The Executive Office for United States  Attorneys (EOUSA) represents the 93 U.S. The NICS Indices were created for use in connection with NICS  background checks and contain information on persons determined to  be prohibited from possessing or receiving a firearm. Occasionally, federal and state law may prohibit similar types of  criminal conduct, allowing both federal and state prosecutors to pursue  the case. Federal and Selected State Law Enforcement Agencies Collectively Investigate and Prosecute a Small Percentage of Firearms Denials

In fiscal year 2017, ATF referred about 13,000 firearms denials to its field  divisions for investigation, of which USAOs had prosecuted 12 cases as  of June 2018. ATF Referred about 13,000 Firearms Denials to Its Field Divisions for Investigation in Fiscal Year 2017, of Which USAOs Have Prosecuted 12 Cases

At the federal level, the FBI’s NICS Section referred 112,090 denied  transactions to ATF’s DENI Branch in fiscal year 2017, of which ATF  referred 12,710 (about 11 percent) to its field divisions for further  investigation. State officials from two of the  six states said that they either occasionally receive referrals from ATF,  which are investigated and submitted for local prosecution or they are not  aware whether they receive referrals from ATF because they do have a  dedicated team to investigate these cases. Officials and data from the remaining three POC states—Oregon,  Pennsylvania, and Virginia—indicate that these states investigate a high  proportion of firearms denials. In 2014, the state changed its policy  based on concerns about firearm-related crimes. ATF and EOUSA Officials Described Denial Investigations and Prosecutions as High Volume and Require Use of Their Limited Resources

			Federal Denial Investigations

ATF officials from our six selected field divisions—which combined  received approximately 60 percent of the total standard denials that ATF  referred to field divisions from fiscal years 2011 through 2017—said that  investigating firearms denials can be challenging for various reasons. Federal Prosecutions of Firearms Denials

EOUSA officials said that USAOs generally do not accept and prosecute  denial cases that do not involve aggravating circumstances, as these  cases can require significant effort for prosecutors relative to the short  length of punishment and may offer little value to public safety because  the offender does not obtain the firearm, compared to other cases  involving gun violence. ATF Has Not Assessed Field Divisions’ Use of Warning Notices in Lieu of Prosecution

While officials from all six selected ATF field divisions said that  investigating the increasing number of denial cases can be time-intensive  and require use of their limited resources, ATF headquarters has not  assessed the extent to which field divisions’ use warning notices in lieu of  prosecutions or whether any policy changes could enhance their use as a  deterrence tool. Officials from these three divisions said that such letters are intended to  (1) educate the denied person that he or she is prohibited from  purchasing firearms, (2) deter the individual from attempting future  purchases, and (3) serve as evidence during any subsequent  investigation or prosecution that the individual knew that he or she was  prohibited from purchasing a firearm. Prosecutors from all three states said that they generally pursue cases  against individuals who have indications of violence, including protection  orders, domestic violence, and felony convictions. Individual prosecutors  also identified specific prohibiting categories, based on public safety  concerns, as their priorities for prosecution. They did say, however, that jail time has resulted for denied individuals  with violent felony convictions. Appendix I: Objectives, Scope and Methodology

Our objectives in this report were to (1) describe the extent to which  federal and selected state law enforcement agencies investigate and  prosecute firearms denial cases; (2) examine the challenges, if any, that  federal and selected federal and selected state law enforcement agencies  face in investigating and prosecuting firearms denial cases; and (3)  describe the circumstances that lead to the investigation and prosecution  of persons denied firearms. For federal efforts, we  requested data from the Federal Bureau of Investigation’s (FBI) National  Instant Criminal Background Check System (NICS) regarding firearms  denials provided to the Bureau of Alcohol, Tobacco, Firearms, and  Explosives (ATF) by state and prohibiting category for fiscal years 2011  through 2017. § 922(a)(6), falsifying a background check form.
Why GAO Did This Study

In 2017, approximately 25.6 million firearm-related background checks were processed through NICS, and about 181,000 of the attempted purchases at the federal and state levels combined were denied because the individual was prohibited from possessing a firearm under federal or state law. Individuals who certify that they are not prohibited from purchasing or receiving a firearm and are subsequently determined to be prohibited could be subject to investigation, and if prosecuted, a fine, imprisonment, or both.
GAO was asked to examine firearms denials. This report (1) describes the extent to which federal and selected state law enforcement agencies investigate and prosecute firearms denial cases; (2) examines related challenges faced by these agencies; and (3) describes the circumstances that lead to investigations and prosecutions. GAO reviewed laws and regulations; analyzed federal and state data from 2011 through 2017; and interviewed officials from ATF headquarters, 6 of 25 ATF field divisions (the 6 that investigated the most cases), and the 13 states that process all NICS checks within their state. Results from state interviews are not generalizable but provide insights on state practices.

What GAO Found

Investigations and prosecutions. Federal and selected state law enforcement agencies that process firearm-related background checks through the National Instant Criminal Background Check System (NICS) collectively investigate and prosecute a small percentage of individuals who falsify information on a firearms form (e.g., do not disclose a felony conviction) and are denied a purchase. Federal NICS checks resulted in about 112,000 denied transactions in fiscal year 2017, of which the Bureau of Alcohol, Tobacco, Firearms and Explosives (ATF) referred about 12,700 to its field divisions for further investigation. U.S. Attorney's Offices (USAO) had prosecuted 12 of these cases as of June 2018.
At the state level, officials from 10 of 13 selected states said they did not investigate or prosecute firearm denials, some citing competing resource demands and the lack of statutes with which states prosecute as reasons. The remaining 3 states investigated a high proportion of firearms denials. One of the 3 states reported about 1,900 referrals for prosecution in 2017 and about 470 convictions.
Challenges. ATF and selected states reported challenges in investigating and prosecuting firearms denials. Officials from six selected ATF field divisions said that investigating the increasing number of denial cases referred to field divisions—which increased from about 5,200 in fiscal year 2011 to about 12,700 in fiscal year 2017—has been time intensive and required use of their limited resources. ATF policy provides that field divisions may send “warning notices” to denied persons in lieu of prosecution, but ATF has not assessed field divisions' use of these notices, which could provide greater awareness of their deterrence value and inform whether any policy changes are needed. Officials from the Executive Office for United States Attorneys said that prosecuting denial cases can require significant effort and may offer little value to public safety compared to other cases involving gun violence. Selected state officials said that denial investigations can take law enforcement officials away from their core duties. State prosecutors said gathering evidence to prove individuals knew they were prohibited was a challenge.
Types of cases. ATF field divisions investigate denial cases based on USAO criteria and generally only refer cases to USAOs for prosecution when aggravating circumstances exist, such as violent felonies or multiple serious offenses over a short period of time. Officials from two of three selected states refer all denial cases for investigation, while one state uses risk-based criteria for selecting cases that include conditions such as felony convictions and misdemeanor crimes of domestic violence. Prosecutors from these three states said they generally pursue cases that involve indications of violence, though individual prosecutors had differing priorities based on public safety concerns.

What GAO Recommends

GAO recommends that ATF assess the extent to which ATF field divisions use warning notifications as an enforcement tool, which would inform whether changes to policy are needed. DOJ concurred with GAO's recommendation.