43 Questions
What circumstances require a NICS Recheck?
An NTN fails the NTN Validator test or an NTN appears on an ATF Form 4473, but not on the Individual FFL Audit Log.
What is unique about NICS NTNs?
They contain all numbers and consonants except Q.
What is the primary purpose of the Individual FFL Audit Log?
To verify FFL compliance with NICS check requirements
What should an FFL do if they receive a delay or deny response from NICS?
Do not call NICS again.
What is an example of 'Lying and Buying'?
A resident of New York uses a false ID to buy a gun in Atlanta.
What should IOIs do if a discrepancy is found between the ATF Form 4473 and the Individual FFL Audit Log?
Initiate appropriate action, such as issuing a Report of Violation and/or creating a referral to ATF Criminal Enforcement
What is a 'Straw Purchase'?
A purchase of a firearm for a prohibited person.
What is the purpose of the NTN Validator tool?
To test the validity of NTNs maintained by the FFL
Who might be a 'Straw Purchaser'?
A street person or drug addict who needs money or narcotics.
What should IOIs do if an NTN appears on an ATF Form 4473, but not on the Individual FFL Audit Log?
Utilize the NTN Validator tool
What does the NTN Validator tool confirm?
That a particular NIN meets the algorithm devised by NICS
Why might an FFL receive a 'delay' or 'deny' response from NICS?
The customer is a prohibited person.
What can be obtained from the ATF NICS representative?
A confirmation that an NTN is false.
In which states can the NTN Validator tool be used?
All FBI-serviced states and those POC states in which the POC provides the FFL with an NTN
What is the purpose of a NICS Recheck?
To determine whether a licensee provided legitimate information to NICS and/or complied with the response provided by NICS
What happens when a purged transaction must be changed to deny?
A new NTN is created by NICS.
What can an FFL obtain from the ATF NICS representative by email or telephone?
A monthly raw numerical count of NICS checks.
What should IOIs maintain as evidence?
A copy of each ATF Form 4473 that may bear false or fictitious information
What is the purpose of comparing sales trends with respect to large shipments with short time sales?
To identify potential trafficking activities
When verifying certified copies of Federal firearms licenses, what should be checked?
The original signature on the hard copy
What is the purpose of tracing previously owned firearms?
To detect potentially stolen or suspect firearms
What is the purpose of reviewing ATF F 3310.4 forms?
To determine if multiple sales were reported by the FFL
When conducting firearms transaction verifications, what is the purpose of obtaining approval from the area supervisor?
To validate the necessity of the verification
What is the purpose of verifying the certified copy of the license was not altered?
To detect potential fraud or tampering
Why should IOIs focus on high-risk areas of business operations during firearms inspections?
To focus resources where criminal activities or non-compliance would have the greatest potential of harm to the public
What is an indicator of potential firearms trafficking during a firearms inspection?
Multiple sales of commonly recovered crime guns
Why should IOIs organize ATF Forms 4473 by purchaser address?
To identify patterns of purchases in high-crime areas
What should IOIs do with purchasers of traced firearms?
Document their identifying information and refer to CE if appropriate
Why should IOIs verify that the licensee is properly conducting NICS checks?
To ensure the licensee is compliant with ATF regulations
What should IOIs look for in the bound book?
Large shipments and numerous sales in a short time frame
Why should IOIs review the FFL Audit Log?
To determine the volume of business and suspicious patterns
What is a trafficking indicator?
A correction in Item #19 or 21 on ATF Forms 4473
Why should IOIs forward trace dispositions to other FFLs?
To verify the transfer of firearms
What is a common characteristic of a straw purchaser?
They often know little about the guns they have purchased
What is an indicator of a Dummy Out method of record keeping?
History of missing/stolen guns
What is a red flag for multiple or repeat purchases of weapons of interest?
Multiple purchases of one handgun every 5-day period
What is a common tactic used by straw purchasers to cover themselves?
Reporting firearms as stolen shortly after they buy them
What is a characteristic of a suspicious purchase?
A customer using cash for a large purchase
What is a step in conducting a 100 percent verification of a licensee's physical inventory?
Comparing the number of blank disposition entries to a physical count of guns on hand
What is an indicator of an Off Book method of record keeping?
Unsuccessful traces or no dealer record of traced firearm
What should be emphasized when conducting NCIC checks on a licensee's inventory?
Used guns
What is a common method used by straw purchasers to obtain firearms?
Purchasing firearms from a source area
What should be checked to verify the accuracy of a licensee's records?
Both required and commercial records
Study Notes
Firearms Trafficking
- IOIs use the Individual FFL Audit Log to verify FFL compliance with NICS checks and ensure NICS is not being used improperly.
- IOIs select a statistically significant sample of NTNs and ensure they appear on ATF Forms 4473.
- If discrepancies are found, the sample size should be significantly expanded and appropriate action must be initiated.
NTN Validator
- The NTN Validator is a software tool that tests the validity of NTNs maintained by the FFL.
- IOIs should query the NTN Validator when an NTN appears on an ATF Form 4473 but not on the Individual FFL Audit Log.
- The NTN Validator can be used in all FBI-serviced States and those POC states that provide the FFL with an NTN.
NICS Recheck
- A NICS Recheck is a tool used to determine whether a licensee provided legitimate information to NICS and/or complied with the response provided by NICS.
- IOIs can request a NICS Recheck by faxing a completed ATF Form 4473 to the ATF NICS representative.
Trafficking Schemes
- There are two general types of trafficking: trafficking by non-licensees and trafficking by licensees.
- Trafficking by non-licensees involves straw purchasers, unlicensed individuals acting as dealers, etc.
- Trafficking by licensees involves the FFL being inspected, another FFL, or an employee of the FFL being inspected.
Recognizing Trafficking by Non-Licensees
- Lying and Buying: involves the use of false ID, often to conceal a felony conviction.
- Straw Purchase: the acquisition of a firearm by an individual (the "straw") for the purpose of concealing the identity of the true intended receiver of the firearm.
Recognizing Trafficking by Licensees
- Off Book: failure to record the receipt and disposition of trafficked firearms.
- Dummy Out: a method of keeping records in which receipts are properly recorded, but the licensee falsifies dispositions.
Diversion Emphasis During Firearms Inspections
- ATF's inspection program focuses resources where criminal activities or non-compliance would have the greatest potential harm to the public.
- Firearms inspections allow IOIs to focus on specific high-risk areas of business operations that may lead to the discovery of illegal firearms diversion.
Firearms Trafficking
- Review required records and business operations to identify possible firearms traffickers and straw purchasers, as well as internal control weaknesses.
- Be observant of the activities in and around the business premises.
- Look for sales over the last 12 months of commonly recovered crime guns and known weapons of choice in the local area.
e Trace and Bound Book
- Verify that the licensee is properly conducting NICS checks and reporting multiple sales of pistols and revolvers.
- Use e Trace to determine if traced firearms have been associated with crimes.
- Document the purchasers' identifying information, along with any other sales made to these individuals, and refer the information to CE if appropriate.
This quiz covers the process of verifying FFL compliance with NICS checks and ensuring proper use of NICS. It includes auditing log samples and identifying potential issues.
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