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Questions and Answers
What circumstances require a NICS Recheck?
What is unique about NICS NTNs?
What is the primary purpose of the Individual FFL Audit Log?
What should an FFL do if they receive a delay or deny response from NICS?
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What is an example of 'Lying and Buying'?
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What should IOIs do if a discrepancy is found between the ATF Form 4473 and the Individual FFL Audit Log?
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What is a 'Straw Purchase'?
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What is the purpose of the NTN Validator tool?
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Who might be a 'Straw Purchaser'?
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What should IOIs do if an NTN appears on an ATF Form 4473, but not on the Individual FFL Audit Log?
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What does the NTN Validator tool confirm?
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Why might an FFL receive a 'delay' or 'deny' response from NICS?
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What can be obtained from the ATF NICS representative?
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In which states can the NTN Validator tool be used?
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What is the purpose of a NICS Recheck?
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What happens when a purged transaction must be changed to deny?
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What can an FFL obtain from the ATF NICS representative by email or telephone?
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What should IOIs maintain as evidence?
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What is the purpose of comparing sales trends with respect to large shipments with short time sales?
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When verifying certified copies of Federal firearms licenses, what should be checked?
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What is the purpose of tracing previously owned firearms?
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What is the purpose of reviewing ATF F 3310.4 forms?
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When conducting firearms transaction verifications, what is the purpose of obtaining approval from the area supervisor?
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What is the purpose of verifying the certified copy of the license was not altered?
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Why should IOIs focus on high-risk areas of business operations during firearms inspections?
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What is an indicator of potential firearms trafficking during a firearms inspection?
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Why should IOIs organize ATF Forms 4473 by purchaser address?
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What should IOIs do with purchasers of traced firearms?
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Why should IOIs verify that the licensee is properly conducting NICS checks?
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What should IOIs look for in the bound book?
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Why should IOIs review the FFL Audit Log?
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What is a trafficking indicator?
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Why should IOIs forward trace dispositions to other FFLs?
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What is a common characteristic of a straw purchaser?
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What is an indicator of a Dummy Out method of record keeping?
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What is a red flag for multiple or repeat purchases of weapons of interest?
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What is a common tactic used by straw purchasers to cover themselves?
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What is a characteristic of a suspicious purchase?
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What is a step in conducting a 100 percent verification of a licensee's physical inventory?
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What is an indicator of an Off Book method of record keeping?
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What should be emphasized when conducting NCIC checks on a licensee's inventory?
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What is a common method used by straw purchasers to obtain firearms?
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What should be checked to verify the accuracy of a licensee's records?
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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.
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Description
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.