Michael Bowling, Ph.D.Gene Lauver

Regional Justice Information Service

Matthew J. Hickman, Ph.D.Devon 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 during2004.

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 totalnumber of applications and rejectionsresulting from the Brady Act and similarState laws.

• From the inception of the Brady Acton February 29, 1994, to December31, 2004, more than 61 million appli-cations for firearm transfers or permitswere subject to background checks.About 1,228,000 were rejected.

• Total applications for firearm trans-fers or permits increased 3.2% nation-wide, from 7,831,000 in 2003 to8,084,000 in 2004.

• State and local agencies conductedbackground checks on 42% of thetotal applications for firearm transfers or permits in 2004, while the FBI wasresponsible for the remainder.

• In 2004, 126,000 (1.6%) of approxi-mately 8,084,000 applications forfirearm transfers or permits wererejected by the FBI or State and localagencies.

• In 2004 the rejection rate for applica-tions checked by the FBI (1.4%) waslower than that for checks by Stateand local agencies (1.8%).

• A felony conviction or indictment wasthe most common reason for rejectionduring 2004 by State or local agencies(50%) and the FBI (38%).

• A domestic violence misdemeanorconviction or restraining order was thesecond most common reason forrejection by State or local agencies(16%).

• Other criminal history was thesecond most common reason forrejection by the FBI (25%).

• An estimated 1,500 persons werearrested in 2004 for an outstandingwarrant or submission of false infor-mation on an application, according to checking agencies reporting arrests to FIST.

• In 2004 ATF referred for prosecution1,140 cases involving false informationon applications for firearm transfers.These referrals are based on prosecu-torial criteria provided by the individualU.S. attorney offices.

Highlights

Note: All counts are rounded. See notes on table 1.

2.0%1.9%1.7%1.6%1.6%Rejection rate

1,228,000151,000136,000126,000126,000Rejected61,632,0007,958,0007,806,0007,831,0008,084,000Received

1994-20042001200220032004Applicationsfor firearm transfer

National total during C

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

Bulletin

Background Checks forFirearm Transfers, 2004

October 2005, NCJ 210117

Rev. 10/21/2005

In 2004 FIST collected informationfrom almost 700 State and localagencies, including 17 statewidePOC's that conduct their own checksunder Federal and State laws. The FBIalso compiled data on the inquiries ortransactions handled by the NICSsection.1

Nearly all applications included in the2004 FIST survey were subject to aNICS check, as well as checks thatfulfilled any additional State require-ments. A small number of applicationswere subject only to checks required byState laws. (See Components of thenational firearm check system on page9 for further details.)

National estimates

In 2004, 8,084,000 applications forfirearms transfers or permits were filed,an increase of 3.2% over the 7,831,000applications filed in 2003 (table 1). Inaddition to the nearly 4.7 million appli-cations for firearm transfers processedby the FBI in 2004, State and localchecking agencies processed 3.4million applications.

In the first 6 years of the permanentBrady period, the FBI and State andlocal agencies received about 49million applications. State and localagencies received 12.7 million applica-tions during the interim Brady period(1994-98). Most of the applications inthe interim period were for handguntransfers. Under the permanent provi-sions, background checks for longguns were added, greatly increasingthe volume of checks.

Since the inception of the Brady Act,State and local agencies haveconducted more than 21 millionbackground checks. The FBIaccounted for more than 26 millionbackground checks under the perma-nent provisions of the Brady Act.When a background check producesevidence of factors that disqualify anapplicant from receiving a firearm, theapplication is rejected. (See Definitionson page 10 for more detail.)

In 2004 checking agencies rejected126,000 applications, the samenumber rejected in 2003. State andlocal agencies rejected 62,000 applica-tions in 2004, a 1.8% rejection rate.The FBI rejected nearly 64,000 appli-cations, a 1.4% rejection rate. Theoverall rejection rate in 2004 was 1.6%,the same rate as in 2003.

Since the inception of the Brady Act,more than 61 million applications forfirearm transfers have been checked.Of the total, 1,228,000 applications, or2.0%, were rejected.

State 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 businessdays). State agencies conducted over1.9 million instant checks in 2004, andabout 37,000 (1.9%) of the applicationswere rejected (table 2). From 1999 to2004 State instant approval systemsreceived 13.1 million applications,rejecting 346,000 (2.6%).

The FIST survey also included applica-tions for two types of State permits.Federal law does not mandate a permitto purchase firearms.

2 Background Checks for Firearm Transfers, 2004

Note: Counts are rounded. Statistics for national totals from 1999 to 2004 combineFIST estimates of the number of checks and rejections done by State and localagencies and the FBI number of actual transactions and rejections reported by theNICS operations reports. Data through November 29, 1998, are primarily forhandguns. For information about FIST estimates before 1999 see Presale HandgunChecks, 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 CriminalBackground Check System (NICS) Operations Report (November 30, 1998 - Decem-ber 31, 1999) and may include multiple transactions for the same application.

1.6126,0008,084,00020041.6126,0007,831,00020031.7136,0007,806,00020021.9151,0007,958,00020012.0153,0007,699,00020002.4204,0008,621,00019992.220,000893,0001998b1.9%916,00048,892,000Permanent Brady

2.4%312,00012,740,0001994-98aInterim period

2.0%1,228,00061,632,000Total

rateRejectedReceived RejectionNumber of applications

Total

Table 1. Number of applications and estimates of rejections for firearmtransfers, 1994-2004

1The number of background checks handled byState POC’s, as reported by the National InstantCriminal Background Check System (NICS) maybe higher than the estimates reported herebecause multiple inquiries or transactions for thesame application are processed. FIST onlycounts the first of multiple inquiries.

Purchase permit systems

These systems require firearmpurchasers 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. In 2004State and local agencies received710,000 applications for purchasepermits, while 15,000, or 2.2%, wererejected. From 1999 to 2004, 4.3million applications for purchasepermits were received by State andlocal agencies, of which 92,000 wererejected (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 that

includes the NICS and meets otherrequirements of the Brady Act under aBureau of Alcohol, Tobacco, Firearmsand Explosives (ATF) regulation and18 U.S.C. 922 (t).

Agencies issuing ATF-approvedexempt carry permits usually request acheck by sending information to theFBI. Some permits are only exemptunder State law, including Indiana andMinnesota carry permits.

Nine States reported complete state-wide data on exempt carry permits for2004. State agencies received 161,000exempt carry permit applications, ofwhich 3,000 were rejected (1.9%).Local agencies received 192,000 appli-cations for exempt carry permits andrejected 2,000 (1.0%). From 1999 to2004 State and local agencies received2,044,000 applications for exemptcarry permits, rejecting 41,000 or 2.0%.

Other types of approval systems

Other approval systems require a sellerto transmit the applicant's information

to 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 processed401,000 applications in 2004 (predomi-nately in California), and rejected 4,000(or 1%).

From 1999 to 2004 these systemsreceived 2.8 million applications, reject-ing 29,000 (or 1%).

Rev. 10/21/2005

Background Checks for Firearm Transfers, 2004 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. Totals for the 6-year period include December 1998.

1.87%915,84948,891,7581.56%125,8428,083,809National total (FIST and FBI)

1.51%407,89226,993,9081.36%63,6754,685,018FBI total

2.32%507,95721,897,8501.83%62,1673,398,791State and local total (FIST)

----(386,724)----(49,687)Adjustment (see note)

2.28507,95722,284,5741.8062,1673,448,478Unadjusted State and local total

0.902,583285,6510.9855156,506Other approvals1.7416,562953,6061.031,976192,352Carry permits2.0649,2252,394,7302.378,218346,710Purchase permits

1.88%68,3703,633,9871.80%10,745595,568TotalLocal agencies

1.0526,0832,482,8781.093,750344,757Other approvals2.2824,8081,090,0631.933,116161,455Carry permits2.2042,6631,937,8831.997,244363,549Purchase permits2.63346,03313,139,7631.8837,3121,983,149Instant checks

2.36%439,58718,650,5871.80%51,4222,852,910TotalState agencies

Rate of rejectionRejectionsApplicationsRate of rejectionRejectionsApplicationsType of checks conducted1999-20042004

Table 2. FIST estimates, by type of agency and approval system and total FBI checks, 1999-2004

Note: The States listed reported statewide datafor 2004. *State exempt only.

2.5261,032Wyoming 1.31048,127Utah1.745227,134Texas3.43219,520South Carolina0.122,431North Dakota1.070969,814Indiana*1.1534,762Arkansas7.11,24817,685Arizona2.1%221,062Alaska

Rejectionrate

Rejec-tions

Applica-tions

State agenciesissuing exemptions

Analysis of rejection rates

FBI reporting

Among the States for which the FBI conducted both long gun andhandgun background checks for trans-fers in 2004, rejection rates rangedfrom 2% for Alaska to less than 1% for Kansas, Massachusetts, Maine,Missouri, Rhode Island, and WestVirginia (table 3).

Rejection rates in Massachusetts andRhode Island may have been low inpart because these States require abackground check by a local agencyseparate from the NICS check. Thelocal background check may eliminatesome applicants before a NICS checkis necessary. Delaware is similarbecause the State Police conduct acheck separate from the NICSprocess. In 2004 the Delaware StatePolice reported a rejection rate of 3.8%that included checks of mental healthrecords, while the FBI rejection rate forDelaware was 1.6%.

Statewide reporting

In 2004 the FIST survey obtainedstatewide data from 15 NICS points ofcontact and Delaware. These 16States processed checks for 2.2 millionapplications in 2004, rejecting 40,000(or 1.8%) (table 4).

Rejection rates varied slightly in 2004by the type of statewide approvalsystem. Purchase permits (2.0%),instant checks (1.9%), and exemptcarry permits (1.9%) had the highestrates, and other approval systems hada lower rate (1.1%). The rejection ratesfor individual States surveyed in 2004ranged from 0.2% in Connecticut to3.8% in Delaware.

Among the lowest rejection rates in2004 were instant checks in NewJersey (0.3%) and Illinois (0.7%),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 Illinois (2.3%),

more similar than the second step tothe national average of 1.6%.

Generally, the higher rejection rates in2004 occurred in States that imple-mented an instant approval system onor after the effective date of the BradyAct, including Colorado (3.3%) andTennessee (2.4%). Approval systemsestablished before the Brady Act, suchas California (1.1%) and Virginia(1.1%), generally had lower rates thatvaried little from year to year. Local reporting

Local agencies mainly conduct checksfor purchase and exempt carry permits.In 2004 local agencies received596,000 applications, of which 11,000(1.8%) were rejected. Rejection ratesvaried among local agencies by size ofthe population served, by the jurisdic-tion, and by the type of permit.

Rejection rates for purchase permitswere highest in jurisdictions with apopulation over 100,000 and lowest inthose under 10,000. Rejection rates forexempt carry permits were highest injurisdictions with populations between10,000 and 100,000, and lowest in thesmallest jurisdictions. Overall, localagency rejection rates in 2004 werehigher for purchase permits than forexempt carry permits.

There was a similar pattern during thepermanent Brady period: rejectionrates for purchase and exempt carrypermits were highest in jurisdictionswith populations over 100,000 andlowest in those under 10,000.

Availability of records

All States maintain databases thatrecord felony convictions, and manymaintain data on other disqualifyingfactors such as fugitive status, courtrestraining orders, mental illness, anddomestic violence misdemeanorconvictions. States differ as to thedegree of automation used in recordsearching and whether records are in acentral database or in county courts orother local agencies.

Rev. 10/21/2005

4 Background Checks for Firearm Transfers, 2004

Note: States are those for which the FBI conducted all checks under permanent Brady. The total for the 6-year period includes December 1998.

1.63,010187,3381.450735,427Wyoming1.07,388747,2250.81,077132,846West Virginia1.553,6413,493,3571.28,103672,995Texas1.43,537245,2501.260750,323South Dakota0.850260,5900.87910,054Rhode Island1.413,270930,2411.11,875173,188Oklahoma1.627,7081,771,0681.34,122327,040Ohio

1.67,595474,0771.41,15681,546New Mexico1.12,026182,0271.138634,690North Dakota1.87,781421,9581.51,23483,545Montana1.311,396908,0481.01,520152,294Mississippi1.214,2721,183,9290.91,921209,316Missouri1.211,7221,000,3631.12,438227,846Minnesota0.72,001293,8920.737452,665Maine0.3746261,1500.194112,996Massachusetts

1.919,8171,029,4661.83,046172,421Louisiana1.419,0311,351,9161.12,567234,974Kentucky1.16,367577,1770.992099,007Kansas2.28,598385,7681.71,26575,553Idaho1.61,591100,7081.625516,424Delaware2.017,933905,7341.62,495158,366Arkansas1.722,3641,320,3421.53,400229,997Alabama2.6%5,923230,6072.0%81640,504Alaska

1.5%268,21918,062,2311.2%40,2573,384,017Total

Rejection rate

Totalrejections

Totaltransactions

Rejection rate

Totalrejections

Totaltransactions

1999-20042004

Table 3. Rejection rates for selected FBI States, 1999-2004

1.060.49Under 10,0001.411.1410,000 to 100,0001.87%1.07%Over 100,000

Exempt carry permits

1.301.04Under 10,0001.701.5910,000 to 100,0002.72%3.40%Over 100,000

Purchase permits

1999-20042004

Local rejection rates by population served and type of permit, 1999-2004Population

served

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).

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. AState’s rejection rate may tend to belower if an approval is mandated andhigher if a denial is mandated.

The Brady Act allows a transfer toproceed if a disqualifying record is notfound within the 3 business day limit fora NICS check. Some States have lawsand regulations that allow theiragencies to deny or delay a transfer ifan incomplete record is beingresearched when the time limit expires.These types of rules may partiallyaccount for the comparatively highrejection rates in States such asColorado and Tennessee.

Reasons for rejection

Half of all rejections for firearm trans-fers among State and local checkingagencies (about 31,000 applications in2004) occurred because the applicanteither had a felony conviction or wasunder felony indictment (table 5). Thesecond most common reason for rejec-tion was a domestic violence

misdemeanor conviction or restrainingorder (about 16% of rejections orapproximately 10,000 applications).Other common reasons for rejectionswere the presence of a State law prohi-bition (9% of rejections) and an appli-cant’s status as a fugitive (8.3%).

The FBI reported that 38% of theirrejections were for felony-related

Rev. 10/21/2005

Background Checks for Firearm Transfers, 2004 5

Note: Each of the 16 listed States reported complete statewide data for applications and rejections in 2004. Pennsylvania reported 379,369 instant checks for 2004, but the numberrejected is unavailable. An estimate for Nevada was included in the national estimate.aConnecticut, Illinois, and New Jersey conduct checks on permits, ID cards, and transfers.bHawaii and New Jersey permits are issued locally, but counts are reported by the State.cCounts in this table include handguns only for these States. dApplications for carry permits are listed separately elsewhere.

1.52,991196,0191.654333,418Wisconsinc1.315,0201,167,5091.12,348207,823Virginia2.911,470400,5253.32,14665,222Utahd4.760,4361,288,7962.44,945205,784Tennessee2.213,272606,3571.92,400128,363Oregon0.3750220,6100.39835,468Instant checks1.94,861257,7681.878143,708Purchase permits1.25,587478,3781.187979,176New Jerseya,b1.299179,8121.013413,667New Hampshirec1.82,977166,4921.534723,663Maryland0.87,528963,4540.71,108157,440Instant checks2.434,6111,415,2432.36,347279,511Purchase permits1.842,1392,378,6971.77,455436,951Illinoisa

------1.51046,842Hawaiib3.645,5021,250,9971.73,227193,813Georgia2.437,7131,588,0722.26,632298,279Florida4.62,69658,7793.83729,845Delaware0.31,013347,1300.212457,557Connecticuta4.435,344810,3593.34,852146,518Colorado1.0%22,0472,209,7351.1%3,325313,584California

2.3%299,19813,027,6571.8%39,8332,220,505All statewide agencies

Rejection rate Rejections

Number ofapplications

Rejection rate Rejections

Number ofapplications

1999-20042004

Table 4. Number of firearm purchase applications received and rejected by State agencies, 1999-2004

--Not available or not applicable.aIncludes State prohibitors, multiple DUI’s, non-NCIC warrants, and other unspecified criminal history disqualifiers. bIncludes juveniles, persons dishonorably discharged from the Armed Services, persons who have renounced their U.S. citizenship, and other unspecified persons.

12.76.019.212.112.014.912.32.54.7Otherb0.50.20.20.50.91.20.1----Local law prohibition1.11.00.71.01.31.81.56.39.1Drug use1.40.51.01.21.42.42.70.40.5Mental illness or disability0.50.20.20.40.81.10.61.22.0Illegal alien6.25.04.35.88.07.88.33.54.6Fugitive6.93.54.77.09.910.49.0----State law prohibition3.22.13.33.73.53.83.44.55.1Restraining order

10.39.08.910.610.411.712.613.011.5Misdemeanor convictionDomestic violence

--------------16.625.0Other criminal historya57.272.557.657.751.844.849.651.937.6Felony indictment/conviction

100%100%100%100%100%100%100%100%100%Total

1999-20041999200020012002200320041999-20042004rejectionState and local agenciesFBIReason for

Table 5. Reasons for rejection of firearm transfer applications, 1999-2004

reasons (about 24,000 applications),followed by other criminal historydisqualifiers (about 16,000 applica-tions, or 25%), which includes Stateprohibitors. A domestic violence misde-meanor conviction or restraining orderaccounted for 17% of the rejections(about 11,000 applications). Othercommon reasons for rejection were anapplicant’s drug use (9.1%) or statusas a fugitive (4.6%).

Although a felony conviction or indict-ment was the most common reason forrejection by both State and local lawenforcement during 2004, the Stateagencies rejected for this reason morefrequently (59%) than the localagencies (28%). State agencies weremore likely to reject an applicantbecause of fugitive status while localagencies were more likely to base arejection on a State or local prohibitor,drug addiction, or mental illness.

During the permanent Brady period,the number of rejections by State andlocal agencies for reasons other thanfelony conviction or indictmentincreased 28% (from 57,000 to73,000). The percentage of rejectionsfor nonfelony reasons increased from28% to 58%. Over the same period thetotal number of rejections fell 38%, andthe number of felony-related rejectionsdecreased 64% (table 6).

States have used funds from NCHIP toflag criminal history records thatcontain a domestic violence misde-meanor conviction or protection order.Forty-six States now submit data to theNCIC Protection Order File, which

became operational in May 1997 andincludes over 920,000 records as ofJuly 2005. Appeals of denials

Specific procedures for appealing thedenial of a firearm purchase or permitare codified in Federal law and in thelaws of nearly all States that processbackground checks. The most

common procedure provides an appealto the checking agency and a subse-quent appeal to a court.

Eighteen States provide an appeal tothe checking agency for a person whois denied a firearm purchase or apermit required for a purchase (table7). (In eight other States, localagencies may reconsider their

Rev. 10/21/2005

6 Background Checks for Firearm Transfers, 2004

*Includes juveniles, persons dishonorablydischarged from the Armed Services, personswho have renounced their U.S. citizenship, andother unspecified persons.

24.411.8Other*6.70.1Local law prohibition7.00.7Drug use4.21.2Mental illness or disability0.50.5Illegal alien1.16.6Fugitive

15.96.3State law prohibition1.83.3Restraining order

10.710.2Misdemeanor convictionDomestic violence

27.959.3Felony indictment/conviction

100%100%Total

LocalStateReason for rejection

Rejections,1999-2004

Note: Counts are rounded. See notes on table 1.

-61.417.011.410.98.36.86.6Felons per1,000 inquiries

72%58%58%48%42%42%Percent felony28.157,00065,00064,00071,00073,00073,000All other

-63.9147,00088,00087,00065,00053,00053,000Felons rejected-38.2204,000153,000151,000136,000126,000126,000Rejections-6.2%8,621,0007,699,0007,958,0007,806,0007,831,0008,084,000Inquiries

Percentchange,1999-2004199920002001200220032004

Table 6. Trends in applications, rejections, and reasons for rejectionduring the permanent Brady period, among all agencies conducting suchchecks, 1999-2004

Note: Includes States that provide a specific appeal procedure. --Not available or not applicable. #State has type of appeal forum.aA different agency from the one that denied the application.bThe number of appeals reversed may include appeals from prior years.cAlthough not required by law, a local agency may reconsider its decision to deny an application.

------#--#Wisconsin------#----Washingtonc

130.613#--#Virginia----------#Utah

2,46492.04,548----#Tennessee1,57350.53,783###Pennsylvania

14465.91,581----#Oregon------#----North Carolinac------#--#New Jersey------#--#New Hampshire

----------#Nevada------#----Nebraskac------#----Missouric------#----Minnesotac------#----Michiganc------#----Massachusettsc00.00#--#Maryland------#----Iowac

------#--#Indiana------#--#Illinois------#--#Georgia

44322.71,508----#Florida------#--#Delaware--------##Connecticut

72337.11,801----#Colorado----------#California

Number of denials reversedb

Percentappealed(appeals/denials)

Number of appealsCourt

Other agency or officiala

Denying agencyState

Statewide agenciesAppeal forums

Table 7. Appeals of denied applications, 2004

decisions although they are notrequired to do so by law.) Someagencies allow a denied person to initi-ate a review with a telephone request.Another 18 States provide an appeal toa court, and in 2 States a governmentofficer in a department separate fromthe checking agency performs anadministrative review.

Other agencies involved in appeals arethose that maintain criminal histories orother records which could disqualify anapplicant. An appellant may berequired to contact the agency thatsupplied a criminal history or anotherrecord that caused 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 may be reversed.

Another common appeal arises whenan applicant is denied because of afelony arrest or charge without a

recorded disposition. The applicant canhave the denial reversed by submittingcourt records to prove that the chargewas subsequently dismissed. The vastmajority of disputed denials areresolved at the administrative level,and turn on the accuracy of recordsrather than interpretation of law.

Of the 916,000 denials by the FBI andState and local agencies in the first 6years of the permanent Brady period,138,000 (15%) were appealed (table8). Of the appealed denials, 49,000(36%) were reversed.

In 2004 checking agencies thatreported data to FIST received 23,000appeals of denials, of which 8,500 (or37%) were reversed. Of the 62,000denials issued in 2004 by State andlocal agencies, 13,000 (or 21%) wereappealed. Of the appealed denials,5,500 (or 42%) were reversed.

The FBI NICS Appeal Services Team(AST) reviews and investigatesappeals of NICS denials. Of the 64,000denials issued by the FBI in 2004,10,000 (or 16%) were appealed. About3 in 10 appeals resulted in the denialbeing overturned.

In the aggregate, the number of rever-sals of denials is 0.1% (49,000reversals/ 48,892,000 checks).

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 location or place ofresidence. A statewide fugitive appre-hension unit may also be informed.

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 informthe agency with jurisdiction either overthe location of the transaction (usuallya dealer's premises) or over the appli-cant's residence, or both agencies.

In seven States persons who falsify anapplication or attempt an illegal transferare reported to a special police unit tomake an arrest determination. In someStates all persons denied a firearm arereported to a special police unit. Of theStates reporting for 2004, Virginia hadthe largest number of arrests of deniedpersons due to outstanding warrants orother reasons.

Rev. 10/21/2005

Background Checks for Firearm Transfers, 2004 7

34.53171.3919Local39.830,44617.476,423State30.3%18,39614.9%60,812FBI

35.6%49,15915.1%138,154Total

Percentreversed

Numberreversed

Percentappealed

Number ofappealsType of agency

Table 8. Number of appeals reported, by type of agency, 1999-2004

--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.

12710416Totals

#####Wisconsin##--#--Virginia#--#--#Utah#------#Tennessee#--#--#Pennsylvania----#--#Oregon

--#--##New Jersey#--#--#New Hampshire#------#Nevada--#--#--Maryland#------#Indiana##----#Illinois

#--#--#Georgia###--#Florida----#--#Delaware--#----#Connecticut#--#--#Colorado----#--#California

ATFSpecial Stateunitb

Agency withjurisdictiona

Special Stateunitb

Agency withjurisdictionaState

Notice of false application or illegal attempt to buy

Notice of outstandingwarrant

Table 9. Notification procedures of State points of contact (POC’s)regarding denied persons subject to arrest, 2004

Number of State arrests in 2004Colorado 215Connecticut* 27Delaware 7Georgia 98Oregon 98Pennsylvania 343Virginia* 702

*A statewide unit made arrests for false applica-tions or illegal attempts to buy in this State;arrests in other States listed were those madeby local agencies, which may not always bereported to the State.

During the permanent Brady period,over 8,000 persons have beenarrested, according to checkingagencies reporting arrests to FIST(table 10). The number of arrests maybe higher because some State andlocal agencies did not report theirarrests.

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 an"open" by the NICS). A checkingagency may continue to research anincomplete record even after a transferhas occurred. If a disqualifying recordis found at a later date (termed a"delayed denial" by the ATF), thedealer will be contacted to determine ifthe applicant completed the transactionand received a firearm.

ATF is informed when the FBI discov-ers that a firearm was transferred to aprohibited person. A State checkingagency that discovers a delayed denialmay inform a statewide firearms unit,local law enforcement, or ATF.

Prosecutions

In 2004 ATF referred for prosecution1,140 cases involving false informationprovided on applications for firearmtransfers (ATF form 4473). Thesereferrals are based on prosecutorialcriteria provided by the individual U.S.attorney offices.

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 transfersof long guns to persons under 18 andtransfers of handguns to personsunder 21. The GCA categories ofprohibited 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 2004 <www.ojp.usdoj.gov/bjs/abstract/ssprfs04.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 the

States, 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 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 $495 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.

Rev. 10/21/2005

8 Background Checks for Firearm Transfers, 2004

20263363454312Local8,1142951,2941,9011,6971,4301,497State

8,3163011,3271,9641,7421,4731,509Total

1999-2004199920002001200220032004Type of agency

Table 10. Number of arrests reported, by type of agency, 1999-2004

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 beused for 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.

Prior to transferring a firearm subject topermanent Brady requirements, alicensee must receive a completedFirearm Transaction Record (ATF form4473).

A licensee initiates a NICS check bycontacting either the FBI or a point ofcontact (POC) agency designated byState government. Most inquiries areinitiated by telephone. In 2002 the FBIadded online checking (known asE-Check) as another means to contactthe NICS, and about 50,000 inquirieswere made by this method in 2004.

The FBI or POC checks availableFederal, State, and/or local databasesand responds with a notice to the licen-see that the transfer may proceed, maynot proceed, or is delayed pendingfurther review of the transferee'srecord.

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.

The FBI conducts all NICS checks for28 States and POC agencies conductall NICS checks in 14 States. In eightStates NICS checks are conducted byPOC agencies on handgun transfersand by the FBI on long gun transfers(see Appendix A). The FBI alsoconducts all NICS checks for theDistrict of Columbia, Guam, NorthernMariana 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 on the BJS website <http://www.ojp.usdoj.gov/bjs/abstract/bcft04.htm>.)

The NICS is integrated with most Stateinstant approval, purchase permit, orother approval systems. Twenty-nineStates maintained approval systemsfor purchase or permits required forpurchase during 2004. Sixteen Statesoperated instant check systems; 12required purchase permits; and 5maintained other types of approvalsystems. (Connecticut, Illinois, andNew Jersey are each counted twicebecause they operated separatepurchase permit and instant checksystems; Minnesota is counted twicebecause it gives the buyer the optionsof a purchase permit or an “otherapproval” process). During 2004, 19States issued carry permits thatexempted the holder from a checkunder the permanent Brady law or aState law or both.

In addition to the Brady Act's regulationof sales by licensed dealers, someStates require background checks forfirearm transfers that occur betweenunlicensed persons at gun shows orother locations. A few States require amandatory waiting period after apurchaser applies and before a firearmtransfer can be made, regardless ofwhen 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 trans-ferees in these States are required toundergo a permit or point-of-transfercheck by a State or local agency and aNICS check by the FBI. Seven Statesin 2004 (Delaware, Indiana, Massachu-setts, Minnesota, Missouri, NewJersey, and Rhode Island) maintainedfirearm 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 2004 <www.ojp.usdoj.gov/bjs/abstract/ssprfs04.htm>.

Rev. 10/21/2005

Background Checks for Firearm Transfers, 2004 9

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;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.

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.

Permanent Brady period is the periodthat began on November 30, 1998,when the permanent provisions of theBrady Act became effective.

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.

Methodology

Data collection procedures

The Regional Justice InformationService (REJIS), through a cooperativeagreement with BJS under the FirearmInquiry Statistics (FIST) program,collected the data from Federal, State,and local agencies.

Participating agencies supplied data onpaper or diskette, or electronically.Several different forms were providedto meet the varying office proceduresof the agencies. In addition REJISwrote special software distributed freeof charge 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 ofan individual. The software also assistsagencies in purging records after thedelay time specified by law.

Information collected included countsof firearm transfer or permit applica-tions made to an agency, applicationsrejected by the agency, and thereasons for rejection. Other datacollected included the number ofdenials appealed by applicants and thenumber of persons who were arrestedby an agency after a background checkcaused a denial. Many checkingagencies do not handle appeals andarrests through the entire process andmay have only limited information onthe outcomes of such events.

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 agency

provided services for other selectedmunicipalities, then populations forthose municipalities were added to thepopulations 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 tobe consistent with those used by theFBI when conducting similar studies.

All agencies serving a populationgreater than 100,000 were asked tocontribute data in 2004. The number ofagencies in the survey is shown bypopulation category:

281Under 10,00033310,000 to 100,00040Over 100,00028Statewide

682Total

Number of agenciesPopulation served

In some States one statewide agencyconducts background checks forpurchase and another agency (ordivision within an agency) issuesATF-approved permits. Care wastaken not to count State populationstwice in the estimation process. Thissituation of 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.

10 Background Checks for Firearm Transfers, 2004

Agencies with rejection rates over fourstandard deviations above the averagestandard rejection rate were classifiedas outliers and their data were notused for projection of estimates. Inaddition, rejection rates that could notbe determined with sufficient accuracywere not used. The estimates do notinclude U.S. Territories or the District ofColumbia.

Estimation based on State populationwas used to determine the number ofcarry permit applications and rejectionsin Mississippi.

Pennsylvania reported 379,369 instantchecks, included in the FIST nationalestimate, and 123,721 applications fornonexempt carry permits. Pennsylva-nia provided 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 from complet-ing 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.

Rev. 10/21/2005

Background Checks for Firearm Transfers, 2004 11

*States with multiple points of contact.Note: Includes check on purchase or permit required for purchase.

81428 Totals

PWyomingPWisconsin

PWest VirginiaPWashington*

PVirginia

PVermontPUtah

PTexasPTennessee

PSouth Dakota

PSouth CarolinaPRhode Island

PPennsylvaniaPOregon

POklahoma

POhioPNorth Dakota

PNorth Carolina*PNew YorkPNew Mexico

PNew JerseyPNew Hampshire

PNevadaPNebraska*

PMontana

PMissouriPMississippiPMinnesota

PMichigan*PMassachusetts

PMarylandPMainePLouisianaPKentuckyPKansas

PIowa*PIndiana

PIllinoisPIdaho

PHawaii*

PGeorgiaPFlorida

PDelawarePConnecticutPColorado

PCaliforniaPArkansasPArizonaPAlaskaPAlabama

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, 2004

12 Background Checks for Firearm Transfers, 2004

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 andRonald 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.

October 2005, NCJ 210117

The online version of this reportoffers the Methodology and a State-by-State appendix table describingthe agencies doing backgroundchecks. Access the report at<http://www.usdoj.gov/bjs/abstract/bcft04.htm>.

Office of Justice ProgramsPartnerships for Safer Communitieshttp://www.ojp.usdoj.gov