported complete statewide data for applications and rejections in 2003. Pennsylvania reported 381,850 instant checks for 2003 and 1,721,828instant checks for 1999-2003, but the number of rejections for instant checks and carry permitscannot be separately distinguished.--Not available or not applicable.aCalifornia, Maryland, and Oregon adjusted their application and/or rejection counts since theinception of permanent Brady.bConnecticut, Illinois, and New Jersey conduct checks on permits or identification cards and againat the time of firearm transfer.cHawaii and New Jersey permits are issued locally, but counts are reported by the State. dCounts in this table include handguns only for these States. eApplications for carry permits are listed separately elsewhere.
BJS priorities for mental health and domestic violence records
As of December 31, 2001, 49 Stateshad automated at least some recordsin their criminal history files. Automa-tion expanded from 1999 to 2001, asthe number of States with fullyautomated criminal history filesincreased from 21 to 27. (See Surveyof State Criminal History InformationSystems, 2001, NCJ 200343<http://www.ojp.usdoj.Gov/bjs/abstract/sschis01.htm>.)
Checking agencies often encounterdelays when they access incompleterecords. The most frequent delaysoccur when researching the final dispo-sition of a criminal charge indicated inan arrest or indictment record. If thefinal disposition cannot be found duringthe time allowed for a backgroundcheck, the agency must decide, basedon Federal or State law, whether theapplication will be approved, denied, ordelayed pending further research.
The Brady Act allows a transfer toproceed if a disqualifying record is notfound within the 3-day limit for a NICScheck. Some States have laws andregulations that allow their agencies todeny or delay a transfer if an incom-plete record is being researched whenthe time limit expires.
Reasons for rejection
About 45% of rejections for firearmtransfer among State and local check-ing agencies (about 29,000 applica-tions in 2003) occurred because theapplicant either had a felony convictionor was under felony indictment (table5). The second most common reasonfor rejection was a domestic violencemisdemeanor conviction or restrainingorder (about 16% of rejections orapproximately 10,000 applications). A portion of all rejections reported byState and local agencies fall under thecategories of State and local law prohi-bitions (12% of rejections) and mentalillness (2.4%).
The FBI reported that 39% of theirrejections were for felony-relatedreasons (about 24,000 of the totalrejections in 2003), followed by othercriminal history (24%). As among Stateand local checking agencies, a domes-tic violence misdemeanor conviction orrestraining order was the next mostcommon reason for rejection (nearly17% or about 10,000 rejections).
Fugitive status and mental illnessaccounted for smaller proportions ofFBI rejections than among State andlocal checking agencies, while drug-related rejections represented a largerproportion (8%).
From 1999 to 2003, 27% of rejectionsby local agencies were for felony-related reasons, compared to 60% for State agencies.
Local agencies were more likely duringthis period to reject for other reasons(23%) than were State agencies (12%).Further, local agencies rejected formental reasons (4.3%) and drug-related reasons (6%) at a higher ratethan State agencies (1% and less than1%). Local agencies rejected far fewerfugitives than did State agencies.
6 Background Checks for Firearm Transfers, 2003
--Not available or not applicable.aIncludes multiple DUI’s, non-NCIC warrants, and other unspecified criminal history disqualifiers. bFBI denies on State prohibitors but does not separate them out under this category.cIncludes persons dishonorably discharged from the Armed Services, persons who have renounced their U.S. citizenship, and other unspecified persons.
12.86.019.212.112.014.92.14.3Otherc0.60.20.20.50.91.2----Local law prohibition1.11.00.71.01.31.85.88.0Drug addiction1.20.51.01.21.42.40.40.5Mental illness or disability0.50.20.20.40.81.11.12.4Illegal alien5.95.04.35.88.07.83.34.7Fugitive6.73.54.77.09.910.4----State law prohibitionb3.22.13.33.73.53.84.45.0Restraining order
1999-2003199920002001200220031999-20032003Reason for rejection
State and local agenciesFBI
Table 5. Reasons for rejection of firearm transfer applications, 1999-2003
--Not available or not applicable. *Includes juveniles, persons dishonorablydischarged from the Armed Services, personswho have renounced their U.S. citizenship, andother unspecified persons.
23.412.0Other*7.90.1Local law prohibition6.40.7Drug addiction4.31.0Mental illness or disability0.40.5Illegal alien1.26.2Fugitive
17.35.9State law prohibition1.93.3Restraining order
10.59.9Misdemeanor convictionDomestic violence
26.760.5Felony indictment/conviction
100%100%Total
LocalStateReason for rejection
Rejections,1999-2003
During the 5-year period, the numberof rejections by State and localagencies for reasons other than felonyconvictions increased 28% from 1999to 2003. The percentage of rejectionsfor nonfelony reasons increased from28% to 58%. Over the same period thetotal number of rejections fell 38%, andthe number of rejections for felonyconvictions decreased 64% (table 6).
States have used funds from NCHIP toinitiate the flagging of criminal historyrecords evidencing convictions fordomestic violence or the issuance of aprotection order. Forty-five Statessubmit data to the NCIC ProtectionOrder File, which became operationalin May 1997 and includes over 874,000records of protection orders. Since1999 five States have begun submit-ting data on mental health to the FBI.
Appeals of denials
Specific appeal procedures for personsdenied a firearm or permit are codifiedin Federal law and in the laws of nearlyall States that process backgroundchecks.
The most common procedure providesan appeal to the checking agency anda subsequent appeal to a court. Eight-een States provide an appeal to thechecking agency for a person who isdenied a firearm purchase or a permitrequired for a purchase (table 7). (Ineight other States, local agencies mayreconsider their decisions althoughthey are not required to do so by law.)
Eighteen States provide an appeal to acourt. In two States a governmentofficer in a department separate fromthe checking agency performs anadministrative review.
Procedures for an initial appeal may berelatively informal, with some checkingagencies allowing a denied person to
initiate a review with a telephonerequest. Other agencies involved infirearm appeals are those whichmaintain criminal histories or otherrecords which could disqualify an appli-cant. An appellant may be required tocontact the agency that supplied acriminal history or another record thatcaused a denial.
Appeals often arise when an applicantdenies being the individual named in adisqualifying record found by thechecking agency. To resolve theidentity question, the appellant willordinarily submit fingerprints forcomparison with Federal and/or Statearrestee records. If the appellant'sprints do not match any records on file,the denial can be reversed.
Background Checks for Firearm Transfers, 2003 7
Note: Includes States that provide a specific appeal procedure. --Not available or not applicable. aA different agency from the one that denied the application.bThe number of appeals reversed may include appeals from prior years.cData are from the instant check unit only. dAlthough not required by law, a local agency may reconsider its decision to deny an application.
Table 6. Trends in applications, rejections, and reasons for rejectionduring the permanent Brady period, among all agencies conducting suchchecks, 1999-2003
Another common appeal arises whenan applicant is denied because of afelony arrest or charge without arecorded disposition. The applicant canhave the denial reversed by submittingcourt records to prove that the chargewas subsequently dismissed. Whethera checking agency is required toapprove, delay, or deny a person with a missing disposition (as dictated byState law) may affect the number ofappeals filed. Data indicate that thevast majority of disputed denials areresolved at the administrative level,and turn on the accuracy of recordsrather than interpretation of law.
The FBI NICS Appeal Services Team(AST) reviews and investigatesappeals of NICS denials. Of the345,000 denials issued from 1999-2003, 51,000 or 15% were appealed.About 3 in 10 appeals resulted in thedenial being overturned.
From 1999 to 2003 checking agenciesreceived 115,000 appeals, of which36%, or 41,000, were reversed. Stateagencies received more appeals thanthe FBI, and the States reversed ahigher percentage of appealed rejec-tions (40%) than did the FBI (30%)(table 8).
Denied persons subject to arrest
Persons prevented from receiving afirearm or a permit by a backgroundcheck may be subject to arrest andprosecution if they are wanted in anoutstanding warrant or have submittedfalse information on their application(Table 9). When a check identifies awanted person, the checking agencygenerally will inform the agency thatentered the warrant, in addition tonotifying the agency with jurisdictionover the fugitive's present location orplace of residence. A statewide fugitive
apprehension unit may also beinformed.
Many checking agencies notify ATF ofpersons who submit false informationon a Federal firearm transaction recordor fail to disclose required information.If a misrepresentation violates Statelaw, the checking agency will informeither the agency with jurisdiction overthe location of the transaction (usuallya dealer's premises) or the agency withjurisdiction over the applicant'sresidence, or both.
In seven States those who falsify anapplication or attempt an illegalpurchase are reported to a specialpolice unit to make an arrest determi-nation. In some States, all personsdenied a firearm are reported to aspecial police unit.
Of the States reporting for 2003,Virginia had the largest number ofarrests of denied persons due tooutstanding warrants or other reasons.
Number of State arrests in 2003Colorado 137Connecticut* 21Delaware 14Georgia 81Oregon 124Pennsylvania 375Virginia* 678
*A statewide unit made arrests for false applica-tions or illegal attempts to buy in these States;arrests in other States listed were those madeby local agencies, which may not always bereported to the State.
Among those local agencies participat-ing in the FIST survey, an estimated190 arrests were made as a result of abackground check from 1999 to 2003.
8 Background Checks for Firearm Transfers, 2003
--Not applicable or not available.aMay include Federal, State, or local agencies that issued a warrant or have jurisdiction over the site of the transaction or the denied person's residence. bIncludes units within the same agency as the checking unit.
Table 8. Number of appeals reported, by type of agency, 1999-2003
Under the permanent provisions of theBrady Act, an estimated 8,000 personswere arrested, according to ATF andchecking agencies reporting arrests toFIST. ATF arrested an estimated 1,000during this period, but State and localagencies made the majority of arrests,an estimated 7,000, or 80%. Thenumber of arrests may be higher, asnot all State and local agenciesresponding to the FIST survey reportedtheir arrests (Table 10).
Firearm retrievals
The NICS and several State systemsdo not prohibit a Federal FirearmLicensee from transferring a firearm toa buyer, when the dealer has notreceived a response within 3 businessdays of requesting a check (termed a"default proceed" by the NICS). Achecking agency may continue toresearch an incomplete record evenafter a default proceed has occurred. Ifa disqualifying record is found at a laterdate (termed a "delayed denial" by theNICS), the dealer will be contacted todetermine if the applicant completedthe transaction and received a firearm.
ATF is informed when the FBI discov-ers that a firearm was transferred to aprohibited person after a defaultproceed. A State checking agency thatdiscovers a delayed denial may informa statewide firearms unit, local lawenforcement, or ATF.
For the 5-year permanent Bradyperiod, ATF reported to FIST anestimated 20,000 retrievals, andVirginia authorities reported 59.
Significant events, 1999-2003
1999. The first full year of the perma-nent Brady period marked the begin-ning of trends that would continueduring much of the next 5 years.Colorado discontinued serving as aPOC in March, but resumed thisfunction in August. South Carolinadiscontinued serving as a POC inOctober and turned over responsibilityfor sales checks to the FBI (but contin-ued to check applicants for exemptcarry permits).
The Connecticut POC implemented anew electronic checking system inOctober, which included checks onpersons who purchase firearms at gunshows.
2000. On January 1 California beganlimiting a person's handgun purchasesto one in a 30-day period. A New Yorklaw that became effective in Junerequired all firearm purchasers at agun show to undergo a NICS checkthrough a licensed dealer. In Decem-ber the Oregon POC began conductingbackground checks on all long guntransfers and gun show transactions,as a result of a ballot referendumapproved earlier in the year.
2001. A Colorado ballot referendumeffective in March required licenseddealers to process background checkson all persons who purchase a firearmat a gun show. An amendment toTennessee's instant check law, effec-tive in June, mandated denial of aprospective purchaser who has anarrest for a disqualifying offensewithout a recorded disposition. Thisamendment further provided that if thedenied person appeals and no disposi-tion is found within 15 days, the firearmtransfer may proceed at the discretionof the dealer. In July an amendedNICS regulation reduced the periodduring which limited approval data maybe retained for system auditing: theperiod decreased from 180 to 90 days.
2002. Vermont discontinued its POCoperations in February and Arizonafollowed suit in August (but continuedto check applicants for exempt carrypermits). The FBI implemented twoadditions to the NICS checking processduring the summer of 2002. The "NICSE-Check" program allowed firearmsdealers to initiate a background checkthrough the Internet.
A new automated process enabled theNICS to initiate a query of databasesmanaged by the Bureau of Immigrationand Customs Enforcement (ICE) whenan applicant is not a citizen of theUnited States.
2003. Homeland security legislationeffective in January authorized thetransfer of firearms law enforcementfunctions from the Treasury Depart-ment to the Department of Justice.The new division within Justice isknown as the Bureau of Alcohol,Tobacco, Firearms and Explosives (stillreferred to as "ATF"). In OctoberIndiana discontinued its POC opera-tions but continued to conduct checksrequired by State law. The Federal banon undetectable firearms was renewedin December.
From 1999 to 2003 nearly all Statesenacted new legislation related tofirearm sales. The most frequentsubjects of legislation were prohibitedpersons and the records used toidentify them. New laws or amend-ments were enacted regardingconvicted felons or other specificoffenders (10 States), minors (7States), juvenile offenders (5 States),persons restrained by court orders (5 States), domestic violence offenders(5 States), and other categories ofprohibited persons. Legislation thatincreased State checking agencyaccess to records of prohibitedpersons was enacted in 11 States. Six States passed measures to facili-tate transmission of prohibitory recordsto the FBI (table 11).
For additional information on the first 5years of permanent Brady, see Surveyof State Procedures Related to FirearmSales (midyear 1999 through midyear2003 editions), available at http://www.ojp.usdoj.gov/bjs/guns.htm.
Table 10. Number of arrests reported, by type of agency, 1999-2003
Background
Prohibited persons
The Federal Gun Control Act (GCA),18 U.S.C. 922, prohibits transfer of afirearm to a person who —
• is under indictment for, or has beenconvicted of, a crime punishable byimprisonment for more than 1 year• is a fugitive from justice• is an unlawful user of, or is addictedto, any controlled substance• has been adjudicated as a mentaldefective or committed to a mentalinstitution• is an illegal alien or has been admit-ted to the United States under a nonim-migrant visa• was discharged from the U.S. ArmedForces under dishonorable conditions• has renounced U.S. Citizenship• is subject to a court order restraininghim or her from harassing, stalking, orthreatening an intimate partner or child• has been convicted in any court of amisdemeanor crime of domesticviolence.
In addition, the GCA prohibits mosttransfers of long guns to persons under18 and most transfers of handguns topersons under 21. The GCA categoriesof prohibited persons are the prevailingminimum for all States. Many Stateshave similar prohibitions and haveenacted additional categories ofprohibited persons, such as those whohave committed alcohol-related orjuvenile offenses. (See Survey of StateProcedures Related to Firearm Sales,Midyear 2003 <www.ojp.usdoj.gov/bjs/abstract/ssprfs03.htm>.
Brady Act provisions
The Brady Act amended the GCA andincluded interim provisions, 18 U.S.C.922(s), in effect from February 29,1994, until November 29, 1998. TheU.S. Department of Justice, with theStates, developed the NICS during the57-month interim period, as authorizedby the permanent provisions of theBrady Act, 18 U.S.C. 922(t).
Since November 30, 1998, the NICShas allowed a licensee to contact thesystem by telephone or other electronicmeans for information, to be suppliedimmediately, on whether receipt of afirearm by a prospective transfereewould violate Federal or State law.
In 2002 the FBI added online checking(known as NICS E-Check) as anothermeans to contact the NICS, and72,000 inquiries were made by thismethod in 2002 and 2003.
In addition to regulation of handgunsales, the permanent Brady provisionsmandate that licensees requestbackground checks on long gunpurchasers and persons who redeem apawned firearm. Licensees have theoption of requesting a NICS check onpersons who attempt to pawn afirearm.
National Criminal History ImprovementProgram (NCHIP)
The Brady Act established the grantprogram NCHIP to ensure immediateavailability of complete and accurateState records. The Firearm InquiryStatistics Program (FIST), collectingstatistics on background checks, is oneof many NCHIP programs.
NCHIP is designed to assist States todevelop or improve existing criminalhistory records systems and to estab-lish an interface with the NICS andother national record systems. Grantfunds have also supported directtechnical assistance, evaluation, andresearch related to improvingnonfelony records within the States.
To date, over $438 million has beenawarded to States to assist them inestablishing and enhancing criminalrecords which support the FBI's recordsystem. All States have receivedfunding under the NCHIP program.
10 Background Checks for Firearm Transfers, 2003
1Registration of assault weapons1Handgun purchases limited to one per month2Permit-to-carry law enacted2Changes in retention rules for transaction data2Waiting period eliminated for handgun transfers3Change in NICS-alternative status of carry permit4Restoration of firearm rights - new procedures4Resident or nonresident transfer rules amended4Appeals of purchase or permit denials - new procedures4Transfers of certain types of firearms prohibited5Fee increase or decrease for record check or permit
Other significant changes
6Facilitated transmission of records to FBI11Increased State agency access to records
Records of prohibited persons
1Sunset date of State instant check extended1Addition of long gun checks by State agency4State POC discontinued (FBI took over checks)4Gun show checks authorized
Background checks processing
1Fugitives and illegal aliens3Straw purchase (on behalf of prohibited person)3Arrested or indicted for or charged with crime3Mentally ill (committed or adjudicated)3Drug addicts or offenders5Domestic violence conviction5Restrained by court order5Adjudicated delinquent or committed juvenile offense7Minor (under age)
10Convicted felons or other specific offendersPersons prohibited from buying or possessing firearms
Number of StatesSubject of new or amended law
Table 11. Summary of significant changes in State laws related to firearmssales, effective between January 1, 1999, and December 31, 2003
Components of the national firearmcheck system
Over 3,000 Federal, State, and localagencies conduct background checkson persons who apply to purchase afirearm or for a permit that can be usedto make a purchase. Variations inFederal and State procedures fordetermining firearm possession eligibil-ity are summarized below.
Overview of the NICS
Prospective firearm transfereesundergo a NICS check requested by adealer or present a State permit thatthe Bureau of Alcohol, Tobacco,Firearms and Explosives (ATF) hasqualified as an alternative to the point-of-transfer check. Qualifying permitsare those that —
(1) allow a transferee to possess,acquire, or carry a firearm, and (2) were issued not more than 5 yearsearlier by the State in which the trans-fer is to take place, after verification byan authorized government official thatpossession of a firearm by the trans-feree would not be a violation of law.
A permit issued after November 29,1998, qualifies as an alternative only ifits approval process included a NICScheck.
Many qualifying permits may be usedfor multiple purchases while valid.However, State laws often provide thata permit will be revoked if the holder isconvicted of an offense or otherwisebecomes ineligible after receiving thepermit.
A licensee initiates a NICS check bycontacting either the FBI or a point ofcontact (POC) agency designated byState government. The FBI or POCchecks available Federal, State, and/orlocal databases and responds with anotice to the licensee that the transfermay proceed, may not proceed, or isdelayed pending further review of thetransferee's record. In 2003, 13 state-wide POC's reported at least some oftheir denials to the FBI.
Prior to transferring a firearm subject topermanent Brady requirements, alicensee must receive a completed
Firearm Transaction Record (ATF form4473).
State and local NICS participation
Each State government determines theextent of its involvement in the NICSprocess. Three forms of State involve-ment currently exist:
• A full POC requests a NICS check onall firearm transfers originating in theState.• A partial POC requests a NICS checkon all handgun transfers; licensees inthe State are required to contact theFBI for NICS checks for long guntransfers.• The State does not maintain a POC;licensees are required to contact theFBI for NICS checks on all firearmtransfers originating in the State.
Handgun checks are conducted by theFBI for 27 States and by POC agenciesfor 23 States; long gun checks areconducted by the FBI for 36 States andby POC agencies for 14 States(Appendix A <http://www.ojp.usdoj.gov/bjs/abstract/bcft03.htm>). Indianadiscontinued its status as a POC in2003. The FBI also conducts checksfor the District of Columbia, Guam, N.Mariana Islands, Puerto Rico, and theU.S. Virgin Islands.
Participation in the NICS by POCagencies includes initiating checks onpersons who apply for qualified Statepermits. Generally, POC agenciesconduct a background check thatincorporates Federal and State require-ments. In a few States with full orpartial participation, the FBI conductsthe NICS check on certain pawn trans-actions instead of the POC. MostStates have designated a singleagency with statewide jurisdiction astheir NICS point of contact; someStates have multiple points of contact,which are usually county sheriffs orlocal police departments. (For agenciesconducting firearm checks, see Appen-dix B <http://www.ojp.usdoj.gov/bjs/abstract/bcft03.htm>).
The NICS is integrated with most Stateinstant approval, purchase permit, orother approval systems. Twenty-nineStates maintained approval systems
for purchase or permits required forpurchase during 2003. Sixteen Statesoperated instant check systems; 12required purchase permits; and 4maintained other types of approvalsystems. (Connecticut, Illinois, andNew Jersey are each counted twicebecause they operated separatepurchase permit and instant checksystems). During 2003, 19 Statesissued carry permits that exempted theholder from a check under the perma-nent Brady law or a State law or both.
In addition to the Brady Act's regulationof sales by federally licensed dealers,some States require backgroundchecks for firearm transfers that occurbetween unlicensed persons at gunshows or other locations. A few Statesrequire a mandatory waiting periodafter a purchaser applies and before afirearm transfer can be made, regard-less of when a background check iscompleted.
Parallel State systems
If agencies that conduct checks underState law are unable to access theNICS, licensees in that State arerequired to contact the FBI for approvalof transfers. Thus prospective transfer-ees in some States are required toundergo a permit or point-of-transfercheck by a State or local agency and aNICS check by the FBI. Seven States(Delaware, Indiana, Massachusetts,Minnesota, Missouri, New Jersey, andRhode Island) maintained in 2003 firearm check systems that can bedescribed as parallel to the NICSprocess.
For more information on approvalsystems in specific States, see Surveyof State Procedures Related to FirearmSales, Midyear 2003 <www.ojp.usdoj.gov/bjs/abstract/ssprfs03.htm>.
Definitions
Appeal is an objection by the deniedperson to an agency's decision.
Application for firearm transfer is infor-mation submitted by a person to aState or local checking agency topurchase a firearm or obtain a permitthat can be used for a purchase;
Background Checks for Firearm Transfers, 2003 11
includes information submitted directlyto a checking agency or forwarded bya prospective seller.
Exempt carry permit is a State carrypermit (issued after a backgroundcheck) that exempts the holder from acheck at the time of purchase under anATF regulation or State law.
Instant check (instant approval)systems require a seller to transmit apurchaser's application to a checkingagency by telephone or computer; theagency is required to respond immedi-ately or as soon as possible withoutdelay.
Other approval systems require a sellerto transmit a purchaser's application toa checking agency by telephone orother electronic means; the agency isnot required to respond immediatelybut must respond before the end of thestatutory time limit.
Purchase permit systems require aprospective firearm purchaser toobtain, after a background check, agovernment-issued document (called apermit, license, or identification card)that must be presented to a seller toreceive a firearm.
Rejection occurs when an applicant isprohibited from receiving a firearm or apermit that can be used to receive afirearm, due to the finding of a disquali-fying factor during a backgroundcheck.
Transactions are inquiries to theFederal NICS system and may includemore than one inquiry per application.
12 Background Checks for Firearm Transfers, 2003
The Bureau of Justice Statistics is the statistical agency of the U.S. Department of Justice. Lawrence A. Greenfeld is director.
BJS Bulletins present the firstrelease of findings from permanentdata collection programs such as theFirearm Inquiry Statistics program.State and local officials have cooper-ated in reporting the data presented.
Michael Bowling and Gene Lauver of REJIS and Devon B. Adams andMatthew J. Hickman of BJS wrotethis Bulletin. David M. Naglich,Ronald J. Frandsen of REJIScollected and analyzed the FISTdata presented. Terry Tomazic,Ph.D., professor of researchmethodology at St. Louis University,provided statistical consultation. AtBJS, Steven K. Smith reviewed thereport. Tom Hester edited the report. September 2004, NCJ 204428 E
The on-line version of this reportoffers the Methodology and twoState-by-State appendix tablesdescribing the agencies doingbackground checks. Access thereport at <http://www.usdoj.gov/bjs/abstract/bcft03.htm>.
Methodology
Data collection procedures
The Regional Justice InformationService (REJIS), through a cooperativeagreement with BJS under the FirearmInquiry Statistics (FIST) program,collected the data.
The agencies supplied data on paper,or diskette, or electronically. Severaldifferent forms were provided to meetthe varying office procedures of theagencies. In addition REJIS wrotespecial software distributed free ofcharge to requesting agencies. Thissoftware was designed to simplify therecord tabulating functions of theagency. It also helped to reduce theburden of keeping the statistical databecause a capability of the softwarewas to automatically report the dataneeded for the study. In all cases thedata that the agency sent to REJIScontained only statistical informationand would not allow the identification of an individual. The software alsoassists agencies in purging recordsafter the delay time specified by law.
Information collected included thefollowing: firearm applications made tothe agency, firearm applicationsrejected by the agency, and thereasons for rejection. Although manylocal checking agencies may nothandle arrests and appeals through theentire process and may have onlylimited information on outcomes, arrestand appeal data were requested fromlocal agencies.
Determining populations
To estimate the application and rejec-tion rates within a given area, theagency population was needed andwas determined as follows: The stratifi-cation classification of the county wasbased on the size of the largest citywithin the county. If cities within acounty were conducting their ownbackground checks, their populationswere subtracted from the countypopulation. If a municipal agencyprovided services for other selectedmunicipalities, then populations forthose municipalities were added to the
Appendixes and Methodology for Background Checks for Firearm Transfers, 2003
*States with multiple points of contact.Note: Includes check on purchase or permit required for purchase.
91427 Totals
PWyomingPWisconsin
PWest VirginiaPWashington*
PVirginiaPVermont
PUtahPTexas
PTennesseePSouth DakotaPSouth CarolinaPRhode Island
PPennsylvaniaPOregon
POklahomaPOhioPNorth Dakota
PNorth Carolina*PNew York*
PNew MexicoPNew Jersey
PNew HampshirePNevada
PNebraska*PMontanaPMissouriPMississippiPMinnesota
PMichigan* PMassachusetts
PMarylandPMainePLouisianaPKentuckyPKansas
PIowa*PIndiana
PIllinoisPIdaho
PHawaii*PGeorgiaPFlorida
PDelawarePConnecticutPColoradoPCalifornia
PArkansasPArizonaPAlaskaPAlabama
POC - handgunsFBI - long guns
POC conducts checksfor all firearms
FBI conducts checksfor all firearms
State
Appendix A. National Instant Criminal Background Check System: Checkingagencies — FBI or State point of contact — for firearm transfers, 2003
populations of the reporting municipal-ity. If an agency participating in thestudy relied upon other jurisdictions toconduct background checks, they werereplaced by those other jurisdictions.
State and local checking agencieswere stratified by size of the populationserved: State agencies that served anentire State population; local agenciesthat served a population greater than100,000; local agencies that served apopulation between 10,000 and100,000; and local agencies thatserved a population of less than10,000. Population size was based on2000 Census Bureau information. Thepopulation categories were chosen to
be consistent with those used by theFBI when conducting similar studies.
All agencies serving a populationgreater than 100,000 were asked tocontribute data in 2003. The number ofagencies in the survey are shown bypopulation category in the table below.
302Under 10,00033410,000 to 100,00039Over 100,00030Statewide
705Total
Number of agenciesPopulation served
In some States one statewide agencyconducts background checks forpurchase and another agency (ordivision within an agency) issues
ATF-approved permits. Care was takennot to count State populations twice inthe estimation process. This situationof dual agencies conductingbackground checks did not occuramong local agencies.
Estimation procedures
Based on data provided by both sets ofagencies, national estimates weredeveloped using population weightingfactors. When an agency did notprovide data for all months, a simplelinear extrapolation or interpolation wasused to generate a 12-month total.
Estimation based on State populationwas used to determine the number of
Appendixes and Methodology for Background Checks for Firearm Transfers, 2003
aApplications for purchases or permits required for purchases. bApplications for carry permits that can be used to waive a purchase check. cDepartment of Public Safety only checks State employees.
3,099271929 Total---Attorney General1 PWyoming---Department of Justice1 PWisconsin
Sheriffs and police departments291--- PWashington---State Police1 PVirginia---Bureau of Criminal Identification1 P PUtah---Department of Public Safety1 PTexas---Bureau of Investigation1 PTennessee---Law Enforcement Division1 P South Carolina
Police departments39--- PRhode Island---State Police1 PPennsylvania---State Police1 POregon---Bureau of Criminal Investigation1 P North Dakota
County sheriffs100--- P PNorth CarolinaSheriffs and police departments58--- PNew YorkPolice departments505State Police1 PNew Jersey
---Department of Safety1 PNew HampshireCounty sheriffs (carry)17Highway Patrol (purchase)1 P PNevadaSheriffs and police departments95--- PNebraskaCounty sheriffs56--- P MontanaSheriffs and police departments115--- PMissouri
---Department of Public Safety1 P MississippiSheriffs and police departments568--- P PMinnesotaSheriffs and police departments595--- PMichiganPolice departments351--- P PMassachusetts
---State Police1 PMarylandCounty sheriffs99Department of Public Safetyc1 P PIowa
---State Police1 P PIndiana---State Police1 PIllinois
County sheriffs44--- PIdahoPolice departments4--- PHawaiiCounty probate courts (carry)159Bureau of Investigation (purchase)1 P PGeorgia
---Department of Law Enforcement1 PFloridaCounty superior courts (carry)3State Police (purchase)1 P PDelaware
---State Police1 PConnecticut---Bureau of Investigation1 PColorado---Department of Justice1 PCalifornia---State Police1 PArkansas---Department of Public Safety1 P Arizona---Department of Public Safety1 PAlaska
TypeNumberNameNumberCarrybPurchaseaStateLocal agenciesState agenciesFirearm check type
Appendix B. State and local agencies conducting background checks for firearm applications, yearend 2003
carry permit applications and rejectionsin Mississippi. Extrapolation was usedto estimate instant check applicationsand rejections in Indiana.
Agencies with rejection rates over fourstandard deviations above the averagestandard rejection rate were classifiedas outliers and their data were not usedfor projection of estimates. In addition,rejection rates that could not be deter-mined with sufficient accuracy were notused.
Pennsylvania reported 381,850 instantchecks, included in the FIST nationalestimate, and 129,939 applications fornonexempt carry permits. Pennsylvaniaprovided the combined number ofdenials of all applications, which wasprorated to obtain the number ofdenials of instant checks.
The accuracy of the estimatespresented in this report depends ontwo types of errors: nonsampling andsampling. In this study, nonsamplingerror may occur from the following: nonresponse; differences in themethods checking agencies use toprocess, code, store, and retrieve theirinformation; differences in interpreta-tion of the survey questions; and activi-ties that delay personnel fromcompleting the survey.
In any sample survey, the full extent ofnonsampling error is never known.However, steps were taken to minimizethe potential for error. Extensivetelephone follow-ups were made toencourage responses, answerquestions about misunderstoodrequests, and generally assist inassembling the information in auseable form. Extensive verification ofthe data ensured the accuracy of thenumbers. Agencies providing data were asked to review and revise theirreports, and various quality checkswere performed in receiving andprocessing the data. The estimates donot include U.S. Territories or theDistrict of Columbia.
Appendixes and Methodology for Background Checks for Firearm Transfers, 2003
