Compliance Auditing & Self-Inspection Flashcards

What ATF tool is available to help FFLs voluntarily evaluate their own compliance before an official inspection?

Answer: ATF's FFL Self-Inspection Checklist published on atf.gov

ATF publishes a self-inspection checklist on atf.gov that FFLs can use to proactively assess their own compliance with recordkeeping and inventory requirements.

A licensed dealer discovers during self-inspection that 10 long guns were never entered into the bound book because they were received as consignment. How should these be recorded?

Answer: They must be recorded as acquisitions at the time of receipt into the dealer's inventory regardless of ownership

All firearms received into an FFL's inventory — including consignment — must be recorded as acquisitions in the bound book upon receipt.

During a physical inventory audit, an FFL finds a firearm whose serial number has been partially obliterated. What is the required action?

Answer: Do not transfer the firearm and contact ATF for guidance

Possessing or transferring a firearm with an obliterated serial number is a federal crime; the FFL must not transfer it and should contact ATF for instructions.

When verifying Form 4473 compliance during self-inspection, which field error would make a transfer legally invalid rather than just a recordkeeping deficiency?

Answer: The buyer answered 'no' to being a prohibited person but is in fact prohibited

A false answer to a prohibiting question means the transfer was to a prohibited person, making it an illegal transfer — not merely a paperwork error.

An FFL's bound book is maintained electronically. Which requirement must the electronic system meet to comply with ATF regulations?

Answer: It must be capable of producing a hard-copy printout of all required A&D information

Electronic bound books are permitted but must be capable of producing a legible hard-copy printout of all required acquisition and disposition information upon ATF request.

What does an ATF compliance inspection 'report of violations' (ROV) document?

Answer: Specific regulatory violations found during the inspection with corrective action requirements

An ATF Report of Violations formally documents specific regulatory violations found during a compliance inspection and notifies the FFL of required corrective actions.

Which of the following actions by an FFL would constitute willful violation of the GCA, potentially supporting license revocation?

Answer: Repeatedly transferring firearms without completing Form 4473 after being warned by ATF

Repeatedly bypassing Form 4473 requirements after ATF warnings demonstrates willful disregard of the GCA, which is grounds for license revocation under 18 U.S.C. § 923(e).