GAO

United States General Accounting Office

The Honorable Henry A. Waxman, 

Ranking Minority Member, Committee on 

Government Reform, House of 

Representatives

March 2001 FIREARMS

Purchased From 

Federal Firearm 

Licensees Using Bogus 

Identification

GAO-01-427

Page 1 GAO-01-427 Firearms Purchased With Bogus Identification

United States General Accounting Office

Washington, D.C. 20548

Letr

March 19, 2001

The Honorable Henry A. Waxman

Ranking Minority Member

Committee on Government Reform

House of Representatives 

Dear Mr. Waxman:

This report responds to your request and subsequent conversations with 

your office that we conduct an investigation that demonstrates the 

difficulty that law enforcement officials have in preventing the illegal 

purchase of firearms. The Brady Handgun Violence Prevention Act of 19931

required the Attorney General of the United States to establish the National 

Instant Criminal Background Check System, known as NICS. Referred to as 

an instant background check, NICS is a computerized system operated by 

the Federal Bureau of Investigation (FBI). Based on inquiries from federal 

firearm licensees (FFL),2

 NICS searches the backgrounds of prospective 

firearm purchasers for criminal or other information that would disqualify 

them from purchasing firearms.

Specifically, you asked that we attempt to purchase firearms, acting in an 

undercover capacity and using counterfeit identification, in states that rely 

on the instant background check and do not require fingerprinting or a 

waiting period3

 for such purchases. In addition, you requested that we 

determine how easily firearms can be purchased using the Internet.

The five states that we selected to purchase firearms in—Virginia, West 

Virginia, Montana, New Mexico, and Arizona—conformed to the Brady 

Act's minimum requirements, relying on an instant background check. 

They do not have additional requirements for fingerprinting or waiting 

periods. Some other states impose such requirements for purchasing 

1

18 U.S.C. § 922(t).

2

 A federal firearm licensee (FFL) is a person licensed by the Bureau of Alcohol, Tobacco 

and Firearms (ATF) as a manufacturer, dealer, or importer of firearms. 28 C.F.R. § 25.2.

3

 A waiting period generally refers to the period of time between the date an individual 

applies to purchase a firearm and the date the individual is allowed to take delivery of it.
Page 2 GAO-01-427 Firearms Purchased With Bogus Identification

firearms in addition to those of the Brady Act. These requirements include, 

among others, the successful completion of firearm safety or training 

courses, approval of license applications by the local police commissioners 

or chiefs of police, waiting periods as long as 2 weeks, and fingerprinting.

To address your concerns, we created counterfeit state driver's licenses for 

the five states with fictitious names, dates of birth, and/or social security 

numbers using off-the-shelf software, a scanner, a laminator, and a color 

laser printer. Two special agents acting in an undercover capacity used the 

counterfeit driver's licenses in attempts to purchase firearms from gun 

stores and pawnshops that were licensed by the federal government to sell 

firearms in the five selected states. We selected these gun stores and 

pawnshops at random from the yellow pages of local telephone directories.

We also searched an Internet Web site that labels itself as a “directory 

service,” contacted 10 advertisers of firearms, and attempted to purchase 

firearms from 2 individuals. Neither individual would send firearms 

through the mail, but both were willing to complete the transactions in 

person. As agreed with your office, we did not attempt to complete these 

transactions. We performed our investigation from late October 2000 

through February 2001 in accordance with investigative standards 

established by the President's Council on Integrity and Efficiency.

Results in Brief We purchased firearms in five selected states—Virginia, West Virginia, 

Montana, New Mexico, and Arizona—using counterfeit driver's licenses 

with fictitious identifiers. In these states, the FFLs we contacted, with the 

possible exception of one, adhered to existing federal and state law 

regarding the mechanics of such a purchase. We will refer the matter 

relating to that FFL to the appropriate law enforcement agency.

Consistent with the Brady Act, in the five states we found that the instant 

background check does not positively identify purchasers of firearms. 

Rather, it is a negative check that cannot ensure that the prospective 

purchaser is not a felon or other prohibited person whose receipt and 

possession of a firearm would be unlawful. Similarly, in one state—

Virginia—the additional step of requiring a state criminal history check was 

also a negative check. Further, in one state when we purchased a revolver,
Page 3 GAO-01-427 Firearms Purchased With Bogus Identification

the salesperson advised us that the NICS check was not required because 

the firearm had been manufactured over 100 years ago, in approximately 

1893.4

We also easily made inquiries of private entities that advertised firearms on 

the Internet. Of the 10 advertisers we contacted, 2 individuals agreed to sell 

us their firearms with no identification required if we met face-to-face.

Brady Act 

Requirements

The Brady Act requirement for instant background checks pertains to 

prospective purchasers of firearms that were manufactured after 1898, i.e., 

firearms that are not considered antiques. To accomplish this, the NICS 

Operations Center searches three separate databases:5

• the NICS Index, which contains records on persons known to be 

disqualified under federal law from possession of firearms;

• the National Crime Information Center, a computerized information 

system of criminal justice data established by the FBI, which contains 

records on protective orders, deported felons, and fugitives from justice; 

and

• the Interstate Identification Index, which contains criminal history 

records.

In certain states, a point-of-contact state agency serves as an intermediary 

between those licensed to sell firearms and the NICS. A state that is 

operating as a point of contact for NICS checks may simultaneously search 

available databases in state and local law enforcement agencies.

Bureau of Alcohol, Tobacco and Firearms (ATF) regulations implementing 

the Brady Act provide that before an FFL may sell or deliver a firearm, the 

prospective purchaser must provide photo-identification issued by a 

government entity. The identification must contain the purchaser's name, 

state of residence, age, gender, and race.6

 Because driver's licenses are 

4

 Antique firearms, which include weapons manufactured before 1899, are not subject to 

NICS checks. 18 U.S.C. § 921(a)(3) and 27 C.F.R. § 178.11.

5

 28 C.F.R § 25.6 (c)(1)(iii).

6

 28 C.F.R. § 25.7.
Page 4 GAO-01-427 Firearms Purchased With Bogus Identification

issued by individual states, prospective purchasers of firearms frequently 

use them as a form of identification.

ATF regulations provide that prior to the transfer of a firearm to a 

prospective purchaser, the purchaser must complete, sign, and date section 

A of ATF Form 4473, “Firearms Transaction Record Part I − Over-theCounter.”

7

 (See app. I.) The form requests the purchaser's name, gender, 

height, weight, race, residence address, birth date, and place of birth. It also 

requires “yes” or “no” answers to 12 personal background questions. To 

avoid misidentification of firearm purchasers as felons or other prohibited 

persons, the ATF form also solicits certain optional information about the 

purchaser, such as the purchaser's social security number.8

Upon receiving an FFL's request for an instant background check, the NICS 

Operations Center or state point of contact9

 must provide one of three 

responses:

• “Proceed” means that no disqualifying or negative information is in the 

system to indicate that a firearm purchase would be unlawful and the 

transaction may proceed. 

• “Denied” means that the purchase would be unlawful and prohibits the 

FFL from transferring the firearm to the purchaser.

• “Delayed” means that the transferee must delay the transaction until 

contacted again by NICS or 3 business days have elapsed. 10 If NICS does 

not provide a response after 3 business days, the FFL may transfer the 

firearm.

Accordingly, if there is no disqualifying or negative information to indicate 

that the sale may be unlawful, the sale may take place.

7

 27 C.F.R. § 178.124(a).

8

 27 C.F.R. § 178.124(c)(2).

9

 In some instances, states acting as points of contact may use terms other than those used 

by NICS. For example, an “approve” response may be the equivalent of a “proceed”

response, a “pended” response may be the equivalent of a “delayed” response, and a “nonapproval” response may be equivalent to a “denied” response.

10 An ATF official and several FFLs informed us that the most common reason for a delay is 

that the gun purchaser's name and identification are similar to the name and identification 

of a prohibited individual.
Page 5 GAO-01-427 Firearms Purchased With Bogus Identification

Undercover Agents 

Purchased Firearms 

Using Counterfeit 

Driver's Licenses With 

Fictitious Identifiers

In Virginia, West Virginia, Montana, New Mexico, and Arizona, special 

agents acting in an undercover capacity purchased a total of seven firearms 

and a number of magazines. One firearm was a semiautomatic assault 

weapon, and some of the magazines exceeded 10 rounds of ammunition.11

All purchases were made from FFLs at gun stores, pawnshops, and a 

sporting goods store. The agents used counterfeit driver's licenses with 

fictitious names and identifiers as identification. With the possible 

exception of one in New Mexico, the FFLs we contacted complied with 

both the Brady Act and respective state laws when they sold the firearms to 

the undercover agents.

Virginia Purchase An undercover agent, using a counterfeit Virginia driver's license and a 

counterfeit earnings and leave payroll statement12 in the same fictitious 

name, purchased a Smith & Wesson Model 6906 9mm stainless steel 

semiautomatic pistol with two 12-round ammunition magazines from a gun 

store in Richmond, Virginia. (See fig. 1.) The salesperson told the agents 

that this firearm was part of a group of firearms sold to the gun store by a 

Virginia police department for resale.

11 The sale of either semiautomatic assault weapons or magazines containing more than

10 rounds is illegal unless, as here, the weapons and magazines were manufactured before 

Sept. 13, 1994. 18 U.S.C. § 922(v) and (w); 27 C.F.R. § 178.40(a) and (b)(1); and 27 C.F.R. 

§ 178.40a.

12 Virginia state law requires two forms of identification. Virginia Code Ann.

§ 18.2-308.2:2 B.1.
Page 6 GAO-01-427 Firearms Purchased With Bogus Identification

Figure 1: Richmond, Virginia, Purchase

Model 6906 Smith & Wesson 9mm Stainless Steel Semiautomatic Pistol With 12-Round Ammunition 

Magazine

The gun store salesperson requested that the agent complete ATF Form 

4473 and a Virginia State Police firearm purchase form. After checking both 

forms to make sure information provided was identical and complete, the 

salesperson ran the standard instant background check on the fictitious 

name, date of birth, and social security number provided by the undercover 

agent. He also provided the same information to the Virginia State Police 

for a state criminal record check. The records checks by both NICS and the 

Virginia State Police immediately came back with a proceed-to-sell 

response, meaning that no criminal record was associated with the 
Page 7 GAO-01-427 Firearms Purchased With Bogus Identification

information provided. The agent paid for the firearm and, with a fellow 

agent, departed the store, carrying the firearm and ammunition magazines.

Virginia requires an additional background check not required by the Brady 

Act. Under Virginia law, a prospective firearm purchaser must consent in 

writing to having an FFL telephone the Virginia State Police to check for a 

criminal history record.13 In checking for a criminal history, the FFL must 

provide essentially the same identifying information to the Virginia State 

Police as it provides to the NICS. The state police are to inform the FFL 

whether the sale is prohibited or it may proceed with the sale. Under 

Virginia law, the state police are encouraged to provide a response “to the 

requesting dealer [FFL] during the dealer's call or by return call without 

delay.” Also under Virginia law, an FFL may proceed with the sale of a 

firearm without penalty if the FFL has not heard from the Virginia State 

Police by the end of the next business day following the criminal history 

request. An FFL's ability to make the sale under this condition is contingent 

on NICS's having advised the FFL that it may proceed.

West Virginia Purchase An undercover agent used a counterfeit West Virginia driver's license with a 

fictitious name to purchase a Bresa .380 semiautomatic pistol and a box of 

.380 ammunition from a sporting goods store in Berkeley County, West 

Virginia. (See fig. 2.)

13 Virginia Code Ann. § 18.2-308.2:2.
Page 8 GAO-01-427 Firearms Purchased With Bogus Identification

Figure 2: Berkeley County, West Virginia, Purchase

.380 Bresa Semiautomatic Pistol With 8-Round Magazine and .380 Ammunition

The agent presented a counterfeit West Virginia driver's license and 

completed the ATF Form 4473. The initial NICS check by the salesperson 

came back with a delay response, indicating that the system was either 

down or that the name, date of birth, and/or social security number 

submitted was similar to ones associated with a criminal history. The 

salesperson told the agent that NICS had 3 business days from the time he 

called in the name-check to respond and that if NICS did not respond 

within that period, he could sell the firearm to the agent. During this 

transaction, the salesperson stated that his main concern about a delay 

notification from the NICS was the potential loss of the sale. In this case, 

the proceed-to-sell order came back from NICS in less than 24 hours. The 

agent returned to the sporting goods store, paid for the firearm and 

ammunition, and departed the store with the merchandise and a 

companion agent.

Montana Purchases An undercover agent purchased (1) a Russian Samozariadnyia Karabina 

Simonova (SKS) 7.62mm semiautomatic rifle with a bipod rest and a 4x 

scope and (2) a .22 caliber semiautomatic rifle with a folding stock, 4x 

scope, and a 10-shot magazine. (See fig. 3.) The agent purchased the 

firearms from a Billings, Montana, pawnshop and filled out the ATF Form 
Page 9 GAO-01-427 Firearms Purchased With Bogus Identification

4473 using a counterfeit Montana driver's license. The initial NICS check by 

the salesperson came back as a delay, and the salesperson explained that 

he could sell the firearms to the agent if NICS did not respond after the 

required 3 business days. During this transaction, the salesperson told us 

that his main concern in getting the delay notification from the NICS was 

the potential loss of the sale. When the proceed-to-sell order came back 

from NICS, in less then 24 hours, the agent and a companion agent returned 

to the pawnshop, paid for the firearms and ammunition, and left with the 

merchandise.

At a second pawnshop in Billings, Montana, the two agents also purchased 

2 boxes of 7.62mm Russian-made ammunition and a box of .22 caliber 

ammunition along with a 30-round “banana clip,” or magazine, for the 

Russian SKS and 2 additional 10-shot magazines for the .22 caliber. No 

identification or paperwork was required to purchase the ammunition or 

magazines. (See fig. 3.)

Figure 3: Billings, Montana, Purchases

7.62mm Russian-Manufactured Samozariadnyia Karabina Simonova Semiautomatic Rifle With Bipod 

Rest, 4x Scope, 30-Round Banana Clip, and 7.62mm Ammunition (Top)

.22 Caliber Semiautomatic Rifle With Folding Stock, 4x Scope, 3 10-Shot Magazines, and .22 Caliber 

Ammunition (Bottom)
Page 10 GAO-01-427 Firearms Purchased With Bogus Identification

New Mexico Purchase An undercover agent attempted to purchase an Intratec 9mm 

semiautomatic pistol, model AB-10, and a 32-shot magazine from a 

pawnshop in Santa Fe, New Mexico. New Mexico requires only a valid state 

photo-identification and the completion of the ATF Form 4473. On the first 

day, the salesman's attempt to contact NICS was unsuccessful because the 

circuits were busy. When the agent called the next day, the salesman told 

the agent that he had contacted NICS and received a delay message.

Later that same day, the undercover agent and a fellow agent returned to 

the pawnshop. At that time, the salesperson suggested that the individual 

accompanying the agent could purchase the firearm and transfer it to the 

first agent using a bill of sale. The second agent, also using a counterfeit 

New Mexico driver's license, filled out the ATF Form 4473. The salesperson 

checked the second agent's form against his license for accuracy and 

initiated the NICS background check, which came back immediately as a 

proceed-to-sell response. The first agent then used his credit card to 

purchase the previously selected firearm and magazine in the second 

agent’s name. The first agent also used his credit card to purchase a box of 

9mm 124-grain Hydra-Shok jacketed hollow-point ammunition. This 

purchase was based on the salesperson's statement that it was the best 

ammunition he had in stock to penetrate a bulletproof vest similar to those 

worn by police officers. (See fig. 4.)
Page 11 GAO-01-427 Firearms Purchased With Bogus Identification

Figure 4: Santa Fe, New Mexico, Purchase

Model AB-10 Intratec 9mm Semiautomatic Pistol With 32-Shot Magazine

 and 9mm 124-Grain Hydra-Shok Jacketed Hollow-Point Ammunition

FFLs are required to make entries on the ATF Form 4473 for the sale of 

firearms and include on the form the name of the intended recipient of the 

firearm. Title 18 U.S.C. § 924(a) provides that whoever knowingly makes 

any false statement or representation in the records required to be kept for 

the sale of firearms shall be fined, imprisoned for 5 years, or both. Further, 

instructions for ATF Form 4473 warn that “[A] licensee who knowingly 

delivers a firearm to an individual who is not buying the firearm for himself 

or herself or as a gift violates the law by maintaining a false ATF F [Form] 

4473.” In this instance, the FFL may have violated the law by selling a 

firearm to an individual who he knew was not the intended recipient.

Arizona Purchases An undercover agent used a counterfeit Arizona driver's license to 

purchase (1) a Spanish-manufactured half-break .38 caliber 5-shot revolver, 

circa 1893, with a box of Smith & Wesson .38 caliber ammunition and (2) an 
Page 12 GAO-01-427 Firearms Purchased With Bogus Identification

Italian-manufactured .25 caliber semiautomatic pistol from a gun store in 

Tucson, Arizona. (See fig. 5.)

Figure 5: Tucson, Arizona, Purchases

.38 Caliber Spanish-Manufactured Half-Break 5-Shot Revolver, Circa 1893, With .38 Caliber 

Ammunition (Top)

Model GT27 Italian-Manufactured .25 Caliber Semiautomatic Pistol With 7-Shot Magazine (Bottom)

Prior to purchasing the firearms, the agent completed the ATF Form 4473. 

Arizona requires an individual wanting to purchase a firearm to show a 

valid photo-identification. The NICS check by the salesperson came back 

with a proceed-to-sell response. Because Arizona is a point-of-contact 

state, the salesperson contacted the Arizona Department of Public Safety 

for the NICS check. The department simultaneously searched available 

state and local law enforcement files. Both searches were negative, 

allowing the sale to proceed.

During the transaction, the salesperson stated that he was required to do an 

NICS check only on the .25 caliber semiautomatic handgun because the

.38 caliber revolver was over 100 years old and was considered a “curio.”
Page 13 GAO-01-427 Firearms Purchased With Bogus Identification

The agent paid for the weapons and ammunition, and he and a companion 

agent departed the store with the merchandise.

Attempt to Purchase a 

Firearm Over the 

Internet

We also investigated the possibility of purchasing a firearm over the 

Internet by searching a Web site that labels itself a directory service.14 An 

agent acting in an undercover capacity responded to 10 of 21 

advertisements offering firearms for sale; 8 of the advertisers were FFLs 

and 2 were individuals. The FFL advertisers would ship the firearm offered 

for sale to only an FFL and refused to ship it to an individual. We also 

attempted to purchase firearms from the two advertisers we determined to 

be individuals but did not complete the transactions.

One individual, in Warner Robbins, Georgia, advertised a Smith & Wesson 

.45 caliber firearm for sale for $390. An agent acting in an undercover 

capacity contacted the individual by telephone and told him he was calling 

from the Northern Virginia area. After verifying that the firearm was for 

sale, the agent attempted to convince the individual to mail the firearm to 

him; but he refused to mail the firearm to anyone other than an FFL. The 

agent then told the individual that he would be in the Warner Robbins area 

in a few days, and the individual readily agreed to sell the firearm to the 

agent in a “face-to-face” transaction. The individual asked the agent if he 

was a criminal; the agent assured him that he was not and provided a 

fictitious name. The individual then agreed to sell the firearm for cash and 

stated that he would not require any identification. He then asked the agent 

to call him for directions to his home when he arrived in Warner Robbins.

In a second advertisement, an individual in Orlando, Florida, offered to sell 

a 9mm semiautomatic firearm for $339. An undercover agent telephoned 

the individual; stated that he was calling from the Washington, D.C., area; 

and verified that the firearm was for sale. The seller refused to send the 

firearm through the mail but agreed to meet the agent to complete the 

transaction. He stated that he would sell the firearm for cash and would not 

require identification.

14 The site notes that it makes no warranty that the seller or the guns actually exist and that 

all gun transfers must comply with ATF and shipping regulations.
Page 14 GAO-01-427 Firearms Purchased With Bogus Identification

As arranged with your office, unless you disclose its contents earlier, we 

plan no further distribution of this report until 30 days after the letter's 

date. At that time, we will send copies of the report to interested 

congressional committees, the Secretary of the Treasury, the Attorney 

General, and the Directors of the FBI and ATF. The report will also be 

available on GAO's home page at www.gao.gov. If you have any questions, 

please call Assistant Director Patrick Sullivan at (202) 512-6722. Senior 

Special Agents John Cooney, Woodrow Hunt, William McDaniel, and 

Thomas Wiley and Senior Attorney Barry Shillito made key contributions to 

this investigation and report.

Sincerely yours,

Robert H. Hast

Managing Director

for Special Investigations
Page 15 GAO-01-427 Firearms Purchased With Bogus Identification
Page 16 GAO-01-427 Firearms Purchased With Bogus Identification

Appendix I

Bureau of Alcohol, Tobacco and Firearms Apendxies

Form 4473 ApendxiI

(600745) Letr
Ordering Information The first copy of each GAO report is free. Additional copies of 

reports are $2 each. A check or money order should be made out to 

the Superintendent of Documents. VISA and MasterCard credit 

cards are accepted, also.

Orders for 100 or more copies to be mailed to a single address are 

discounted 25 percent.

Orders by mail:

U.S. General Accounting Office

P.O. Box 37050

Washington, DC 20013

Orders by visiting:

Room 1100

700 4th St. NW (corner of 4th and G Sts. NW)

U.S. General Accounting Office

Washington, DC

Orders by phone:

(202) 512-6000

fax: (202) 512-6061

TDD (202) 512-2537

Each day, GAO issues a list of newly available reports and 

testimony. To receive facsimile copies of the daily list or any list 

from the past 30 days, please call (202) 512-6000 using a touchtone 

phone. A recorded menu will provide information on how to obtain 

these lists.

Orders by Internet:

For information on how to access GAO reports on the Internet, 

send an e-mail message with “info” in the body to:

info@www.gao.gov

or visit GAO’s World Wide Web home page at: 

http://www.gao.gov

To Report Fraud, 

Waste, or Abuse in 

Federal Programs

Contact one:

• Web site: http://www.gao.gov/fraudnet/fraudnet.htm

• e-mail: fraudnet@gao.gov

• 1-800-424-5454 (automated answering system)
Appendix I

Bureau of Alcohol, Tobacco and Firearms 

Form 4473

Page 18 GAO-01-427 Firearms Purchased With Bogus Identification

United States

General Accounting Office

Washington, D.C. 20548-0001

Official Business

Penalty for Private Use $300

Address Correction Requested

Presorted Standard

Postage & Fees Paid

GAO

Permit No. GI00