Late in my working life I took a retail job working in an old-school general store. This store sold clothes, tools, outdoor supplies, clothing, farm items (feed, fencing, tack), pet supplies, and firearms. My previous retail experience involved working with outdoor items such as BBQs, smokers, camping supplies, emergency items, tents, etc. When I started the new job I thought I would be working in the camping section. They actually placed me in the firearms section.
When I joined this company I knew almost nothing about firearms. While I am still not a “gun guy,” I did gain lots of useful knowledge. I am firmly convinced that nearly everyone should learn firearms basics including the basic shooting rules, safe weapon handling, clearing and checking a weapon, etc. If the average knew the basic there would be far fewer gun accidents.
In this role I performed hundreds (literally) of background checks and sales. Many gun control advocates decry the ease of obtaining a weapon. I worked there part-time for over two years and I estimate that I did paperwork for at least 500 transfers.
Rules Vary
I can only speak to firearms purchases in Washington state. Keep in mind that the current firearms purchase process is more strict than what I describe here. The procedure described documents the procedure as of February, 2020 when I left the store. Some states are more laxed and many states are much stricter.
Working at the Counter
Working behind a firearms counter was a unique experience. NO ONE can go behind the counter (by federal law) without background checks and approvals. To work at a firearms counter you must first get a fingerprint card from local law enforcement. This required an application, fee, and fingerprints (ink or electronic) taken by law enforcement. You then must pass extensive background checks by local law enforcement and, possibly, the FBI. This process normally takes a minimum of two weeks. During that time you cannot not go behind the counter or sell firearms.
Starting a Purchase
In WA state transferring a firearm requires a dealer with a Federal Firearms License (FFL) and the National Instant Background Check system (NICS). The FBI created the NICS database in 1998 and was mandated by the Brady Handgun Violence Prevention Act (or “Brady Bill”) of 1993. When I started we could perform NICS checks but now local law enforcement agencies must perform all background checks due to Washinton State I-1639 ballot initiative.
First, you select a firearm to purchase. The dealer makes copies of your government issued photo ID and concealed pistol license (CPL) if you had one. Valid IDs were WA State Driver’s License, state ID card, passport, or military ID. Only WA residents can purchase a weapon. A active member of the military can have out-of-state ID but they must provide their active duty orders showing residence in WA.
If your photo ID does not have the current address then you must provide a secondary form of government ID with your correct address. A passport qualifies as photo ID but also requires a secondary ID with valid address. Valid secondary ID includes a CPL, voter registration card, vehicle registration, driver’s license update form, and a few others. The name on the secondary ID must exactly match the name on the photo ID. Things like utility bills, credit card statements, etc. are not valid as ID since those came from non-government entities. Photocopies of the ID(s) stay with the paperwork.
Form 4473 (link)
The next phase normally used a computer program called Gun Store Master (GSM) to aid in completing the federal 4473 Firearms Transfer form. Some FFLs have their own system and some use a manual, paper system. Each system requires the FFL to keep meticulous paperwork. All records, both paper and electronic, must be maintained and secured for at least seven years. Company and government auditors can make surprise inspections of the paperwork and inventory at any time.
The 4473 form requires input from both the buyer and the FFL. You answer demographic questions including full name, date of birth, place of birth, social security number, height, weight, ethnicity, gender, etc. You then answer YES/NO answers questions such as: are you purchasing the firearm for yourself (must be YES), do you have any complaints against you for domestic violence, have you committed a felony, have you renounced your citizenship, etc.
Our store used GSM to enter information such as firearm serial number, type of firearm, barrel length, caliber, manufacturer, model, etc. You must then sign the completed 4473 form and GSM saves all of the information. If your background check fails then law enforcement can use this information against you. The dealer then prints the 6-page 4473 form. The 4473 contains three pages of information about you, the weapon, and the dealer and three pages of additional instructions.
The 4473 remains in the system whether you finish the purchase or not. If an answer disqualifies you then the FFL must report you to the law enforcement. If the dealer does not report the violation they could bring criminal charges against the store employee, store management, and the store could lose its FFL license.
In one case a man who was going through a divorce. According to him, his wife was being vindictive and got a restraining order against him. He answered the 4473 honestly which disqualified him from making the purchase. A signed 4473 cannot be erased. I was forced (by federal law) to report him to law enforcement. His NICS record will now be flagged and he will be disqualified from purchasing a firearm. Correcting this issue will require a lawyer, probably several years, several thousand dollars, and multiple petitions to clear this from his record.
WA Firearms Transfer Form
Washington state also requires a Washington Firearm Transfer Application (FTA). This two page form contains much of the information on the federal 4473 form. When signing this form the buyer gives the state the right to access confidential data such as health records. Even though HIPAA records are considered sacred with other institutions a firearms buyer gives the state the right to open these records at any time, for any reason, with no expiry time.
Question #4 on page 2 of the FTA : “Do you understand by signing this application you are waiving confidentiality and requesting the Department of Social and Health Services, mental health institutions, and other health care facilities, to release information relevant to your eligibility to purchase a pistol and/or semiautomatic assault rifle to a court or law enforcement agency?“
Background Check
WA State voters in November, 2019 passed the I-1639 gun control initiative. Prior to I-1639 sellers could perform a background check using the NICS system run by the FBI. Before I-1639 buyers purchasing long guns could normally leave with the weapon on the same day. Purchasers holding a valid CPL could normally receive their weapon on the day of purchase.
I-1639 now requires that the law enforcement agency where the buyer resides to perform nearly all background checks. The FFL sends a copy of the WA FTA form and ID page to the appropriate law enforcement agency. The agency completes a background check and returns a background check summary page. This page either contains an approval code or a denial notice.
The FFL can perform the background checks on non-SAR (semi-automatic rifle) long guns including shotguns, single-shot rifles, level action rifles, and bolt action rifles. In these limited cases a customer MIGHT complete the paperwork and sale at the same time IF the NICS background check comes back with an approval. These requirements are probably stricter now since I am describing the procedures that were in effect in early 2020.
“Assault” Weapons
Directly from I-1639: “Semiautomatic assault rifle” means any rifle which utilizes a portion of the energy of a firing cartridge to extract the fired cartridge case and chamber the next round, and which requires a separate pull of the trigger to fire each cartridge.” This means that the .22 caliber “plinker” rifles that young kids used to shoot cans in the wilderness are now considered “assault rifles.”
Purchasing any semi-automatic rifle (SAR), regardless of caliber, requires you to be at 21 years of age, complete a safety course, and present the certificate to the FFL. Local law enforcement must still perform the background check. You must wait a minimum of 10 days before completing the purchase (even if the background check comes back before then). In WA state the dealer must also add a SAR surtax on the weapon (normally $18). The dealer sends this fee to the state.
Several times we would serve young military members who were on leave. One young hero came in and wanted buy a Ruger 10/22 rifle so he and his Dad could have some fun shooting. This is the classic .22 rifle that many 8 year-olds used to shoot cans or to hunt very small game (squirrels, rabbits, etc.). This young military guy carried a fully-automatic weapon with grenade launcher when deployed in the desert. We had to tell him that he could not purchase the 10/22 because he was not 21 years old and this rifle is now classified as an assault rifle.
Paperwork Summary
Here is a list of the forms and documentation required to purchase a firearm in the state of Washington:
- Copy of main ID (WA Driver’s License, passport, military ID) and possibly secondary ID — usually 1 page
- Federal 4473 form — 6 pages
- WA Firearms Transfer Application (FTA) — 2 pages
- NICS background check summary from local law enforcement — 1-2 pages
- No return form (once purchased a firearm cannot be returned) — 1 page
- SAR training certificate if purchasing a semi-automatic rifle — 1-2 pages
The minimum amount of paperwork is 11 pages. If the buyer had a past felony that was expunged then they also provide the court documents providing the expungement.
Taking Receipt of the Firearm
When purchasing a firearm the buyer must start the paperwork and the FFL must then hold that specific weapon with that paperwork. The firearm serial number must exactly match the serial number on the paperwork. Background checks can take as little as a few hours or they can take over 30 days. Any SAR purchase requires at least a 10 day hold.
The form 4473 is only valid for 30 days after the buyer signs it. If the background check takes more than 30 days or if the buyer does not finalize the paperwork within 30 days then the entire process must start again from scratch. The old paperwork must be discarded entirely.
When the dealers calls and informs you of your completed background check then you must return to the store and the dealer must complete the paperwork. Local law enforcement performed the background check and returned a copy of the FTA with date and approval code. The dealer adds the date and approval code to the FTA and 4473 forms. You must then re-certify the 4473 information by signing and dating them again. The dealer then signs the 4473 form. Our store also required a trained manager to meticulously check all of the paper before approving the sale. Checks included name, address, phone, occupation, birthdate, approval number, approval date, signatures, firearm maker/model/serial number/type, race, age, etc.
With all of the paperwork completed you then purchase the weapon. A store employee who went through firearms certification walks your weapon out of the store and hands it to you when physically outside of the store.
Dealer Discretion
At the store we were told by our direct manager, the store manager, and the corporate FFL compliance agent that we could refuse a firearms sale for ANY reason. If we did not feel good about a sale we could simply tell any customer that we would not complete the sale. I witnesses co-workers who told customers that they would not sell them a weapon.
Normally sales were refused if a person showed no knowledge about weapons, if they appeared disoriented, or if they have a scent of drugs or alcohol. While marijuana is legal in WA state it still disqualifies a person from purchasing a weapon because federal firearms laws supersede state law. Those who seemed aggressive or had a cavalier attitude were often denied a sale. Some would threaten to not return to the store and we would allow them to leave.
The anti-gun activists make it appear that dealers will sell any weapon to anyone. I knew many people who sold firearms and they would exercise their discretion and refuse sales. I personally saw MANY sales refused. I witnessed these refusals firsthand.
Supposed Loopholes
Many anti-gun activists repeatedly bring up the the supposed “gun show loopholes.” I can only speak for WA state but there were no gun show loopholes. Prior to I-1639 you could walk into a firearms dealer and leave with a long gun or hand gun most of the time. Purchasing a long gun required valid government photo ID and correct address and FBI NICS background check. Purchasing a pistol required valid government photo ID with correct address, valid CPL, and NICS check.
Getting a CPL required an application with fingerprints. Law enforcement performs an extensive background check before issuing a CPL. The “loophole” (prior to I-1639) was that some people could purchase a weapon at a gun show and walk out with it. However, that purchase required that the purchaser have a CPL, go through an additional NICS check onsite, and have valid government photo ID. Having the CPL means that the holder already had an extensive background check by local law enforcement, the FBI, or both. The NICS check was to verify that the purchased did not commit any crimes after the CPL was issued.
In summary, the “gun store loophole,” at least in WA state, was a fictional and invalid talking point used by anti-gun activists.
Dealer Penalties
Anti-gun activists often portray firearms dealers dispensing weapons in a cavalier manner. This, again, is false rhetoric (at least in WA state). Law enforcement can come into the dealer at any time and inspect all stock and all records. EVERY weapon in stock and sold must be accounted for at all times. We would occasionally have frantic sessions when we would find a supposed discrepancy. Usually the issue was someone mistakenly putting a weapon in the wrong box.
Our FFL auditor would come and check huge piles of paperwork looking for slight mistakes. If enough mistakes were found then an employee could be disciplined or fired. Very serious mistakes could have legal implications including having the employee being charged with a crime (up to a felon). In addition, the store management could be charged with crimes and the store could lose its license and lose its ability to sell firearms.
Summary
This industry, at least in the state of WA, is highly regulated and the penalties for mistakes are severe. When I speak with anti-gun people they talk about the ease of obtaining a firearm, the many loopholes, etc. I ask them if they know the procedure for purchasing a weapon. Thus far, NO ONE from an anti-gun community knew about the forms, procedures, and background checks. Most of them speak from a position of complete ignorance based upon articles that they read online or from their organizations. You can verify all of this information from the FBI, FFL requirements, federal forms, etc. Also remember that the procedures in this article were in effect in early 2020. The current procedures are more restrictive.