Firearms Trafficking: NICS Compliance
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Questions and Answers

What circumstances require a NICS Recheck?

  • A trafficker is detected at an FFL.
  • A straw purchase is suspected.
  • An NTN fails the NTN Validator test or an NTN appears on an ATF Form 4473, but not on the Individual FFL Audit Log. (correct)
  • A delay or deny response is received from NICS.

    • What is unique about NICS NTNs?

  • They contain all vowels and consonants.
  • They are case-sensitive.
  • They are always 10 digits long.
  • They contain all numbers and consonants except Q. (correct)

    • What is the primary purpose of the Individual FFL Audit Log?

  • To track firearm sales and inventory
  • To issue Reports of Violation
  • To monitor FFL employee background checks
  • To verify FFL compliance with NICS check requirements (correct)

    • What should an FFL do if they receive a delay or deny response from NICS?

    <p>Do not call NICS again.</p> Signup and view all the answers

    What is an example of 'Lying and Buying'?

    <p>A resident of New York uses a false ID to buy a gun in Atlanta.</p> Signup and view all the answers

    What should IOIs do if a discrepancy is found between the ATF Form 4473 and the Individual FFL Audit Log?

    <p>Initiate appropriate action, such as issuing a Report of Violation and/or creating a referral to ATF Criminal Enforcement</p> Signup and view all the answers

    What is a 'Straw Purchase'?

    <p>A purchase of a firearm for a prohibited person.</p> Signup and view all the answers

    What is the purpose of the NTN Validator tool?

    <p>To test the validity of NTNs maintained by the FFL</p> Signup and view all the answers

    Who might be a 'Straw Purchaser'?

    <p>A street person or drug addict who needs money or narcotics.</p> Signup and view all the answers

    What should IOIs do if an NTN appears on an ATF Form 4473, but not on the Individual FFL Audit Log?

    <p>Utilize the NTN Validator tool</p> Signup and view all the answers

    What does the NTN Validator tool confirm?

    <p>That a particular NIN meets the algorithm devised by NICS</p> Signup and view all the answers

    Why might an FFL receive a 'delay' or 'deny' response from NICS?

    <p>The customer is a prohibited person.</p> Signup and view all the answers

    What can be obtained from the ATF NICS representative?

    <p>A confirmation that an NTN is false.</p> Signup and view all the answers

    In which states can the NTN Validator tool be used?

    <p>All FBI-serviced states and those POC states in which the POC provides the FFL with an NTN</p> Signup and view all the answers

    What is the purpose of a NICS Recheck?

    <p>To determine whether a licensee provided legitimate information to NICS and/or complied with the response provided by NICS</p> Signup and view all the answers

    What happens when a purged transaction must be changed to deny?

    <p>A new NTN is created by NICS.</p> Signup and view all the answers

    What can an FFL obtain from the ATF NICS representative by email or telephone?

    <p>A monthly raw numerical count of NICS checks.</p> Signup and view all the answers

    What should IOIs maintain as evidence?

    <p>A copy of each ATF Form 4473 that may bear false or fictitious information</p> Signup and view all the answers

    What is the purpose of comparing sales trends with respect to large shipments with short time sales?

    <p>To identify potential trafficking activities</p> Signup and view all the answers

    When verifying certified copies of Federal firearms licenses, what should be checked?

    <p>The original signature on the hard copy</p> Signup and view all the answers

    What is the purpose of tracing previously owned firearms?

    <p>To detect potentially stolen or suspect firearms</p> Signup and view all the answers

    What is the purpose of reviewing ATF F 3310.4 forms?

    <p>To determine if multiple sales were reported by the FFL</p> Signup and view all the answers

    When conducting firearms transaction verifications, what is the purpose of obtaining approval from the area supervisor?

    <p>To validate the necessity of the verification</p> Signup and view all the answers

    What is the purpose of verifying the certified copy of the license was not altered?

    <p>To detect potential fraud or tampering</p> Signup and view all the answers

    Why should IOIs focus on high-risk areas of business operations during firearms inspections?

    <p>To focus resources where criminal activities or non-compliance would have the greatest potential of harm to the public</p> Signup and view all the answers

    What is an indicator of potential firearms trafficking during a firearms inspection?

    <p>Multiple sales of commonly recovered crime guns</p> Signup and view all the answers

    Why should IOIs organize ATF Forms 4473 by purchaser address?

    <p>To identify patterns of purchases in high-crime areas</p> Signup and view all the answers

    What should IOIs do with purchasers of traced firearms?

    <p>Document their identifying information and refer to CE if appropriate</p> Signup and view all the answers

    Why should IOIs verify that the licensee is properly conducting NICS checks?

    <p>To ensure the licensee is compliant with ATF regulations</p> Signup and view all the answers

    What should IOIs look for in the bound book?

    <p>Large shipments and numerous sales in a short time frame</p> Signup and view all the answers

    Why should IOIs review the FFL Audit Log?

    <p>To determine the volume of business and suspicious patterns</p> Signup and view all the answers

    What is a trafficking indicator?

    <p>A correction in Item #19 or 21 on ATF Forms 4473</p> Signup and view all the answers

    Why should IOIs forward trace dispositions to other FFLs?

    <p>To verify the transfer of firearms</p> Signup and view all the answers

    What is a common characteristic of a straw purchaser?

    <p>They often know little about the guns they have purchased</p> Signup and view all the answers

    What is an indicator of a Dummy Out method of record keeping?

    <p>History of missing/stolen guns</p> Signup and view all the answers

    What is a red flag for multiple or repeat purchases of weapons of interest?

    <p>Multiple purchases of one handgun every 5-day period</p> Signup and view all the answers

    What is a common tactic used by straw purchasers to cover themselves?

    <p>Reporting firearms as stolen shortly after they buy them</p> Signup and view all the answers

    What is a characteristic of a suspicious purchase?

    <p>A customer using cash for a large purchase</p> Signup and view all the answers

    What is a step in conducting a 100 percent verification of a licensee's physical inventory?

    <p>Comparing the number of blank disposition entries to a physical count of guns on hand</p> Signup and view all the answers

    What is an indicator of an Off Book method of record keeping?

    <p>Unsuccessful traces or no dealer record of traced firearm</p> Signup and view all the answers

    What should be emphasized when conducting NCIC checks on a licensee's inventory?

    <p>Used guns</p> Signup and view all the answers

    What is a common method used by straw purchasers to obtain firearms?

    <p>Purchasing firearms from a source area</p> Signup and view all the answers

    What should be checked to verify the accuracy of a licensee's records?

    <p>Both required and commercial records</p> Signup and view all the answers

    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.

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