Following the Gun:

Enforcing Federal Laws

Against Firearms Traffickers

June 2000

Department of the Treasury

Bureau of Alcohol,Tobacco & Firearms

TREASURY

ENFORCEMENT
TREASURY

ENFORCEMENT

Following the Gun:

Enforcing Federal Laws

Against Firearms Traffickers

June 2000

Department of the Treasury

Bureau of Alcohol, Tobacco & Firearms

Department of the Treasury, Bureau of Alcohol, Tobacco & Firearms June 2000

FOLLOWING THE GUN: ENFORCING FEDERAL LAWS AGAINST FIREARMS TRAFFICKERS iii

FOREWORD BY THE DIRECTOR

Virtually every crime gun in the United States starts off as a legal firearm. Unlike narcotics or other

contraband, the criminals’ supply of guns does not begin in clandestine factories or with illegal smuggling. Crime guns, at least initially, start out in the legal market, identified by a serial number and

required documentation. This means that virtually every crime gun leaves some paper trail. Historically, the Bureau of Alcohol, Tobacco and Firearms (ATF) has pursued cases against both armed

offenders and firearms traffickers. Until recently, however, we did not have the tools to develop a

systematic approach to understanding and addressing the sources of firearms used in crime. In 1996,

we intensified our efforts to address the illegal supply of crime guns by using the crime gun recovered

by law enforcement officials to identify and target the illegal suppliers. To assess this strategy, we have

conducted a review of our trafficking investigations and their disposition by prosecutors and courts.

Studies such as this one are essential to ATF. The last decade has brought our investigators and

inspectors an enormous increase in investigative information. The National Tracing Center (NTC)

now has over 1,000,000 traces of firearms recovered by law enforcement officials in our firearms

trafficking information system. The National Integrated Ballistics Information Network (NIBIN),

operated by ATF with the Federal Bureau of Investigation (FBI), now contains 500,000 ballistics

images. The National Instant Check System (NICS), launched by the FBI and ATF in 1998, has

resulted in ATF receiving over 130,000 reports of prohibited persons attempting to buy firearms

from FFLs. Our files contain facts from thousands of investigations and debriefings of arrested

persons in possession of firearms used in crime.

This huge advance in investigative information and in tools to access it enables ATF and our State

and local partners to identify many more criminals individually, and to analyze and respond to

specific local crime patterns. With greater knowledge of the gun criminal, we can target our

resources more effectively and better explain our cases to the communities we serve. At the same

time, this wealth of criminal investigative information brings with it the management challenges

of creating the best investigative and strategic uses, sharing information with other Federal, State,

and local authorities, protecting citizen privacy, and fully informing Congress and the public.

The case analysis presented here will help us develop the most effective possible enforcement

strategies. This report demonstrates the effectiveness of State and local law enforcement agencies

and prosecutors joining ATF in “following the crime gun” to the gun’s illegal supplier, and targeting that supplier and others in the chain of illegal transfers. It may be the gun of the drug dealer,

the violent gang member, the repeat felon, parolee or probationer, the domestic violence offender,

the juvenile, or any other person prohibited from possessing a firearm. Gun traffickers are often

criminals in other respects, and trafficking investigations provide another means to prevent them

from harming the community.

This report is strong evidence of the support ATF receives from the U.S. Attorneys and other

prosecuting attorneys on a daily basis. Our review would not have been possible without the

assistance from valuable academic partners and the Bureau of Justice Statistics, as well as support from the Department of the Treasury. We also want to thank the many State and local law

enforcement agencies who directly participated in the vast majority of investigations described in

this report. Every member of the study team joins me in expressing our gratitude.

Bradley A. Buckles
Department of the Treasury, Bureau of Alcohol, Tobacco & Firearms June 2000

Table of Contents

FOREWORD .................................................................................................................................... iii

EXECUTIVE SUMMARY ................................................................................................................ ix

1. INTRODUCTION........................................................................................................................... 1

2. FIREARMS TRAFFICKERS AND FIREARMS TRAFFICKING LAWS ..................................... 3

 2-1. Firearms trafficking and diversion ...................................................................................... 3

Diversion and stolen firearms .............................................................................................. 3

Types of trafficking ................................................................................................................ 3

 2-2. Laws prohibiting trafficking in firearms ............................................................................. 4

Prohibitions on firearms acquisition ................................................................................... 4

Regulation of firearms disposition ...................................................................................... 4

 2-3. Regulatory and criminal enforcement................................................................................. 4

 2-4. Trafficking charges and penalties ........................................................................................ 5

3. REVIEW OF FIREARMS TRAFFICKING INVESTIGATIONS (July 1996 - December 1998)....... 7

3-1. Initiation of Firearms Trafficking Investigations ............................................................... 8

3-2. Traffickers and Trafficking Channels ................................................................................ 10

Firearms trafficking channels identified in ATF investigations ........................................... 10

Volume of firearms diverted, by trafficking channel ............................................................ 12

Federally licensed dealers conspiring with other traffickers ................................................ 14

Federally licensed dealers’ impact on the volume of illegal supply ..................................... 15

The business premises of licensed dealers in trafficking investigations.............................. 16

Gun shows and the diversion of firearms .............................................................................. 17

Straw purchasers and the diversion of firearms ................................................................... 18

The involvement of juveniles and youth in ATF trafficking investigations ......................... 19

3-3. Firearms Misuse, Felons, and Trafficking Investigations ................................................ 20

Trafficked firearms subsequently recovered in crime ........................................................... 20

The involvement of felons in firearms trafficking ................................................................. 22

3-4. Characteristics of the Investigations ................................................................................. 23

Interstate and intrastate destinations of trafficked firearms................................................ 23

Number of firearms trafficked in ATF investigations ........................................................... 24

New, secondhand, and stolen firearms .................................................................................. 25

3.5 Characteristics of Case Dispositions .................................................................................. 26

Violations reported in ATF trafficking investigations ........................................................... 26

Violations in ATF trafficking investigations involving FFLs................................................. 28

National Firearms Act violations ............................................................................................ 30

Recommendations for prosecution ........................................................................................ 31

Status of investigations recommended for prosecution ....................................................... 32

Federal charges against defendants recommended for prosecution in trafficking

investigations ....................................................................................................................... 33

Geographic distribution of Federal prosecutions.................................................................. 34

Disposition of defendants recommended for prosecution.................................................... 35

FOLLOWING THE GUN: ENFORCING FEDERAL LAWS AGAINST FIREARMS TRAFFICKERS v
vi FOLLOWING THE GUN: ENFORCING FEDERAL LAWS AGAINST FIREARMS TRAFFICKERS

June 2000 Department of the Treasury, Bureau of Alcohol, Tobacco & Firearms

4. EXAMPLES OF GUN TRAFFICKERS AND THEIR SENTENCES .........................................37

Residential FFL trafficker ....................................................................................................... 37

Gun store trafficker ................................................................................................................. 37

FFL and Interstate trafficker .................................................................................................. 37

Straw Purchasers/Interstate traffickers.................................................................................. 37

Straw Purchaser/Intrastate trafficker..................................................................................... 38

Traffickers in firearms stolen from gun store dealer............................................................. 38

Traffickers in firearms stolen from residences ...................................................................... 38

Traffickers in firearms stolen from common carrier ............................................................ 38

Straw purchasers and international traffickers..................................................................... 39

Licensed and unlicensed dealers trafficking at gun shows................................................... 39

5. ENFORCEMENT LESSONS LEARNED FROM FIREARMS TRAFFICKING

INVESTIGATIONS ..................................................................................................................... 41

5-1. Channels of Illegal Supply .................................................................................................. 41

5-2. Impact of Enforcement....................................................................................................... 42

5-3. Enforcement Issues............................................................................................................. 43

5-4. Investigative Partnerships and Resources ......................................................................... 44

LIST OF TABLES

Table 1. Initiation of ATF Firearms Trafficking Investigations....................................................... 9

Table 2. Sources of Firearms Trafficking Identified in ATF Investigations ................................. 11

Table 3. Volume of Firearms Diverted, by Trafficking Channel.................................................... 13

Table 4. Other Trafficking Channels Involved in FFL Trafficking Investigations........................ 14

Table 5. The Influence of FFL Traffickers on the Number of Firearms Trafficked by Straw

Purchasers, Unlicensed Sellers, and at Gun Shows .................................................. 15

Table 6. Business Premises of a 20 Percent Random Sample of FFLs Involved in

Trafficking Investigations ............................................................................................ 16

Table 7. Relationships Between Straw Purchaser and Trafficker ................................................. 18

Table 8. The Role of Youth and Juveniles in Trafficking Investigations ...................................... 19

Table 9. Known Criminal Uses of Trafficked Firearms ................................................................. 21

Table 10. Firearms Traffickers and Felons Identified in Trafficking Investigations ..................... 22

Table 11. Interstate, Intrastate, and International Trafficking in ATF Investigations................... 23

Table 12. Number of Firearms Involved in ATF Trafficking Investigations ................................... 24

Table 13. New, Secondhand, and Stolen Firearms in ATF Trafficking Investigations .................. 25

Table 14. Violations in ATF Trafficking Investigations .................................................................... 27

Table 15. Violations in ATF Trafficking Investigations Involving FFLs.......................................... 29

Table 16. Weapons Associated with NFA Violations in ATF Trafficking Investigations ................ 30

Table 17. ATF Trafficking Investigations Recommended for Prosecution ..................................... 31

Table 18. Status of Trafficking Investigations Accepted for Prosecution....................................... 32

Table 19. ATF Description of Charges Against Defendants in Trafficking Investigations

 Recommended for Federal Prosecution .................................................................... 33

Table 20. States in which ATF Recommended Federal Prosecution of Defendants in

Trafficking Investigations ............................................................................................ 34

Table 21. Disposition of Defendants in Trafficking Investigations Accepted for Prosecution...... 35
Department of the Treasury, Bureau of Alcohol, Tobacco & Firearms June 2000

FOLLOWING THE GUN: ENFORCING FEDERAL LAWS AGAINST FIREARMS TRAFFICKERS vii

APPENDICES

A: Statutes Relating to Firearms Trafficking ................................................................................ 47

B: Methodology ............................................................................................................................... 52

Use of surveys .......................................................................................................................... 53

What these data represent....................................................................................................... 53

Survey Forms .............................................................................................................................. 55
Department of the Treasury, Bureau of Alcohol, Tobacco & Firearms June 2000

EXECUTIVE SUMMARY

Many criminals obtain their guns from the illegal market supplied by a variety of sources: unlicensed sellers who buy guns with the purpose of reselling them; fences; corrupt Federal firearms

licensees (FFLs); and straw purchasers who buy guns for other unlicensed sellers, criminal users,

and juveniles. It is the responsibility of the Bureau of Alcohol, Tobacco and Firearms (ATF), often

working together with State and local law enforcement agencies, to investigate this criminal

trafficking in firearms, arrest the perpetrators, and refer them to U.S. Attorneys for prosecution.

To report on the problem and the Federal enforcement response to it, ATF documented and

analyzed the criminal investigations involving firearms traffickers that it initiated from July 1996

through December 1998, from commencement of the investigation to sentencing by a court. This

review builds on an earlier examination of the illegal acquisition of firearms by youth and

juveniles, prepared in response to a request by Congress.1 The information for both reports

derived from surveys of the ATF special agents responsible for the investigations.2

The analysis documents an aggressive, productive effort that led to the prosecution, conviction,

and sentencing of hundreds of firearms traffickers during this period. It also suggests that this

effort could be rendered still more effective with continued improvements in investigative techniques and enforcement tools.

The investigations and the trafficked firearms

Trafficking and armed offender investigations. ATF initiated 1,530 firearms trafficking investigations during the period July 1996 through December 1998, which comprised only a portion of

ATF’s firearms investigations. Most ATF firearms investigations were initiated specifically to

target offenders who committed acts of armed violence or were considered potentially violent —

armed career criminals, armed narcotics traffickers, and felons in possession of firearms — as

part of locally designed strategic efforts to reduce drug trafficking and violent gang activity, and

violent crime generally. ATF trafficking investigations complement these enforcement strategies

by reducing the illegal availability of firearms to such armed violent offenders as well as to juveniles, and by identifying and arresting other violent criminals through investigations of firearms

trafficking activity.

Removing guns from the streets. The targets of the ATF trafficking investigations during this

period diverted a total of 84,128 firearms from legal to illegal commerce. ATF estimates that agents

seized a quarter of these firearms in connection with the investigations themselves, removing them

from the illegal market. The remainder of the trafficked firearms were documented during the

criminal investigation or later recovered in crimes. Trafficked firearms may continue to be recovered by law enforcement officials and traced long after traffickers are arrested and incarcerated.

How ATF initiates trafficking investigations. Most of the trafficking investigations were initiated

based on traditional case methods, such as referrals from other agencies and information provided by confidential informants. One in every five investigations, however, was triggered by

information provided by Federal firearms licensees through tips or mandatory reporting to ATF

concerning lost or stolen firearms.

1 Performance Report for the Senate and House Committee on Appropriations, Youth Crime Gun Interdiction Initiative, Department of the Treasury, Bureau of Alcohol, Tobacco and Firearms, February 1999.

2 The survey was designed by Dr. Anthony A. Braga, of the John F. Kennedy School of Government, Harvard University, who also prepared the tables in this report, in consultation with ATF. For a full description of the methodology,

see Appendix B.

FOLLOWING THE GUN: ENFORCING FEDERAL LAWS AGAINST FIREARMS TRAFFICKERS ix
x FOLLOWING THE GUN: ENFORCING FEDERAL LAWS AGAINST FIREARMS TRAFFICKERS

June 2000 Department of the Treasury, Bureau of Alcohol, Tobacco & Firearms

Role of firearms tracing. Almost 30 percent of the investigations (448 of 1,530) were initiated

through the innovative investigative methods of information analysis – analysis of firearms trace

data, multiple firearms sales records, or both. After initiation of the investigations, tracing was

used as an investigative tool to gain information on recovered crime guns in 60 percent of the

investigations (918 of 1,530). These findings show that crime gun trace analysis and on-line

Project LEAD, the National Tracing Center’s firearms trafficking information system, are being

widely used to increase ATF’s productivity in the development of firearms trafficking investigations. Almost 60 percent of the investigations involved secondhand guns, which are very difficult

to trace because unlicensed sellers are not required to keep any transfer records, and there is no

effective way to track a gun beyond the first retail sale. Investigative use of firearms and ballistics

trace information by Federal, State, and local law enforcement to identify traffickers and armed

offenders is a developing capability that should be strengthened.

Traffickers and armed criminals

Traffickers supply criminals and juveniles with guns. Traffickers move guns onto the streets and

into the hands of criminals. Over half of the trafficking investigations involved firearms known to

have been subsequently involved in additional criminal investigations, including investigations of

homicide and robbery, assault, felon in possession of firearms, and illegal gun possession. Juveniles were involved in about 14 percent of the investigations (209) as possessors, thieves and

robbers, and traffickers. The number of crime guns linked to particular traffickers by ATF in

investigations or through firearms and ballistics tracing is likely to understate significantly the

role of trafficked firearms in violent crime. Investigative resources for trafficking cases are

limited, and firearms and ballistics tracing are not yet fully developed and available to law enforcement agencies.

Trafficking investigations lead to armed violent felons. When law enforcement follows the gun used

by the criminal to its illegal supplier, the investigation often leads to another violent criminal.

Convicted felons play a significant role in firearms trafficking. About 23 percent of the investigations included violations involving convicted felons buying, selling, or possessing firearms. A

quarter (669) of the traffickers identified in the investigations were convicted felons. About 45

percent of the trafficking investigations involved convicted felons in various roles, including

trafficking and receiving trafficked firearms.

Traffickers and trafficking channels

Different types of traffickers and trafficking channels. Firearms traffickers are using a variety of

channels to divert firearms, and investigations usually involve multiple trafficking channels, such

as a corrupt FFL and a straw purchaser, or theft and unlicensed dealing.

Corrupt FFLs as major traffickers. Although FFLs were involved in under 10 percent of the trafficking investigations, they were associated with the largest number of diverted firearms – over

40,000 guns, nearly half of the total number of trafficked firearms documented during the twoyear period. The mean number of trafficked guns involved in any case in which an FFL figured

was over 350. When an FFL was acting as the sole trafficker in the investigation, or working with

an unlicensed dealer, the mean number of guns per investigation rose to over 550. Clearly, FFLs’

access to large numbers of firearms makes them a particular threat to public safety when they fail

to comply with the law. Investigations focused on retail gun stores, pawnshops, and residential

FFLs. The 133 investigations of FFLs revealed a variety of violations, including failure to keep

required records, transfers to prohibited persons, offenses involving National Firearms Act weapons, making false entries in record books, and conducting illegal out-of-state transfers.
Department of the Treasury, Bureau of Alcohol, Tobacco & Firearms June 2000

FOLLOWING THE GUN: ENFORCING FEDERAL LAWS AGAINST FIREARMS TRAFFICKERS xi

Gun shows. Gun shows were a major trafficking channel, involving the second highest number of

trafficked guns per investigation (more than 130), and associated with approximately 26,000

illegally diverted firearms. The investigations involved both licensed and unlicensed sellers at gun

shows.

Straw purchasers. Straw purchasing was the most common channel in trafficking investigations.

Almost half of all the trafficking investigations involved straw purchasers. Therefore, although

the average number of firearms trafficked per straw purchase investigation was relatively small,

37 firearms, there were nearly 26,000 firearms associated with these investigations.

Unlicensed sellers. Unlicensed sellers were a focus of about a fifth of the trafficking investigations,

and involved an average of about 75 guns per investigation and almost 23,000 guns. Unlicensed

sellers range from individuals who knowingly sell guns to criminals from their personal collections to interstate gun runners buying guns to sell to gangs and drug organizations.

Firearms theft. Firearms theft is an important source of trafficked firearms. Firearms stolen from

FFLs, residences, and common carriers were involved in over a quarter of the trafficking investigations. Investigations involving firearms stolen from residences and federally licensed firearms

dealers were associated with over 9,000 trafficked firearms. There were a handful of investigations involving thefts of firearms from common carriers, but such thefts may involve a large

number of firearms. ATF is proposing a regulation that would require FFLs to report guns missing in shipment.

Productive partnerships between ATF, U.S. Attorneys, and

State and local authorities

Successful prosecutions. Over 1,000 of ATF’s trafficking investigations were referred to prosecutors. Prosecutors accepted 90 percent of ATF’s trafficking case referrals, involving more than

1,700 defendants. At the time of the survey, over 60 percent of the defendants were fully adjudicated. Over 1,000 traffickers — 97 percent of those adjudicated — were found guilty and sentenced in Federal, State, and local courts. Over three-quarters received sentences of incarceration

up to life in prison; most of the remainder received probation. Altogether, as a result of these

investigations, 812 defendants were sentenced in Federal court to a cumulative 7,420 years in

prison, with an average sentence of about nine years.

State and local law enforcement role. More than 33,000 offenders were convicted of felony firearms-related offenses in State and local courts in 1996.3 State or local law enforcement agencies

participated in 68 percent (1,037 of 1,530) of the ATF trafficking investigations. Although only

about 3 percent of ATF’s case referrals and about 10 percent of the defendants referred were to

State and local prosecutors, about 70 percent of ATF’s investigations involved intrastate trafficking and about 10 percent involved guns stolen from residences. This suggests that where there

are applicable laws, State and local law enforcement play an important role in curbing the illegal

market in firearms.

Enforcement challenges. Investigators and prosecutors face challenges building successful cases

against firearms traffickers. Prosecutors accepted over 60 percent of trafficking cases referred by

ATF that involved straw purchasers and dealing by unlicensed sellers, but in the majority of cases

proceeded with other charges, not related on their face to firearms trafficking. Also notable is

that although FFLs are associated with the largest volume of trafficked firearms, many FFL

violations are misdemeanors rather than felonies, presenting a dilemma for prosecutors who

3 Jodi M. Brown, Patrick A. Langan, and David J. Levin, Felony Sentences in State Courts, 1996. Bureau of Justice

Statistics (1999).
xii FOLLOWING THE GUN: ENFORCING FEDERAL LAWS AGAINST FIREARMS TRAFFICKERS

June 2000 Department of the Treasury, Bureau of Alcohol, Tobacco & Firearms

understandably give priority to crimes with greater penalties. Similarly, sentencing guidelines do

not provide for increased penalties for trafficking crimes involving truly large scale trafficking —

more than 50 firearms. The most important conclusion to be drawn from this case review is that

prosecutors are finding ways to prosecute criminal traffickers despite these issues. Law enforcement authorities, however, must in effect build a double case against many firearms traffickers,

identifying non-trafficking conduct that can be the basis for a strong criminal case.

Gun traffickers play a critical and deadly role in the chain of violence. They are a principal source

of firearms for criminals. Although some guns are bought legally and used in crime, the many

thousands of guns that traffickers supply illegally, without a Brady background check or an FFL

transfer record that enables tracing, are firearms that are likely to be associated with other

crimes. While the success of the firearms trafficking enforcement effort is to be measured by a

reduction in gun violence, it is clear that enforcing Federal laws against firearms traffickers has a

deservedly high priority.
Department of the Treasury, Bureau of Alcohol, Tobacco & Firearms June 2000

FOLLOWING THE GUN: ENFORCING FEDERAL LAWS AGAINST FIREARMS TRAFFICKERS 1

1. INTRODUCTION

When the Gun Control Act of 1968 (GCA) was enacted, Congress declared that its primary purpose was to “keep firearms out of the hands of those not legally entitled to possess them . . . and

to assist law enforcement authorities in the States and their subdivisions in combating . . . crime

in the United States.” Many criminals obtain their guns from the illegal market supplied by a

variety of sources: unlicensed sellers who buy guns with the purpose of reselling them; fences;

corrupt Federal firearms licensees (FFLs); and straw purchasers who buy guns for other unlicensed sellers, criminals, and juveniles.4

 It is the responsibility of the Bureau of Alcohol, Tobacco

and Firearms (ATF), often working together with State and local law enforcement agencies, to

investigate this criminal trafficking, arrest the perpetrators, and refer them to U.S. Attorneys for

prosecution.

ATF has pursued cases against firearms traffickers throughout its history. Starting in 1996,

through the Youth Crime Gun Interdiction

Initiative and related enforcement and training

programs, ATF increased its efforts to work

with State and local law enforcement agencies

to expand the tracing of guns recovered by

police, and to make discovery of the source of

the crime gun, and criminal prosecution of the

illegal supplier of firearms, a routine aspect of

the investigation and prosecution of armed

criminals and juveniles.

This report documents ATF criminal investigations involving firearms traffickers that were

initiated from July 1996 through December

1998. The report begins by explaining how the

nation’s firearms laws prohibit illegal transfers

of firearms. It then presents an analysis of

more than 1,500 ATF firearms trafficking

investigations as reported in a survey of ATF

field agents. The report also analyzes the

agents’ reports of the disposition of the cases —

the violations referred by ATF, the charges filed

and verdicts won by U.S. Attorneys and State

and local prosecutors, and the sentences imposed by courts. Finally, the report discusses

lessons learned from these investigations and

conclusions about the further development of

an integrated firearms enforcement strategy

against armed criminals and the illegal suppliers who fuel their gun violence.

During the period of review, trafficking investigations comprised only a portion of ATF’s

firearms investigations. Most ATF firearms

investigations specifically targeted violent

offenders — armed career criminals, armed

narcotics traffickers, and felons in possession

of firearms — as part of locally designed strategic efforts to reduce drug trafficking and violent gang activity, and violent crime generally.

The gun trafficker, however, also plays a critical

role in the chain of violence. Whether a single

straw purchaser buying a TEC-9 at a gun show

for a high school student, a corrupt licensed

dealer selling a silencer to a felon who fails a

Brady check, or a gun runner funneling guns to

an urban gang, these are violators who demand

the full enforcement attention of ATF and our

State and local partners. In addition to being

traffickers, these violators are also often themselves violent offenders. ATF issues this report

to assess and strengthen our efforts, to broaden

public understanding, and to support other law

enforcement authorities in their efforts to

confront the illegal trafficker in guns.

4 Under current law, a “straw purchase” occurs when the actual buyer of a firearm uses another person, the “straw

purchaser,” to execute the paperwork necessary to purchase a firearm from an FFL. The “straw purchaser” violates

the GCA by making a false statement with respect to information required to be kept in the FFL’s records.
Department of the Treasury, Bureau of Alcohol, Tobacco & Firearms June 2000

2. FIREARMS TRAFFICKING AND

FIREARMS TRAFFICKING LAWS

The Gun Control Act has a dual framework for keeping firearms out of the wrong hands – prohibiting certain people from possessing guns and regulating the sale of guns. A variety of provisions

of the GCA are used to investigate and prosecute firearms traffickers. Unlike criminal misuse of

guns, however, firearms trafficking charges can be hard to prove. This has often made cases

against firearms traffickers more complicated and challenging than other kinds of gun cases.

firearms dealers, large scale straw purchasers or straw purchasing rings, or small

scale straw purchasers, from gun stores,

gun shows, or other premises;

• Trafficking in secondhand firearms, interstate and intrastate, including by licensed

firearms dealers, including pawnbrokers,

large scale straw purchasers or straw

purchasing rings; small scale straw purchasers, unlicensed sellers, including at

gun shows, flea markets, or through newspaper ads, gun magazines, the Internet,

and personal associations; and bartering

and trading within criminal networks.

• Trafficking in new and secondhand stolen

firearms, involving guns stolen from federally licensed dealers, including pawnbrokers, manufacturers, wholesalers, and

importers, theft from common carriers,

home invasions, and vehicle theft.

Firearms theft is often associated with trafficking. ATF investigates thefts from Federal

firearms licensees who are required to report

thefts or losses to ATF. ATF also investigates

thefts from common carriers, some of which

voluntarily report thefts to ATF. State and local

law enforcement officials may involve ATF

when there is a wave of local burglaries apparently for the purpose of obtaining firearms that

may then be trafficked. Federal law does not

require individual firearms owners to report

the theft or loss of a firearm, though owners

may report losses to local authorities and/or the

FBI in order to assist law enforcement and

facilitate the return of the stolen property

should it be recovered.

2-1. Firearms Trafficking and

Diversion

Because initially all crime guns start off as

legally owned firearms, the term “firearms

trafficking” refers to the illegal diversion of

legally owned firearms from lawful commerce

into unlawful commerce, often for profit. The

term “trafficking” has a different meaning in

the firearms context than in the context of drug

trafficking, where it usually refers to the illegal

manufacture, transportation, and smuggling of

large quantities of illicit drugs.

Diversion and Stolen Firearms

ATF uses the term “diversion,” in addition to

“trafficking.” “Diversion” is a broader term than

“trafficking,” and encompasses any movement

of firearms from the legal to the illegal marketplace through an illegal method or for an illegal

purpose. For example, a criminal who steals a

firearm from a licensee for his own personal

use is participating in the illegal diversion of a

firearm, but he is not a trafficker. Thus, while

the theft of firearms may involve a criminal

stealing one or more firearms for his own use, or

may involve subsequent trafficking, addressing

stolen firearms is an important part of a firearms

trafficking strategy because theft constitutes one

means of the illegal supply of firearms. In this

report, “trafficking” and “diversion” are used

synonymously, even though, strictly speaking,

diversion is a broader term. Investigations involving gun theft are included in the report only when

they also involve trafficking in stolen guns.

Types of Trafficking

Firearms trafficking includes:

• Trafficking in new firearms, interstate and

intrastate, including by federally licensed

FOLLOWING THE GUN: ENFORCING FEDERAL LAWS AGAINST FIREARMS TRAFFICKERS 3
4 FOLLOWING THE GUN: ENFORCING FEDERAL LAWS AGAINST FIREARMS TRAFFICKERS

June 2000 Department of the Treasury, Bureau of Alcohol, Tobacco & Firearms

2-2. Laws Prohibiting Trafficking in

Firearms

One of the primary purposes of the Gun Control Act of 1968 (GCA) was to provide support

to State and local law enforcement officials in

their fight against violent crime and to assist

them in enforcing their own firearms laws.

Prior to enactment of the GCA, differences

among State laws made it difficult for State and

local officials to enforce their laws. Unrestricted mail-order sales of firearms and the

ability of persons to acquire firearms in other

less restrictive States prevented many States

from effectively enforcing their laws. The GCA

remedied this situation by providing a Federal

scheme that channels interstate commerce in

firearms through Federally licensed dealers,

who are required to transfer firearms in accordance with State and local law. The interstate

controls of the GCA also generally require

Federal firearms licensees to transfer firearms

only to residents of the State where their premises are located and restrict unlicensed persons to acquiring firearms within their State of

residence. Licensees, however, may transfer

long guns to non-residents if they meet in

person with the purchaser and the sale complies with the applicable State laws for both

buyer and seller.

The GCA also imposes a number of restrictions

on persons who acquire or attempt to acquire

firearms as well as restrictions on persons who

dispose of firearms.

Prohibitions on Firearms Acquisition

The GCA makes it unlawful for certain “prohibited persons,” such as convicted felons, fugitives, persons adjudicated mentally ill, and

certain domestic violence offenders to possess

firearms.5

 With limited exceptions, it is unlawful for anyone under the age of 18 to possess a

handgun. Persons who acquire firearms from

FFLs must certify their eligibility to purchase

firearms, and it is illegal to provide false information in purchasing a firearm. A person

purchasing a firearm from an FFL may only

acquire a firearm for himself or herself unless

he or she is purchasing a firearm for someone

else as a gift.

Regulation of Firearms Disposition

Sales regulation is aimed at preserving a State’s

authority to control commerce in firearms

within its borders, as well as to help restrict

supply to persons prohibited by Federal law

from buying firearms. The GCA requires

individuals who are engaged in the business of

dealing in firearms to obtain a Federal firearms

license. A condition of the Federal license is

that the licensee also obeys State and local

requirements governing gun sales. The GCA’s

“interstate controls” make it unlawful for

unlicensed individuals to sell any firearms

across State lines, or for Federal firearms

licensees to deliver handguns to residents of

another State. An FFL may not sell a handgun

to anyone under the age of 21, or a long gun to

anyone under the age of 18. Since 1994, the

Brady Act has required FFLs to conduct background checks to determine whether a purchaser is prohibited. FFLs are required to

maintain records of the acquisition and disposition of firearms, report multiple handgun sales,

report lost or stolen firearms to ATF, and provide transaction records for firearms traces

initiated by law enforcement.6

2-3. Regulatory and Criminal

Enforcement

ATF’s firearms trafficking efforts include both

regulatory and criminal enforcement of these

requirements. Regulatory enforcement aims to

ensure FFL compliance with the GCA rules

5 18 U.S.C. § 922.

6 Federal law does not require all sellers of guns to obtain a Federal firearms license. In fact, the GCA specifically

provides that a person who makes “occasional sales, exchanges, or purchases of firearms for the enhancement of a

personal collection or for a hobby, or who sells all or part of his personal collection of firearms” is not required to

obtain a firearms license 18 U.S.C. § 922 (a) (21) (c). Unlicensed sellers are prohibited from knowingly selling a

firearm to a person prohibited by law from possessing a firearm. However, they are not required to conduct Brady

background checks to determine if their buyer is a prohibited person, nor are they required to maintain records that

permit the firearm to be traced if it is recovered by law enforcement officials in connection with a crime.
Department of the Treasury, Bureau of Alcohol, Tobacco & Firearms June 2000

FOLLOWING THE GUN: ENFORCING FEDERAL LAWS AGAINST FIREARMS TRAFFICKERS 5

governing the conduct of the firearms business,

and focuses its inspection efforts on FFLs

associated with indicators of trafficking. FFLs

that violate the rules may be subject to revocation of their license, as well as to criminal

prosecution. Regulatory enforcement is described in a recent ATF report.7

2-4. Trafficking Charges and

Penalties

No section of the GCA is specifically devoted to

punishing the diversion of firearms from lawful

to unlawful channels. There are a variety of

firearms violations that may be charged in a

case involving trafficking. Certain GCA violations, however, are more relevant than others to

building cases against traffickers. The charging

decision often involves an assessment of the full

scope of conduct, the penalties attached to

particular charges, and possible defenses at

trial.

The two most straightforward trafficking

offenses are engaging in the business of dealing

in firearms without a license, see 18 U.S.C. §

922(a)(1)(A ), and traveling into another State

to acquire a firearm in furtherance of an intent

to violate section 922(a)(1)(A), see 18 U.S.C. §

924(n). There are many trafficking cases,

however, in which neither of these statutes will

be cited, primarily for two reasons. First, cases

brought against unlicensed dealers under

section 922(a)(1)(A) present prosecution challenges because of the statutory definition of

“engaged in the business” in the 1986 amendments to the GCA.8

 Second, ATF firearms trace

information indicates that most firearms traffickers acquire firearms in the State in which

they are selling them. In such cases, section

924 (n) is not applicable.

When these two offenses are not available,

alternative charges are brought. These charges

may not, at first glance, appear relevant to

firearms trafficking. Depending on the facts of

the case, a defendant who was engaged in

trafficking may be charged with one or more of

the following violations:

• The serial numbers on firearms are often

obliterated to make it impossible to trace

the firearms. This happens in conjunction

with stolen firearms, and it is also an

indicator of firearms trafficking. If it can

be established that the defendant knowingly

possessed firearms with obliterated serial

numbers, and the firearm has at any time

been shipped or transported in interstate

commerce, then the defendant may be

charged with violating 18 U.S.C. § 922(k).

• Firearms traffickers often present false

identification documents to Federal firearms licensees when obtaining firearms.

This ensures that the firearms cannot be

traced back to the trafficker and circumvents the required Brady background

check. In addition, traffickers often use

“straw purchasers” to falsely represent to

the licensee that they are the actual purchasers of the firearm. If it can be established that the trafficker or “straw purchaser” lied to the licensee about a material

fact, or presented a false identification

document in connection with the purchase

of the firearm, the trafficker or “straw purchaser” may be charged with violating 18

U.S.C. § 922(a)(6) or aiding and abetting

such a violation. Straw purchasing itself,

that is, the practice of buying firearms

from an unlicensed dealer on behalf of

someone else, is not unlawful.

• Criminals often steal firearms for the

purpose of trafficking them. If it can be

established that the firearms were stolen,

and that the defendant transported the

7 Commerce in Firearms in the United States, Department of the Treasury, Bureau of Alcohol, Tobacco and Firearms,

February 2000.

8 The term “engaged in the business” means . . . “as applied to a dealer in firearms, . . . a person who devotes time,

attention, and labor to dealing in firearms as a regular course of trade or business with the principal objective of

livelihood and profit through the repetitive purchase and resale of firearms, but such term shall not include a person

who makes occasional sales, exchanges, or purchases of firearms for the enhancement of a personal collection or for

a hobby, or who sells all or part of his personal collection of firearms. . . .” 18 U.S.C. § 921(a)(21)(C).
6 FOLLOWING THE GUN: ENFORCING FEDERAL LAWS AGAINST FIREARMS TRAFFICKERS

June 2000 Department of the Treasury, Bureau of Alcohol, Tobacco & Firearms

firearms in interstate commerce knowing or

having reasonable cause to believe that they

were stolen, the defendant may be charged

with violating 18 U.S.C. § 922(i). If it can

be established that the defendant stole the

firearms from a licensee and the firearm has

been shipped in interstate or foreign commerce, the defendant may be charged with

violating 18 U.S.C. § 922(u).

• Many traffickers distribute firearms to

criminals and gang members knowing that

the recipients intend to use the firearms for

criminal purposes. If it can be established

that the defendant transferred the firearm,

knowing that the firearm will be used in a

crime of violence or a drug trafficking crime,

the defendant may be charged with violating

18 U.S.C. § 924(h).

• Traffickers may distribute handguns to

juvenile gang members and other individuals under the age of 18. If it can be established that the defendant transferred a

handgun to an individual knowing or having reasonable cause to believe that the

transferee was under the age of 18, and none

of the statutory exemptions apply, the defendant may be charged with violating 18

U.S.C. § 922(x)(1).9

• Certain “corrupt” dealers cooperate with

traffickers by knowingly maintaining false

records of acquisition and disposition, or

failing to keep required records. If it can

be established that a firearms licensee knowingly made a false statement in required

records, the licensee may be charged with

violating 18 U.S.C. § 924(a)(1)(A).

• A person who illegally trafficks in certain

weapons covered by the National Firearms

Act (NFA), such as machine guns, short

barrel shotguns, short barrel rifles, and

silencers, can be prosecuted for violations

of the NFA, 26 U.S.C. Chapter 53.

• Finally, in some cases the individual suspected of trafficking is also a felon. While

it may be difficult to prove that the defendant was engaged in the business of dealing in firearms, the evidence clearly establishes that he was a felon in possession of

firearms. If it can be established that the

defendant possessed firearms after being

convicted of a crime punishable by a term

exceeding one year, the defendant may be

charged with violating 18 U.S.C. § 922(g)(1).

If it can be established that any person

transferred a firearm to a prohibited person

knowing or having reasonable cause to

believe that the person was prohibited then

the transferor may be charged with violating

18 U.S.C. 922(d). If the defendant had been

convicted of three prior violent felonies or

serious drug offenses, however, the defendant may receive an enhanced 15 year

sentence under the Armed Career Criminal

Act. 18 U.S.C. § 924(e).

These examples are not exhaustive. Rather

they illustrate the principle that not all trafficking cases involve criminal statutes readily

identified as penalizing “trafficking” or involving “trafficking” charges. Although these

charges are not uniquely “trafficking”

charges, they are the statutory tools that

investigators and prosecutors most often use

in trying to punish and deter firearms traffickers. In ATF’s view, even though the perpetrator may not be charged with “trafficking in

firearms,” as there is no such specific criminal violation, the goal is to get illegal traffickers off the street and prevent others from

emerging, by prosecuting them to the fullest

extent possible under the Federal firearms

laws.

One of the conclusions drawn from the case

review presented here is that persons who

traffick in firearms are often not being prosecuted for that conduct; rather, they are instead

being prosecuted for other related conduct.

9 Exceptions from the transfer and possession prohibitions of § 922 (x) are provided for the following temporary

transfers, if the juvenile has prior written consent from a parent and the consent is in the juvenile‘s possession at all

times: (1) employment; (2) ranching or farming; (3) target practice; (4) hunting; and (5) firearms safety instruction. Permanent transfers of handguns to juveniles are also authorized under the statute for juveniles who are

members of the Armed Forces.
Department of the Treasury, Bureau of Alcohol, Tobacco & Firearms June 2000

FOLLOWING THE GUN: ENFORCING FEDERAL LAWS AGAINST FIREARMS TRAFFICKERS 7

3. REVIEW OF FIREARMS TRAFFICKING

INVESTIGATIONS

July 1996 - December 1998

The case review presented in this report originated in a Congressional request for information

about ATF’s enforcement activities. Specifically, the House and Senate Committees on Appropriations requested ATF to report on trafficking investigations by February 1999 in connection with

funding for ATF’s Youth Crime Gun Interdiction Initiative (YCGII), the component of ATF’s firearms enforcement programs focused on illegal acquisition, possession, and use of guns by youth

and juveniles.10

In response, ATF Headquarters requested all

ATF Special Agents in Charge to provide information on all firearms trafficking investigations

in their respective areas between July 1996 (the

commencement date of YCGII) and December

1998 (the end of the last calendar year before

February 1999). A survey was sent to each

Field Division requesting information for each

investigation (see Appendix B).

The 23 ATF Field Divisions submitted a total of

1,530 reports on investigations, including

ongoing investigations and perfected cases

referred for prosecution. Information on 648

investigations involving youth and juveniles

were reviewed and provided the basis for a

report to Congress on the performance of

YCGII in February 1999.11 In this report, ATF

and an outside researcher review all 1,530

investigations, using the survey forms submitted.12

This report also reviews the disposition of cases

referred by ATF for prosecution. To develop

disposition information, ATF in December 1999

sent supplementary surveys for the 1,530 submitted investigations to the 23 ATF Field Divisions (see Appendix B). All surveys were returned to ATF Headquarters by March 15, 2000

for analysis by ATF personnel and outside

researchers. Case disposition information was

reviewed by outside researchers working with

the Bureau of Justice Statistics, which has

statutory authority for collecting and maintaining Federal case disposition information.13

The case review is presented in five sections:

initiation of firearms trafficking investigations;

traffickers and trafficking channels; firearms

misuse, felons, and trafficking investigations;

characteristics of the investigations; and characteristics of case dispositions.

10 The Statement of Managers accompanying the 1998 Conference Report stated that: “the conferees believe that the

proposed increase in funding must be supported by evidence of a significant reduction in youth crime, gun trafficking, and gun availability. The conferees would like to see additional evidence linking the Youth Crime Gun Interdiction Initiative (YCGII) to a corresponding decrease in gun trafficking among youths and minors. Therefore, the

conferees direct ATF to report no later than February 1, 1999 on the performance of YCGII.” Conference Report to

Accompany H.R. 4328, October 19, 1998.

11 See Youth Crime Gun Interdiction Initiative: Performance Report. Report to the Senate and House Committees on

Appropriations Pursuant to Conference Report 105-825, October 1998. Department of the Treasury, Bureau of

Alcohol, Tobacco, and Firearms, 1999.

12 Dr. Anthony A. Braga of the John F. Kennedy School of Government, Harvard University.

13 Dr. Anthony A. Braga of the John F. Kennedy School of Government, Harvard University and Dr. Joel Garner of the

Joint Centers for Justice Studies, Sheperdstown, West Virginia.
8 FOLLOWING THE GUN: ENFORCING FEDERAL LAWS AGAINST FIREARMS TRAFFICKERS

June 2000 Department of the Treasury, Bureau of Alcohol, Tobacco & Firearms

3-1. Initiation of Firearms Trafficking Investigations

ing multiple firearms sales records. Almost 30

percent of all ATF firearms trafficking investigations between July 1996 and December 1998

were initiated either through the analysis of

trace data, multiple firearms sales records, or

both (448 of 1,530). Beyond the initiation of

investigations, tracing was used as an investigative tool to gain information on recovered

crime guns in 60 percent of the investigations.15

These findings show that crime gun trace

analysis and Project LEAD, the National Tracing Center’s firearms trafficking information

system, are being widely used to increase ATF’s

productivity in the development of firearms

trafficking investigations. With Project LEAD

available on-line to ATF field offices and State

and local task forces working with ATF field

offices since November 1999, and assuming

continuing increased participation in tracing by

State and local law enforcement agencies, trace

and multiple sales information can be expected

to grow in importance as a source of leads to

traffickers. In addition, as law enforcement

officials develop the ability to connect spent

cartridges and bullets to firearms through the

National Integrated Ballistics Information

Network (NIBIN), the ability to identify illegal

sources of firearms will continue to grow.

14 18 U.S.C. § 923 (g) (3) (B). In November 1998, the National Tracing Center began entering multiple sales information into Project LEAD, ATF’s firearms trafficking information system, making it available for trafficking investigations.

15 Information obtained from the Supplemental Survey.

Traditional methods. ATF firearms trafficking

investigations were most frequently initiated

after a referral from other law enforcement

agencies or through information provided by

confidential informants.

FFL cooperation. In about nine percent of the

investigations, Federal firearms licensees

(FFLs) reported suspicious activity to ATF, such

as suspected straw purchasing or the use of

false identification to obtain firearms. Almost

eight percent of the investigations were initiated by FFLs reporting burglaries, thefts, and

robberies to ATF. ATF maintains a database on

firearms that FFLs report as stolen or missing;

this information is used to initiate investigations and in connection with regulatory compliance inspections.

Innovative use of information resources: tracing

and multiple sales forms. Although many

investigations were initiated via traditional law

enforcement leads, many others were initiated

through the use of crime gun trace information

and multiple sales information.14 Nearly 20

percent of the investigations were initiated

through trace analysis after the recovery of

crime guns, and slightly more than 13 percent

of the investigations were initiated after review-
Department of the Treasury, Bureau of Alcohol, Tobacco & Firearms June 2000

FOLLOWING THE GUN: ENFORCING FEDERAL LAWS AGAINST FIREARMS TRAFFICKERS 9

Table 1. Initiation of ATF Firearms Trafficking Investigations

Reason Number of Percent

investigations

Referral from another State, local, or Federal agency 409 26.7

Confidential informant 352 23.0

Trace analysis after firearms recovery 296 19.4

Review of multiple sales forms 205 13.4

FFL reported suspicious activity 139 9.1

Developed from another ATF investigation 127 8.3

FFL reports burglary/ theft / robbery to ATF 115 7.5

ATF initiated investigation of suspicious activity 81 5.3

 (e.g. gun show task force, interstate theft task force, etc.)

ATF Regulatory inspection of FFL records 43 2.8

Tip by concerned citizen or anonymous source 37 2.4

Other 9 0.6

Number of investigations included = 1,530

Note: Sum may exceed 100 percent since investigations may be included in more than one category.
10 FOLLOWING THE GUN: ENFORCING FEDERAL LAWS AGAINST FIREARMS TRAFFICKERS

June 2000 Department of the Treasury, Bureau of Alcohol, Tobacco & Firearms

3-2. Traffickers and Trafficking Channels

For law enforcement agencies in any community, a key challenge is to identify the sources of

illegal supply of firearms, the types of traffickers, and the predominant types of trafficking channels. For instance, if criminals in a particular community are obtaining firearms through theft

from lawful firearms owners, law enforcement and community public safety strategies must focus

on reducing theft.16 To the extent that the illegal market in firearms is supplied by transactions at

FFLs in new and secondhand firearms, whether pawnbrokers, other retail dealers, or residential

licensees, an enforcement response to these sources is required.

The records of purchase denials under the Brady Act show that prohibited persons, including

some violent felons, do seek to acquire guns from FFLs.17 This review confirms that retail transactions in new and secondhand firearms with FFLs and unlicensed sellers supply the illegal market,

and also that stolen firearms are trafficked by unlicensed dealers.

Theft as a source of trafficked firearms. Firearms stolen from FFLs, residences, and common carriers were involved in 26 percent of the

trafficking investigations. ATF’s trafficking

investigations show that firearms may be stolen

and subsequently trafficked from a variety of

sources, including FFL dealers, pawnbrokers,

residences, and common carriers. These stolen

firearms may be sold subsequently by individuals and groups specializing in firearms trafficking or by those fencing a variety of stolen

goods.18

16 See e.g. James D. Wright, 1995, “Ten Essential Observations on Guns in America,” Society March/April: 63 – 68;

Philip J. Cook, Stephanie Molliconi, and Thomas B. Cole, 1995, “Regulating Gun Markets,” Journal of Criminal Law

and Criminology 86: 59-92; James D. Wright and Peter H. Rossi, 1994, Armed and Considered Dangerous: A Survey of

Felons and Their Firearms, Expanded Edition, New York: Aldine De Gruyter; Bureau of Justice Statistics. 1993.

“Survey of State Prison Inmates, 1991” Washington, DC: US Department of Justice; Joseph F. Sheley and James D.

Wright. 1993. “Gun Acquisition and Possession in Selected Juvenile Samples.” Research in Brief. Washington, DC:

US Department of Justice.

17 Since the passage of the Brady Act, more than 500,000 prohibited persons have been prevented from buying firearms from FFLs.

18 Two studies conducted in New York suggested that firearms trafficking was an important source of guns for criminals. A review of a 1973 analysis of stolen firearms by the New York City Police Department showed that, beyond

residential burglaries, firearms are stolen from a variety of sources, including burglaries and robberies of manufacturers, licensed dealers, and during shipping, that stolen firearms are sometimes subsequently trafficked by thieves, and

that stolen firearms are rapidly recovered in crime after theft. Steven Brill, 1977, Firearms Abuse: A Research and Policy

Report, Washington, D.C.: Police Foundation. About 40 percent of 22 stolen firearms examined by Brill were recovered in

crime within six months after the theft; Brill rightly cautions against over-interpreting these data due to small sample

size. A 1992 examination of illegal trafficking of firearms into New York City noted that straw purchasers and

corrupt federally licensed dealers illegally divert firearms to criminal consumers. Jeremy Travis and William

Smarrito. 1992, “A Modest Proposal to End Gun Running in America,” Fordham Urban Law Journal 19: 795 – 811.

Firearms Trafficking Channels Identified in ATF Investigations

Retail transactions: straw purchasing, unlicensed sellers, and corrupt FFLs. The most

frequent type of trafficking channel identified

in ATF investigations is straw purchasing from

federally licensed firearms dealers. Nearly 50

percent of the ATF investigations involved

firearms being trafficked by straw purchasers

either directly or indirectly. The investigations

also involve trafficking by unlicensed sellers

(more than 20 percent); by federally licensed

dealers (just under 9 percent); and diversion

from gun shows and flea markets by FFLs or

unlicensed sellers (about 14 percent).
Department of the Treasury, Bureau of Alcohol, Tobacco & Firearms June 2000

FOLLOWING THE GUN: ENFORCING FEDERAL LAWS AGAINST FIREARMS TRAFFICKERS 11

Table 2. Sources of Firearms Trafficking Identified in ATF Investigations

Source Number of Percent

investigations

Firearms trafficked by straw purchaser or straw purchasing ring 709 46.3

Trafficking in firearms by unlicensed sellers* 314 20.5

Trafficking in firearms at gun shows and flea markets 212 13.9

Trafficking in firearms stolen from FFL 209 13.7

Trafficking in firearms stolen from residence 158 10.3

Firearms trafficked by licensed dealer, including pawnbroker 133 8.7

Street criminals buying and selling firearms from unknown sources** 95 6.2

Trafficking in firearms stolen from common carrier 31 2.0

Unlicensed manufacture of common firearms or NFA weapons 16 1.0

Other sources (e.g. selling firearms over Internet, illegal pawning) 18 1.1

Number of investigations included = 1,530

Note: Sum may exceed 100 percent since investigations may be included in more than one category.

* As distinct from straw purchasers and other traffickers.

** These were investigations in the early stages where trafficking channels were not yet fully clear.

Regional variations. Regional variations in the

trafficking channels in ATF investigations

suggest that the illegal market in guns may

operate differently in different areas of the

country. For instance, straw purchasing was

involved in almost two thirds of ATF’s trafficking investigations in its Northeast region, but

closer to a quarter of its trafficking investigations in its Southwest and Western regions.19

However, without additional information, it is

not possible to know whether regional differences reflect differences in investigative practice, in the illegal market, or both.

19 The Northeast region consisted of trafficking investigations submitted by the Boston, New York, Philadelphia,

Baltimore, and Washington, D.C. Field Divisions. The Southeast region consisted of trafficking investigations

submitted by the Charlotte, Miami, Tampa, Atlanta, Nashville, and New Orleans Field Divisions. The Central region

consisted of trafficking investigations submitted by the Chicago, Columbus, Detroit, Kansas City, Louisville, and St.

Paul Field Divisions. The Southwest region consisted of trafficking investigations submitted by the Phoenix, Dallas,

and Houston Field Divisions. The Western region consisted of trafficking investigations submitted by the Los

Angeles, San Francisco, and Seattle Field Divisions.
12 FOLLOWING THE GUN: ENFORCING FEDERAL LAWS AGAINST FIREARMS TRAFFICKERS

June 2000 Department of the Treasury, Bureau of Alcohol, Tobacco & Firearms

Volume of Firearms Diverted, By Trafficking Channel

Straw purchasers and unlicensed sellers. Straw

purchasing rings and small scale straw purchasers averaged about half as many illegally

diverted firearms per investigation (37) as

unlicensed dealers (75), but the two types of

trafficking channels were associated with a

similar number of trafficked firearms overall,

over 20,000.

Stolen firearms. Investigations involving firearms stolen from residences and FFLs were

associated with the smallest mean number of

guns per investigation. Because of the small

number of investigations involving thefts of

firearms from common carriers, this trafficking

channel yielded the smallest total number of

firearms, although it averaged a substantial

number of illegally diverted firearms per investigation.20

20 Common carriers are not required to report thefts to ATF, so relatively few such investigations are initiated. However, ATF will soon propose a regulation that would require FFLs to report firearms lost in shipment.

The types of trafficking channels differ in the

mean number of guns per investigation and the

overall number of guns associated with them.

Trafficking by corrupt FFLs. Licensed dealers,

including pawnbrokers, have access to a large

volume of firearms, so a corrupt licensed dealer

can illegally divert large numbers of firearms.

Although FFL traffickers were involved in the

smallest proportion of ATF trafficking investigations, under 10 percent, FFL traffickers were

associated with by far the highest mean number of illegally diverted firearms per investigation, over 350, and the largest total number of

illegally diverted firearms, as compared to the

other trafficking channels.

Gun shows. Investigations involving gun shows

involved the second highest number of trafficked guns per investigation, over 130, and

were associated with over 26,000 illegally

diverted firearms.
Department of the Treasury, Bureau of Alcohol, Tobacco & Firearms June 2000

FOLLOWING THE GUN: ENFORCING FEDERAL LAWS AGAINST FIREARMS TRAFFICKERS 13

Table 3. Volume of Firearms Diverted, By Trafficking Channel

Source Number of Average Number of

 investigations firearms number of firearms

firearms in more

per than half the

invest.* investigations**

Firearms trafficked by straw purchaser or

 straw purchasing ring 695 25,741 37.0 14

Trafficking in firearms by unlicensed sellers*** 301 22,508 74.8 10

Trafficking in firearms at gun shows and flea markets 198 25,862 130.6 40

Trafficking in firearms stolen from FFLs 209 6,084 29.1 18

Trafficking in firearms stolen from residence 154 3,306 21.5 7

Firearms trafficked by licensed dealer, including

 pawnbroker 114 40,365 354.1 42

Trafficking in firearms stolen from common carrier 31 2,062 66.5 16

Number of investigations included = 1,470

Number of firearms included = 84,128

Note: Sum may exceed 100 percent since investigations may be included in more than one category. Excludes 60

investigations with an unknown number of trafficked firearms.

* Averages were calculated using the mean.

** This measure used the median.

*** As distinct from straw purchasers and other traffickers.
14 FOLLOWING THE GUN: ENFORCING FEDERAL LAWS AGAINST FIREARMS TRAFFICKERS

June 2000 Department of the Treasury, Bureau of Alcohol, Tobacco & Firearms

Federally Licensed Dealers Conspiring With Other Traffickers

investigations involving FFLs often involve a

mixture of channels, including gun shows (31

percent), straw purchasers (28 percent), and

unlicensed sellers (12 percent).

Table 4. Other Trafficking Channels Involved in FFL Trafficking Investigations

Trafficking channels Number Percent

Number of investigations involving FFLs 133 100.0

FFL trafficking alone 48 36.1

Multiple channels 85 63.0

Multiple channels (may be more than one)

Trafficking in firearms at gun shows and flea markets 41 30.8

Firearms trafficked by straw purchaser or straw purchasing ring 37 27.8

Trafficking in firearms by unlicensed sellers* 16 12.0

Trafficking in firearms stolen from residence 6 4.5

Trafficking in firearms stolen from FFLs 3 2.3

Note: Sum may exceed 100 percent since investigations may be included in more than one category.

* As distinct from straw purchasers and other traffickers.

In most firearms trafficking investigations, ATF

agents uncovered only one pathway through

which guns were diverted or trafficked (80.8

percent, 1,237 of 1,530). Firearms trafficking
Department of the Treasury, Bureau of Alcohol, Tobacco & Firearms June 2000

FOLLOWING THE GUN: ENFORCING FEDERAL LAWS AGAINST FIREARMS TRAFFICKERS 15

Federally Licensed Dealers’ Impact on the Volume of Illegal Supply

seller acting alone. When corrupt FFLs act in

conjunction with other types of traffickers, the

average number of guns diverted per investigation increases dramatically when compared to

investigations of gun shows, straw purchasers,

and unlicensed sellers that do not involve

conspiracy with a corrupt FFL.

Table 5. The Influence of FFL Traffickers on the Number of Firearms Trafficked by Straw

Purchasers, Unlicensed Sellers, and at Gun Shows

Source No FFL involvement FFL involvement

Average Average

number number

Number of firearms Number of firearms

of per of per

investigations investigation* investigations investigation*

Firearms trafficked by straw purchaser or

 straw purchasing ring 659 32.8 36 114.8

Trafficking in firearms by unlicensed

 sellers** 285 46.6 16 576.6

Trafficking in firearms at gun shows and

 flea markets 161 87.9 37 316.5

Firearms trafficked by licensed dealer,

 including pawnbroker; no other trafficking

 channels —— —— 48 562.6

Number of investigations included = 1,470.

Note: Sum may exceed 100 percent since investigations may be included in more than one category. Excludes 60

cases with an unknown number of trafficked firearms.

* Averages were calculated using the mean.

** As distinct from straw purchasers and other traffickers.

Licensed firearms dealers’ access to large

volumes of firearms can influence the number

of firearms illegally diverted in investigations

involving gun shows, straw purchasers, and

unlicensed sellers. An unlicensed dealer

conspiring with a corrupt FFL, for example,

may be able to divert larger numbers of firearms to prohibited persons than an unlicensed
16 FOLLOWING THE GUN: ENFORCING FEDERAL LAWS AGAINST FIREARMS TRAFFICKERS

June 2000 Department of the Treasury, Bureau of Alcohol, Tobacco & Firearms

The Business Premises of Licensed Dealers in Trafficking Investigations

randomly selected to examine the type of

business premises maintained by the FFLs

under investigation.

Slightly more than 38 percent were retail

dealers and exactly the same number were

pawn shops; 23 percent were “kitchen table” or

residential dealers. Half of the licensed dealers

who maintained a gun store business premises

also sold firearms at gun shows. One third of

the residential dealers and 20 percent of pawnbrokers also sold firearms at gun shows.

Because of the relatively small sample of cases

examined, this table shows the variety of business premises of licensed dealers engaged in

trafficking, but cannot be used as a basis for

strong inferences about the relative importance

of one type of business premise relative to

another in firearms trafficking investigations.

Table 6. Business Premises of a 20 Percent Random Sample

 of FFLs Involved in Trafficking Investigations

FFL business premises Number Percent Percent of category

of of all selling at

investigations investigations gun shows

Total 26 100.0 35.0

Gun store business premises 10 38.5 50.0

Pawn shop business premises 10 38.5 20.0

Residential business premises 6 23.0 33.3

Note: Since this is a 20 percent sample, it may not be representative of all FFLs.

21 Commerce in Firearms in the United States, February 2000, Department of the Treasury, Bureau of Alcohol, Tobacco

and Firearms.

Enforcement information provides some insight into the relative roles of various elements

of the licensed dealer population. A 1998

random sample of FFLs identified 69 percent

of licensees as retail gun dealers and 10

percent as pawnbrokers. The remaining 21

percent were collectors of curios and relics,

manufacturers of firearms and ammunition,

and importers. Of the retail dealers and

pawnbrokers, 44 percent operated from

commercial premises (a quarter of these were

gun shops or sporting goods and hardware

outlets, while the rest were businesses not

normally associated with a gun business, such

as funeral homes and auto parts stores), and 56

percent from residential premises, down from

74 percent in 1992.21

A 20 percent sample (26 of 133) of FFL trafficking investigations under review here were
Department of the Treasury, Bureau of Alcohol, Tobacco & Firearms June 2000

FOLLOWING THE GUN: ENFORCING FEDERAL LAWS AGAINST FIREARMS TRAFFICKERS 17

Gun Shows and the Diversion of Firearms

22 Gun Shows: Brady Checks and Crime Gun Traces, Department of the Treasury and Department of Justice, January

1999: Table 3.

23 Gun Shows: Brady Checks and Crime Gun Traces, Department of the Treasury and Department of Justice, January

1999: Table 3.

24 Gun Shows: Brady Checks and Crime Gun Traces, Department of the Treasury and Department of Justice, January

1999: Table 4.

diversion of approximately 26,000 firearms.

Trafficking of firearms at and through gun

shows was more prevalent in the trafficking

investigations submitted by the Southwest (22

percent) and Western (21 percent) regions

when compared to trafficking investigations

submitted by the Central (15 percent), Southeast (12 percent), and Northeast (8 percent)

regions of the United States.

A prior review of ATF gun show investigations

shows that prohibited persons, such as convicted felons and juveniles, do personally buy

firearms at gun shows and gun shows are

sources of firearms that are trafficked to such

prohibited persons. The gun show review

found that firearms were diverted at and

through gun shows by straw purchasers, unregulated private sellers, and licensed dealers.22

Felons were associated with selling or purchasing firearms in 46 percent of the gun show

investigations.23 Firearms that were illegally

diverted at or through gun shows were recovered in subsequent crimes, including homicide

and robbery, in more than a third of the gun

show investigations.24

Gun shows are a special case of the retail sale

of firearms. Unlike at other venues, both

federally licensed dealers and unlicensed sellers

sell guns at gun shows. While federally licensed firearms dealers perform background

checks, unlicensed sellers are not required to

do so. Gun shows are also places where buyers

can choose to buy from the primary (firearms

sold by FFLs) or secondary (firearms resold by

unlicensed sellers) firearms markets. Secondhand firearms are far more difficult than new

guns for law enforcement officials to trace to

the most recent seller. This is because secondhand firearms likely have left the hands of

FFLs, who are required to keep records, into

the hands of unlicensed persons who are not

required to keep records. Even if the secondhand guns are resold to an FFL, they are untraceable, because the trace will effectively end

at the last sale in the unbroken chain of licensed sellers. The access to anonymous sales

and large numbers of secondhand firearms

makes gun shows attractive to criminals.

In the ATF trafficking investigations reviewed

here, gun shows were associated with the
18 FOLLOWING THE GUN: ENFORCING FEDERAL LAWS AGAINST FIREARMS TRAFFICKERS

June 2000 Department of the Treasury, Bureau of Alcohol, Tobacco & Firearms

Straw Purchasers and the Diversion of Firearms

Straw purchasers may be the instruments of

criminals or traffickers who obtain the straw

purchaser’s services, or they may be unlicensed

dealers who set out to use their non-prohibited

status to traffick to other persons for a profit.

In other words, the straw purchaser may also

be the trafficker. In 25 percent of the investigations (387 of 1,530), the straw purchasers were

working for traffickers, and in 19 percent of the

investigations (292) the straw purchasers were

the traffickers.25 Straw purchasers were often

friends (45 percent), relatives (23 percent), and

spouses or girlfriends (18 percent) of the firearms traffickers. Almost 28 percent of the

investigations involved a business relationship

where the trafficker paid the straw purchaser

money or drugs to buy firearms. Five percent

of the investigations involved a straw purchaser

who was a member of the same street gang as

the trafficker.

Table 7. Relationships Between Straw Purchaser and Trafficker

Relationship to trafficker Number of Percent

investigations

Friend 173 44.7

Business (paid with money or

 drugs to buy firearms) 107 27.6

Relative 89 23.0

Intimate (spouse or girlfriend) 68 17.6

Member of same gang 21 5.4

Number of investigations included = 387

Note: Sum may exceed 100 percent since investigations may be included in more than one category.

Investigations involving straw purchasers

averaged 37 firearms per investigation, but

because of the large number of investigations

involving straw purchasing (695, 46 percent of

all the trafficking investigations), this trafficking channel was associated with nearly 26,000

illegally diverted firearms. The 550 investigations involving straw purchasers without any

additional trafficking channels averaged 26

illegally diverted firearms per investigation,

and a total of just over 14,000 illegally diverted

firearms. Although the average number of

firearms trafficked per investigation is relatively small when compared to other trafficking channels, illegally diverted firearms associated with straw purchasers represent nearly a

third of the illegally diverted firearms in all

ATF investigations initiated between July 1996

and August 1998. Thus, despite the relatively

small numbers per investigation, straw purchasers represent a significant overall crime

and public safety problem.

25 Table 10, Firearms Traffickers and Felons Identified in Trafficking Investigations.
Department of the Treasury, Bureau of Alcohol, Tobacco & Firearms June 2000

FOLLOWING THE GUN: ENFORCING FEDERAL LAWS AGAINST FIREARMS TRAFFICKERS 19

The Involvement of Juveniles and Youth in ATF Trafficking Investigations

tions involved juveniles obtaining firearms

through thievery or robbery, and nearly a fifth

of these investigations involved juveniles as gun

traffickers.27

Youth were nearly twice as likely as juveniles to

be involved as traffickers, and because of age

restrictions on the purchase of firearms, about

ten times as likely to be involved as straw purchasers as juveniles.28 It has been shown that of

crime guns recovered and traced by law enforcement officials in 27 cities, more were possessed

by 19 year olds than any other age group; crime

guns recovered from 18 year olds ranked second.29

Table 8: The Role of Youth and Juveniles in Trafficking Investigations

Role of Youth Number of Percent

investigations

Possessor 337 53.9

Trafficker 236 37.8

Straw purchaser 149 23.8

Thief /robber of firearms 122 19.5

Number of investigations involving at least one youth = 625

Role of Juveniles Number of Percent

investigations

Possessor 155 74.2

Thief /robber of firearms 53 25.3

Trafficker 40 19.1

Straw purchaser 4 1.9

Number of investigations involving at least one juvenile = 209

26 Performance Report for the Senate and House Committee on Appropriations, Youth Crime Gun Interdiction Initiative, Department of the Treasury, Bureau of Alcohol, Tobacco and Firearms, February 1999. pg. 6.

27 Performance Report for the Senate and House Committee on Appropriations, Youth Crime Gun Interdiction Initiative, Department of the Treasury, Bureau of Alcohol, Tobacco and Firearms, February 1999: Appendix, Table 1.

28 Performance Report for the Senate and House Committee on Appropriations, Youth Crime Gun Interdiction Initiative, Department of the Treasury, Bureau of Alcohol, Tobacco and Firearms, February 1999: Appendix, Table 1.

29 Gun Crime in the Age Group 18-20, the Department of the Treasury and the Department of Justice, June 1999.

Youth (ages 18 – 24) and juveniles (ages 17 and

under) were involved in 42 percent of the ATF

firearms trafficking investigations (648 of

1,530) during this period. ATF published an

analysis of these investigations in the Youth

Crime Gun Interdiction Performance Report in

February 1999.

Juveniles were primarily involved in the trafficking investigations as possessors of firearms,

but they were also involved in the illegal diversion of firearms as firearms traffickers, thieves

or robbers, and straw purchasers of firearms.26

A quarter of the youth and juvenile investiga-
20 FOLLOWING THE GUN: ENFORCING FEDERAL LAWS AGAINST FIREARMS TRAFFICKERS

June 2000 Department of the Treasury, Bureau of Alcohol, Tobacco & Firearms

3-3. Firearms Misuse, Felons, and Trafficking Investigations

Persons prohibited from possessing firearms, including felons, are obtaining guns from the illegal

market. While a case review does not measure the full extent of the use of trafficked firearms by

prohibited persons or in subsequent crimes, ATF’s trafficking investigations show that trafficked

firearms are diverted to prohibited persons and are subsequently used in serious crimes, and that

some felons are heavily involved in firearms trafficking. Thus, investigations that “follow the

crime gun” to its illegal source are not only an effective strategy to disrupt and reduce firearms

trafficking in a community, they also are an effective means to apprehend felons, armed career

criminals, and narcotics traffickers who possess and misuse firearms.

Trafficked Firearms Subsequently Recovered in Crime

percent of the investigations were associated

with assault cases; more than 40 percent involved firearms associated with felon in possession cases; and more than 50 percent of these

investigations involved firearms associated with

illegal possession cases.

Half of the trafficking investigations involved at

least one firearm recovered in crime. More

than 14 percent of the trafficking investigations

were associated with juvenile possession cases;

about 17 percent were associated with homicide and robbery cases, respectively; about 25
Department of the Treasury, Bureau of Alcohol, Tobacco & Firearms June 2000

FOLLOWING THE GUN: ENFORCING FEDERAL LAWS AGAINST FIREARMS TRAFFICKERS 21

Table 9. Known Criminal Uses of Trafficked Firearms

50.4% of the investigations (771 of 1,530) had at least one diverted firearm recovered in a crime.

Crime Number of cases Percent

with at least one

firearm recovered

in a crime

Criminal possession (not felon in possession) 390 50.6

Felon in possession 311 40.3

Drug offense 212 27.5

Assault 194 25.2

Homicide 134 17.4

Robbery 127 16.5

Property crime 116 15.0

Juvenile possession 109 14.1

Sexual assault/ rape 15 1.9

Other crime 42 5.4

Number of investigations included = 771

Note: Sum may exceed 100 percent since investigations may be included in more than one

category.
22 FOLLOWING THE GUN: ENFORCING FEDERAL LAWS AGAINST FIREARMS TRAFFICKERS

June 2000 Department of the Treasury, Bureau of Alcohol, Tobacco & Firearms

The Involvement of Felons in Firearms Trafficking

Altogether, there were 2,670 traffickers identified by ATF agents, of whom 25 percent (669)

were convicted felons. Felons may be identified as straw purchasers for a number of reasons: an FFL may have a felon as an employee;

a felon may be buying from an unlicensed seller

who does not conduct Brady checks; a felon

may have stolen identity papers; and before the

permanent provisions of the Brady Act took

effect in November 1998, no criminal history

checks were conducted for the purchase of long

guns.

Table 10. Firearms Traffickers and Felons Identified in Trafficking Investigations

Role Total number Number of Percent of

of traffickers traffickers traffickers

with felony with felony

 convictions convictions

Firearms thief/ robber 616 205 33.3

Straw purchaser working for trafficker 610 53 8.9

Trafficker is the straw purchaser 338 79 23.3

FFL trafficker* 131 7 5.3

Former FFL 25 0 0.0

Other trafficker 950 325 34.2

Total 2,670 669 25.0

Number of investigations included = 1,530

* May include employees of FFL.

This review shows that convicted felons are

heavily involved in firearms trafficking. Felons

were involved in 45 percent (690 of 1,530) of

the ATF firearms trafficking investigations in

various roles. One third of the thieves and

robbers involved in these investigations had at

least one prior felony conviction, as did nine

percent of straw purchasers working for traffickers, and 24 percent of straw purchasers who

were the sole trafficker, five percent of the FFL

traffickers, and more than a third of other

firearms traffickers, such as unlicensed dealers.
Department of the Treasury, Bureau of Alcohol, Tobacco & Firearms June 2000

FOLLOWING THE GUN: ENFORCING FEDERAL LAWS AGAINST FIREARMS TRAFFICKERS 23

3-4. Characteristics of the Investigations

Most ATF trafficking investigations, 68 percent (1,037 of 1,530), involved the cooperation of State

and/or local law enforcement agencies. Table 11 shows that about 70 percent of the investigations

involved intrastate trafficking, suggesting that where there are applicable State firearms laws,

State and local law enforcement have an important role to play in curbing the illegal market in

firearms. Table 12 shows that most, but not all, gun trafficking investigations involve relatively

small numbers of firearms. Table 13 highlights the relative roles of new, secondhand, and stolen

firearms in trafficking investigations. The chain of ownership and status of a firearm can affect

law enforcement’s ability to identify its illegal supplier. Because of limited recordkeeping and

reporting requirements applicable to stolen and secondhand firearms, the illegal sources of new

crime guns are much easier to investigate.

interstate trafficking, and international trafficking. Intrastate firearms trafficking was involved in 70 percent of the investigations, while

slightly less than half of the investigations

involved interstate firearms trafficking. Twenty

percent of the investigations involved firearms

being trafficked both interstate and intrastate.

Firearms were trafficked internationally in

about 11 percent of the investigations.

Table 11. Interstate, Intrastate, and International Trafficking in ATF Investigations

Destination of trafficked firearms Number Percent

Intrastate 1,072 70.1

Interstate 678 44.3

International (export) 170 11.1

Unknown 53 3.5

Mutually exclusive categories:

Total 1,530 100.0

Intrastate only 696 45.5

Interstate and intrastate 312 20.4

Interstate only 299 19.5

International only 87 5.7

Interstate, intrastate, and international 47 3.1

Intrastate and international 19 1.2

Interstate and international 17 1.1

Unknown 53 3.5

30 Youth Crime Gun Interdiction Initiative Trace Analysis Reports, 27 Communities, Department of the Treasury, Bureau

of Alcohol, Tobacco and Firearms, February 1999.

31 Youth Crime Gun Interdiction Initiative Trace Analysis Reports, 27 Communities, Department of the Treasury, Bureau

of Alcohol, Tobacco and Firearms, February 1999.

Interstate and Intrastate Destinations of Trafficked Firearms

ATF trace analysis reports have documented

that the State in which a community is located

is generally the largest single source of its

traced crime guns.30 The reports also show that

some jurisdictions act as “source” areas (e.g.

Florida and Georgia) of crime guns for other

“market” areas (e.g. New York and Boston).31

The review of investigations shows that firearms traffickers engage in intrastate trafficking,
24 FOLLOWING THE GUN: ENFORCING FEDERAL LAWS AGAINST FIREARMS TRAFFICKERS

June 2000 Department of the Treasury, Bureau of Alcohol, Tobacco & Firearms

Number of Firearms Trafficked in ATF Investigations

Firearms trafficking mainly involves relatively smaller numbers; 43 percent of the investigations

involved 10 firearms or less. Trafficking in large numbers of firearms, however, does occur; the

two largest numbers of firearms reported in connection with a single investigation were 10,000

and 11,000, respectively.

Table 12. Number of Firearms Involved in ATF Trafficking Investigations

Range Number of Percent

investigtions

Total number of investigations 1,530 100.0

Less than 5 354 23.1

5 – 10 308 20.1

11 – 20 279 18.2

21 – 50 286 18.7

51 – 100 139 9.1

101 – 250 67 4.4

251 or greater 37 2.4

Unknown 60 3.9
Department of the Treasury, Bureau of Alcohol, Tobacco & Firearms June 2000

FOLLOWING THE GUN: ENFORCING FEDERAL LAWS AGAINST FIREARMS TRAFFICKERS 25

New, Secondhand, and Stolen Firearms

firearm during this time period could be resold to

and by FFLs, or by unlicensed sellers on the

secondary market, as “used” or “secondhand,”

and subsequently trafficked.

This review shows that investigations involved

the trafficking of new, secondhand, and stolen

firearms. Thus, while trace analysis alone

cannot shed light on the percentage of older

crime guns that are trafficked, ATF investigative experience suggests that trafficking in

secondhand firearms is indeed a significant

crime and public safety problem. While new

firearms figured more prominently, new and

secondhand guns were trafficked together in

about one third of the investigations.

As documented in Table 3, firearms are stolen

from a variety of sources. Depending on the type

of theft involved, stolen firearms may range from

new to quite old. For example, a burglary of a

licensed dealer may yield a cache of new and

secondhand firearms while a residential burglary

or series of home invasions may yield only older

firearms. Both new and secondhand firearms

were stolen and subsequently trafficked, with

secondhand firearms figuring more prominently

among stolen, trafficked firearms.

ATF’s trace analysis in 27 cities suggests that up to

43 percent of traced firearms are new guns that

have moved rapidly from the shelf of an FFL to

recovery by law enforcement in three years or

less, and, therefore, may have been trafficked.32

The mere rapid movement of a firearm does not

confirm that trafficking has occurred, because a gun

may have been purchased by the criminal user or

stolen by the criminal user from an FFL or from the

person who bought the firearm. ATF, therefore,

treats rapid time-to-crime as a trafficking indicator to be investigated with other information.

Focusing exclusively on new guns likely underestimates the true extent of gun trafficking. A

National Tracing Center trace usually ends after

the first retail sale. Following the trail of the gun

further often requires a substantial commitment

of investigative effort by the tracing law enforcement agency, a commitment that is often not

feasible. ATF’s trace analysis reports estimated

that between 57 and 71 percent of all traceable

crime guns in 27 cities were recovered more than

three years after the first retail sale. While a trace

of a crime gun may reveal that it was first sold at

retail ten years before its recovery in crime, it is

nevertheless possible that it was trafficked. The

Table 13. New, Secondhand, and Stolen Firearms in ATF Trafficking Investigations

Type of firearm Number of` Percent

investigations

New firearms 1,120 73.2

Secondhand firearms 899 58.8

Stolen guns 381 24.9

Unknown 27 1.8

Stolen firearms:

Involves at least one new firearm 223 58.5

Involves at least one secondhand firearm 304 79.8

Mutually exclusive categories for new and secondhand firearms:

Total 1,530 100.0

New firearms only 604 39.5

New and secondhand firearms 516 33.7

Secondhand firearms only 383 25.0

Unknown 27 1.8

Note: Sum may exceed 100 percent since investigations may be included in more than one category.

32 Youth Crime Gun Interdiction Initiative Trace Analysis Reports, 27 Communities, Department of the Treasury, Bureau

of Alcohol, Tobacco and Firearms, February 1999. pg. A-3.
26 FOLLOWING THE GUN: ENFORCING FEDERAL LAWS AGAINST FIREARMS TRAFFICKERS

June 2000 Department of the Treasury, Bureau of Alcohol, Tobacco & Firearms

3-5. Characteristics of Case Dispositions

An examination of the characteristics of case dispositions shows two things: first, that ATF is

vigorously enforcing laws against firearms traffickers with the support of Federal and State prosecutors; and second, that persons who traffick in firearms are often not being prosecuted for that

conduct, rather they are being prosecuted for other related conduct.

Violations Reported in ATF Trafficking Investigations

33 Youth Crime Gun Interdiction Initiative Trace Analysis Reports, 27 Communities, Department of the Treasury, Bureau

of Alcohol, Tobacco and Firearms, February 1999. pg 13.

Illegal buying and selling. ATF investigations

uncovered a wide variety of apparent trafficking violations. ATF agents reported an average

of two firearms violations per trafficking investigation and 36 percent of trafficking investigations were reported to have three or more

firearms violations. Most were “selling” violations such as dealing without a license, or

“buying” violations, such as straw purchasing,

but violations involving firearms theft were also

important.

Felons as traffickers. Felons play a significant

role in firearms trafficking. About 23 percent

of the investigations included violations involving convicted felons buying, selling, or possessing firearms.

Obliteration of serial numbers. About six percent of the investigations had violations involving serial number obliteration. Serial number

obliteration is a clear indicator of firearms

trafficking, since the intentional obliteration of

a serial number is intended to make it difficult

for law enforcement officials to trace the firearm through a licensed seller to the first retail

buyer. Other ATF analysis confirms that the

obliteration of serial numbers is a significant

problem; for eight cities with complete crime

gun trace information, an average of 11.4

percent of traced handguns had obliterated

serial numbers.33

Violations by FFLs. A review of the violations

associated with the 133 investigations of licensed dealers revealed a variety of violations,

including failure to keep required records (49

percent), transfers to prohibited persons (26

percent), making false entries in record books

(19 percent), conducting illegal out-of-state

transfers (16 percent), and obliterating serial

numbers (8 percent).
Department of the Treasury, Bureau of Alcohol, Tobacco & Firearms June 2000

FOLLOWING THE GUN: ENFORCING FEDERAL LAWS AGAINST FIREARMS TRAFFICKERS 27

Table 14. Violations in ATF Trafficking Investigations*

Violation Number of investigations Percent

with violation

Straw purchasing 638 41.7

Dealing without a license 486 31.8

Purchase/ possession/ sales by felon 350 22.9

Possession/ receiving/ trafficking stolen firearms 270 17.6

Non-licensee engaging in interstate firearms trafficking 244 15.9

Possession/ manufacture/ trafficking of NFA weapons 234 15.3

Burglary/ theft/ robbery of

 FFL/ common carrier/ manufacturer 205 13.5

Providing false information to acquire firearms 199 13.0

Trafficking - unspecified 135 8.8

International firearms trafficking 105 6.9

Obliterating or altering serial numbers 96 6.3

Sales to prohibited persons, including felons 89 5.8

Purchase/ possession/ sales by prohibited persons** 79 5.2

FFL failure to keep required records 66 4.3

Use of firearm during violent crime or drug trafficking 42 2.7

FFL transfer to prohibited persons 39 2.5

FFL making false entries in records 26 1.7

FFL conducts illegal out-of-state transfer 26 1.7

Trading firearms for drugs 26 1.7

Providing firearm to be used in violent/ drug crime 20 1.3

Trafficking/ possession by illegal alien 15 1.0

Providing firearms to juveniles 13 0.8

Non-licensee trafficking to felons 12 0.8

Transfer/ receive firearms through interstate

 commerce w/intent to commit felony 12 0.8

Armed career criminal 11 0.7

Failure to notify common carrier of firearms shipment 11 0.7

Possession/ manufacture/ transfer

 of illegal assault weapon 8 0.5

Other FFL violations (selling away from premises,

 failure to report multiple sales, failure to conduct

 Brady check, using false info to acquire FFL) 7 0.5

Possession/ manufacture of unregistered firearms 7 0.5

Unspecified violation(s) 8 0.5

Number of investigations included = 1,530

Note: Sum may exceed 100 percent since investigations may be included in more than one category.

* Violations were observed but not necessarily presented as charges for prosecution.

** As distinct from felons; includes juveniles, illegal aliens, and other prohibited persons.
28 FOLLOWING THE GUN: ENFORCING FEDERAL LAWS AGAINST FIREARMS TRAFFICKERS

June 2000 Department of the Treasury, Bureau of Alcohol, Tobacco & Firearms

There were 133 ATF investigations (8.7 percent

of 1,530) that involved the illegal diversion of

firearms by a federally licensed firearms dealer

(FFL). A variety of FFL violations were revealed in these investigations. Nearly half (48.9

percent, 65 of 133) of the licensed dealer investigations involved the failure to keep required

records by an FFL. Slightly more than a quarter of the ATF investigations (26.3 percent, 35

of 133) involved FFLs transferring firearms to

prohibited persons such as felons and juveniles.

FFLs made false entries in their acquisition and

disposition record book in almost a fifth of the

ATF investigations (18.8 percent, 25 of 133) and

conducted illegal out-of-state transfers of

firearms in about 16 percent of the ATF investigations (15.8 percent, 21 of 133). ATF investigations involving corrupt FFLs were associated

with many other types of firearms offenses

including NFA violations (24.8 percent, 33 of

133), straw purchasing (24.1 percent, 32 of

133), and dealing without a license (18.8 percent, 25 of 133). Although corrupt FFLs are

relatively rare, they are associated with the

diversion of large volumes of firearms. While

some violations committed by FFLs are felony

offenses, two common FFL violations — failure

to keep required records and making false

entries in records — are misdemeanor offenses.

Violations in ATF Trafficking Investigations Involving FFLs
Department of the Treasury, Bureau of Alcohol, Tobacco & Firearms June 2000

FOLLOWING THE GUN: ENFORCING FEDERAL LAWS AGAINST FIREARMS TRAFFICKERS 29

Table 15: Violations in ATF Trafficking Investigations Involving FFLs*

Violation Number Percent

FFL failure to keep required records 65 48.9

FFL transfer to prohibited persons 35 26.3

Possession/ manufacture/ trafficking of NFA weapons 33 24.8

Straw purchasing 32 24.1

Dealing without a license 25 18.8

FFL making false entries in records 25 18.8

FFL conducts illegal out-of-state transfer 21 15.8

Purchase/ possession / sales by felon 16 12.0

Trafficking - unspecified 14 10.5

International firearms trafficking 13 9.8

Sales to prohibited persons 13 8.8

Providing false information to acquire firearms 11 8.3

Obliterating or altering serial numbers 10 7.5

Possession/ receiving/ trafficking stolen firearms 9 6.8

Other FFL violations (selling away from premises,

 failure to report multiple sales, failure to conduct

 Brady check, using false info to acquire FFL) 7 5.3

Non-licensee engaging in interstate firearms trafficking 6 4.6

Trading guns for drugs 4 3.0

Receipt/ possession/ sales by prohibited persons 3 2.3

Use of firearm during violent crime or drug

 trafficking 3 2.3

Burglary/ theft/ robbery of

 FFL/ common carrier/ manufacturer 2 1.6

Providing firearm to be used in violent/ drug crime 2 1.5

Possession/ manufacture/ transfer of

 illegal assault weapon 2 1.5

Trafficking/ possession by illegal alien

 providing firearms to juveniles 1 0.8

Transfer/ receive firearms through interstate

 commerce w/intent to commit felony 1 0.8

Failure to notify common carrier of firearms

 shipment 1 0.8

Possession/ manufacture of unregistered firearms 1 0.8

Unspecified violation(s) 2 1.5

Number of investigations involving FFLs = 133

Note: Sum may exceed 100 percent since investigations may be included in more than one category.

* Violations were observed but not necessarily presented as charges for prosecution.
30 FOLLOWING THE GUN: ENFORCING FEDERAL LAWS AGAINST FIREARMS TRAFFICKERS

June 2000 Department of the Treasury, Bureau of Alcohol, Tobacco & Firearms

National Firearms Act Violations

The National Firearms Act (NFA) regulates the

manufacture, importation, transfer, and possession of specific types of firearms and other

weapons that are considered particularly dangerous. Of the trafficking investigations, 15

percent involved NFA violations. Of these, 45

percent involved machine guns, 35 percent

involved sawed-off shotguns and/or short-barrel

firearms, 23 percent involved silencers, and

about 17 percent involved firearms converted to

fully automatic.

Table 16. Weapons Associated with NFA Violations in ATF Trafficking Investigations

NFA weapon Number of investigations Percent

with at least one

Machine guns 105 44.9

Sawed-off shotguns/

 short-barrel rifles & shotguns 82 35.0

Silencers 54 23.1

Converted guns 40 17.1

Conversion kits/ parts 21 9.0

Other explosives (e.g. blasting caps) 18 7.7

Grenades/ Grenade launchers 12 5.1

Number of investigations involving NFA violations = 234 (15.3 percent of 1530)

Note: Sum may exceed 100 percent since investigations may be included in more than one

category. However, “converted guns” have not been included in the “machine gun” count.
Department of the Treasury, Bureau of Alcohol, Tobacco & Firearms June 2000

FOLLOWING THE GUN: ENFORCING FEDERAL LAWS AGAINST FIREARMS TRAFFICKERS 31

Recommendations for Prosecution

A variety of reasons were given by the ATF agents to

explain why investigations (440) were not recommended for prosecution at the time of the supplementary survey. In less than 30 percent of the

investigations not recommended for prosecution

(121), the ATF agent stated that there was no potential for charges to be made against the defendant(s)

in the case. Slightly less than 18 percent of the

investigations (78) were not recommended for

prosecution by ATF agents because there was

insufficient evidence for prosecution at the time of

the supplemental survey. Nearly 18 percent of the

investigations not recommended for prosecution

(77) were described as active ongoing investigations.

Table 17. ATF Trafficking Investigations Recommended for Prosecution

Number of Percent

investigations

Investigations, total 1,530 100.0

Not recommended for prosecution 440 28.7

Recommended for prosecution 1,090 71.3

Recommended 100.0

to the U.S. Attorney’s Office 962 88.2

to State/ local prosecutor 101 9.3

to both 27 2.5

Reason for not recommending Number of Percent of 440

investigations

Total 440 100.0

No potential for charges 121 27.5

Insufficient evidence/ unable to substantiate violation 78 17.8

Investigation is still ongoing 77 17.5

Case was closed by ATF Field Division 34 7.7

Defendant(s) charged and prosecuted for other crimes

 before firearms trafficking investigation was developed 27 6.1

Investigation was transferred to another jurisdiction 16 3.6

Charges are forthcoming 9 2.0

Suspects were given a warning for violations without

 prosecution 8 1.8

Investigation was consolidated with another investigation 6 1.4

Confidential informant broke/ lost contact with defendant(s) 5 1.1

Investigation didn’t progress because confidential informant

 was unreliable 4 0.9

No criminal intent by defendant(s) was found 4 0.9

Other reasons 23 5.2

Unspecified reasons 28 6.3

Of the investigations initiated from July 1996

through December 1998, ATF agents recommended

almost three-fourths of the firearms investigations

for prosecution (1,090 of 1,530). Nearly 90 percent

(962) of these 1,090 investigations were recommended to a U.S. Attorney’s Office for prosecution,

while slightly less than ten percent (101) were

recommended to a State or local prosecutor for

prosecution. Almost three percent (27) had some

defendants in the case recommended to the U.S.

Attorney’s Office for prosecution and other defendants recommended to a State or local prosecutor

for prosecution.
32 FOLLOWING THE GUN: ENFORCING FEDERAL LAWS AGAINST FIREARMS TRAFFICKERS

June 2000 Department of the Treasury, Bureau of Alcohol, Tobacco & Firearms

Status of Investigations Recommended for Prosecution

percent of the investigations were fully adjudicated, while an additional five percent had

some defendants fully adjudicated and other

defendants not fully adjudicated. Thirty-six

percent of the cases were not yet fully adjudicated and only two percent were on appeal.

Table 18. Status of Trafficking Investigations Accepted for Prosecution

Status Number Percent

Total 975 100.0

Fully adjudicated 558 57.2

Not fully adjudicated 351 36.0

Some defendants adjudicated, some not 46 4.7

Case is on appeal 20 2.1

Ninety percent of the investigations (975 of

1,090) recommended for prosecution were

accepted for prosecution; only 10 percent (115)

were declined. Table 18 presents the status of

the cases accepted for prosecution at the time

of the supplementary survey. More than 57
Department of the Treasury, Bureau of Alcohol, Tobacco & Firearms June 2000

FOLLOWING THE GUN: ENFORCING FEDERAL LAWS AGAINST FIREARMS TRAFFICKERS 33

Federal Charges Against Defendants Recommended for Prosecution in Trafficking

Investigations

eight percent were charged with aiding and

abetting violations.

Other charges. Other defendants were charged

with offenses not necessarily related on their face

to firearms trafficking or firearms crime generally. Fully one quarter of the defendants were

charged with being a convicted felon in possession of a firearm; another six percent were

charged with other prohibited person violations.

Over 27 percent were charged with conspiracy

and over 12 percent with narcotics violations.

Table 19. ATF Description of Charges Against Defendants in Trafficking Investigations

Recommended for Federal Prosecution

Charge category Number of Percent

defendants

Conspiracy to violate Federal law 441 27.7

Making false statements to acquire firearms 439 27.6

Convicted felon in possession of firearm (includes Armed Career Criminal) 408 25.6

Dealing in firearms without a license 290 18.2

Theft of firearms/ Possession of stolen firearms/ Sale of stolen firearms 238 15.9

Illegal possession/ Transfer / Manufacture of NFA weapons 216 13.5

Narcotics violations 192 12.1

Aiding and Abetting in the violation of Federal law 122 7.7

User of a firearm during a drug crime 100 6.3

Possession of firearm by prohibited person (juvenile, drug user,

 illegal alien, restraining order, under indictment) 95 6.0

Interstate firearms trafficking 92 5.8

Sale of firearms to out-of-state resident 69 4.3

Possession/ shipping/ transporting a firearm with obliterated serial numbers 63 4.0

Failure to maintain ledger/ falsifying paperwork/ sale of firearms in

 violation of Brady law/ sale of firearms without noting purchaser’s name, age, etc. 50 3.1

Selling firearms to convicted felon 35 2.2

Transfer of firearm to prohibited person (juvenile,

 illegal alien, restraining order, under indictment) 33 2.0

International firearms trafficking 28 1.8

Transfer of a firearm to be used in a violent crime 19 1.2

Other/ unspecified Federal violation 101 6.3

Number of defendants in the investigations recommended for prosecution = 1,593

Note: Since defendants can be charged with more than one type of crime, these categories are not mutually exclusive.

There were 1,787 defendants in the 1,090 firearms trafficking investigations recommended for

prosecution by ATF agents. Almost 90 percent of

these defendants faced Federal charges (1,593).

Trafficking-related charges. Some of the defendants were charged with offenses related on their

face to firearms trafficking: 28 percent were

charged with making false statements to acquire

firearms, and about 18 percent were charged with

dealing in firearms without a license. Nearly 28

percent of the defendants were charged with

conspiracy to violate Federal laws and another
34 FOLLOWING THE GUN: ENFORCING FEDERAL LAWS AGAINST FIREARMS TRAFFICKERS

June 2000 Department of the Treasury, Bureau of Alcohol, Tobacco & Firearms

State Number Percent

Geographic Distribution of Federal Prosecutions

Trafficking defendants were recommended for prosecution to U.S. Attorney’s Offices in Federal

courts covering 48 States, the District of Columbia, and Puerto Rico.

Table 20. States in which ATF Recommended Federal Prosecution of

Defendants in Trafficking Investigations

State Number Percent

Alabama 7 0.4

Alaska 4 0.3

Arkansas 5 0.3

Arizona 21 1.3

California 54 3.4

Colorado 19 1.2

Connecticut 8 0.5

DC 16 1.1

Delaware 17 1.1

Florida 97 6.1

Georgia 98 6.2

Hawaii 2 0.1

Iowa 7 0.4

Illinois 24 1.5

Indiana 53 3.3

Kansas 6 0.4

Kentucky 23 1.4

Louisiana 23 1.4

Massachusetts 43 2.7

Maryland 24 1.5

Maine 17 1.1

Michigan 25 1.6

Minnesota 4 0.3

Missouri 26 1.6

Mississippi 13 0.8

Montana 1 0.1

North Carolina 91 6.5

North Dakota 16 1.0

Nebraska 8 0.5

New Hampshire 11 0.7

New Jersey 17 1.1

New Mexico 12 0.9

Nevada 10 0.6

New York 134 9.4

Ohio 37 2.3

Oklahoma 24 1.5

Oregon 21 1.3

Pennsylvania 143 9.0

Rhode Island 13 0.8

South Dakota 9 0.6

Tennessee 23 1.4

Texas 124 8.9

Utah 2 0.1

Virginia 101 6.3

Vermont 12 0.8

Washington 29 1.8

Wisconsin 33 2.1

West Virginia 27 1.7

Wyoming 2 0.1

Unspecified State 5 0.3

Puerto Rico 3 0.2

Number of defendants = 1,593
Department of the Treasury, Bureau of Alcohol, Tobacco & Firearms June 2000

FOLLOWING THE GUN: ENFORCING FEDERAL LAWS AGAINST FIREARMS TRAFFICKERS 35

Disposition of Defendants Recommended for Prosecution

Adjudication. Nearly 61 percent of the defendants

recommended for prosecution were fully adjudicated at the time of the supplemental survey

(1,083 of 1,787). Only 3 percent of the 1,083 fully

adjudicated defendants were found not guilty or

were dismissed. The ATF agents knew the sentencing outcome for all but slightly more than

seven percent of the sentenced defendants at the

time of the survey (77 of 1,048).

Incarceration and fine. Nearly 78 percent of these

defendants (812) received a term of incarceration.

Slightly more than 7 percent of the incarcerated

defendants also received a fine (60 of 812). The

fines ranged from $50 to $40,000.

Term of incarceration. Of the 812 incarcerated

defendants, 9 percent received a term that was

more than 10 years with some receiving life

imprisonment; 26 percent received a term that

was more than four years but no more than 10

years; 26 percent received a term that was more

than two years but no more than four years; 22

percent received a term that was more than one

year but no more than two years, and 17 percent received a term of one year or less. The

average sentence imposed on those incarcerated

was about nine years of imprisonment, resulting in a total of 7,420 years in prison.

Probation. About 15 percent of the defendants

who were sentenced received a term of probation

(155 of 1,048). Of the 155 defendants who received probation, 23 percent received a term of

more than four years but less than eight years,

almost 33 percent received a term of more than

two years but no more than four years; nearly

30 percent received a term that was more than

one year but no more than two years; and

nearly 13 percent received a term of one year or

less.

Table 21. Disposition of Defendants in Trafficking Investigations Accepted for Prosecution

Status Number of defendants Percent

Accepted for prosecution 1,787 100.0

Not fully adjudicated 704 39.4

Fully adjudicated 1,083 60.6

Of those fully adjudicated 1,083 100.0

Guilty 1,048 96.7

Not guilty or dismissed 35 3.2

Disposition, total 1,048 100.0

Incarceration 812 77.5

Probation 155 14.8

Home confinement (w/o probation period) 4 0.4

Unknown sentence 77 7.3

Sentence length

Incarcerated, total 812 100.0

12 months or less 138 17.0

13 – 24 months 176 21.7

25 – 48 months 207 25.5

49 – 120 months 210 25.9

121 months – Life 75 9.2

Unknown length 6 0.8

Fine in addition to incarceration 60 7.4

Probation, total 155 100.0

12 months or less 20 12.9

13 – 24 months 46 29.7

25 – 48 months 51 32.9

49 – 96 months 36 23.2

Unknown length 2 1.3

Fine in addition to probation 16 10.3

Home confinement in addition to probation 19 12.3
Department of the Treasury, Bureau of Alcohol, Tobacco & Firearms June 2000

4. EXAMPLES OF GUN TRAFFICKERS AND

THEIR SENTENCES

Residential FFL Trafficker

From August 1993 to March 1996, an FFL in

Kansas City, Missouri, illegally sold 1,357

firearms, many from his van, over 200 of which

were recovered at crime scenes in Kansas City.

The firearms were primarily Lorcin and Bryco

handguns. The FFL was charged with making

sales in violation of State law; recordkeeping

violations, and sale to a convicted felon. He

entered a guilty plea on May 16, 1996, in the

Western District of Missouri (Kansas City) and

was sentenced on September 26, 1996, to 71

months’ incarceration. This sentence was an

upward departure; the sentencing guidelines

called for a range of 37 to 46 months.

Gun Store Trafficker

Through Project LEAD, an investigation was

initiated in July 1997, when two firearms,

recovered in the Bronx, New York, were traced

to an FFL in Suffolk County, New York. The

investigation revealed that the FFL received a

total of 207 firearms from a wholesaler that

were then sold as part of an intrastate firearms

trafficking operation. Thus far, five firearms

have been recovered from crime scenes: four in

New York City and one in Maryland. According

to the FFL, the guns’ serial numbers were removed

by a co-conspirator in the Bronx, which accounted

for the lack of additional known recovered firearms.

In July, 1999, the FFL pled guilty to Criminal Sale

of a Firearm, 2nd degree, a class “C” felony, in

Suffolk County Court. On that same date, he

was sentenced to 42 to 84 months in State prison.

FFL and Interstate Trafficker

This investigation began in March 1996 when a

firearm recovered from a Washington, DC

youth, charged with illegal possession of a

firearm, was traced by the Washington, DC

Metropolitan Police Department, after the ATF

National Laboratory successfully raised the

serial number. The paper trail led to a gun

dealer in Missouri and later to a Nashville,

Tennessee, gun trafficker who sold 200-300

guns on the streets of the Nation’s capital. To

date, 138 semiautomatic firearms originally

sold by the Missouri Federal firearms licensee

have been recovered in crimes in the Washington, DC. area ranging from nine murders to

kidnapping, robbery, attempted murder, armed

assault, drugs, and burglary. One of those

firearms was used by a gang member to fatally

wound a patient being transported to the

hospital for treatment of wounds inflicted

minutes earlier by the same gunman. On June

2, 1997, the Nashville gun trafficker pled guilty

to Federal firearms trafficking charges. On

August 22, 1997, he was sentenced to 60

months’ imprisonment and 3 years’ supervised

release by the United States District Court in

Nashville, Tennessee. During sentencing, the

Federal judge referred to the defendant as a

“dealer in death.”

Straw Purchasers/Interstate

Traffickers

This investigation was initiated in January 1998

by the ATF/ New York Police Department firearms trafficking task force. Between September

1997 and January 1998, two traffickers transported approximately 90 firearms from Georgia

to New York. On February 5, 1998, members of

the task force, accompanied by special agents

from the Savannah, Georgia, field office, conducted surveillance on the subjects as they transported 11 firearms from Augusta, Georgia, to

New York City. The two suspects were charged

with illegally transporting firearms interstate and

unlicensed dealing in firearms and conspiracy.

One was sentenced on December 18, 1998, to 18

months’ incarceration, and the other was sentenced on July 24, 1998 to 6 months’ home detention and 5 years’ probation.

FOLLOWING THE GUN: ENFORCING FEDERAL LAWS AGAINST FIREARMS TRAFFICKERS 37
38 FOLLOWING THE GUN: ENFORCING FEDERAL LAWS AGAINST FIREARMS TRAFFICKERS

June 2000 Department of the Treasury, Bureau of Alcohol, Tobacco & Firearms

Straw Purchaser/Intrastate Trafficker

This investigation was initiated in June of 1997

by ATF in Atlanta, Georgia. During a 9-month

period, a straw purchaser had purchased more

than 62 firearms in the Atlanta metropolitan

area. These firearms were purchased for a

defendant, who in turn sold the firearms on the

streets of Atlanta. The straw purchaser was

convicted and sentenced to 24 months to be

served in boot camp. She testified in court that

she had provided more than 200 firearms to the

other trafficker. On June 5, 1998, the other

trafficker pled guilty to violations of unlicensed

dealing in firearms and possession of a firearm

by a prohibited person, and was sentenced to

105 months in Federal prison.

Traffickers in Firearms Stolen From

Gun Store Dealer

On November 17, 1996, more than 100 firearms

were stolen from a pawn shop in Nashville,

Tennessee. On November 18, 1996, two suspects were arrested when an Ohio State Police

Highway Patrol Officer stopped their vehicle

and recovered more than 73 of the firearms, as

well as several other weapons. One suspect

later pled guilty to possession of the stolen

firearms.

Several of the remaining firearms that were

trafficked by the suspects were recovered in

separate incidents: In March 1997, an ATF

investigation into the murder of a nightclub

owner in Detroit, Michigan, resulted in the

recovery of a Llama semiautomatic pistol that

had been obtained by the victim. Subsequently,

an associate of the murder victim surrendered

another firearm, a Sturm Ruger 9mm semiautomatic pistol. Another of the pawn shop

firearms (a Glock Model 26 9mm semiautomatic pistol) was recovered at the scene of a

quadruple homicide in Nashville, Tennessee, on

July 26, 1997.

On September 4, 1997, one of the two possessors of the stolen firearms received a pretrial

diversion, later dismissed, by pleading to possession of stolen firearms. The other possessor

was sentenced to 57 months in prison and 3

years’ supervised probation for violation of

possession of stolen firearms and previously

convicted felon in possession.

Traffickers in Firearms Stolen From

Residences

The defendants were a group of young men

who committed first commercial, then residential burglaries. The defendents stole entire gun

safes out of homes and then cut them open

inside a mini-storage unit they had rented. The

suspects became increasingly bolder and more

violent, ultimately committing a home invasion

in which the female victim was tied up and her

house robbed. Several stolen firearms were

recovered during the ATF investigation, which

involved approximately 200 firearms. Agents

executed numerous search warrants which

resulted in the recovery of several stolen firearms. Because of the fact that serial numbers

were not available on most of the firearms

reported as stolen from the residential burglaries, it is not known whether they have been

recovered or not. The investigation revealed

that the defendants traded these stolen firearms

for narcotics or sold them for cash to unknown

individuals. All defendants prosecuted were

convicted or pled guilty and received a range of

prison sentences from 33 to 300 months; two

defendants were required to pay restitution of

over $1 million.

Traffickers in Firearms Stolen From

Common Carrier

On August 19, 1996, ATF special agents in

Wilmington, Delaware, arrested a defendant for

receipt of a large quantity of firearms stolen by

another defendant, who had been arrested for

the theft of 390 Llama firearms from an interstate shipment. Interviews with the thief

yielded information regarding the identity and

role of the recipient of the guns, who was

subsequently arrested. (A third principal was
Department of the Treasury, Bureau of Alcohol, Tobacco & Firearms June 2000

FOLLOWING THE GUN: ENFORCING FEDERAL LAWS AGAINST FIREARMS TRAFFICKERS 39

arrested on August 14 for storing two cartons of

the firearms.) On January 8, 1997, the recipient pled guilty to violation of possession of

stolen firearms. He was sentenced to 33

months’ incarceration on April 16, 1997. The

thief was sentenced to 15 months’ incarceration

and 5 years’ probation on January 20, 1998.

Straw Purchasers and International

Traffickers

In 1996, ATF initiated an investigation following a seizure by the Colombian National Police

of 17 MAK-90 firearms from a group of guerillas. The firearms were traced to several individuals in the Miami area, who had purchased

103 firearms from different licensed dealers

and trafficked them to Colombia. Two suspects

charged with making false statements were

both sentenced to one year in prison, followed

by deportation.

Licensed and Unlicensed Dealers

Trafficking at Gun Shows

In 1996, ATF initiated an investigation of an

unlicensed firearms dealer and convicted felon

who was using straw purchasers to acquire

large numbers of firearms for subsequent sale

to nonresidents. The primary suspect offered

to sell agents an unlimited number of firearms,

including fully automatic weapons and silencers.

Agents determined that the primary suspect

had illegally trafficked more than 1,000 firearms during the past several years. Some of

the firearms involved in this investigation were

purchased at gun shows. One of the firearms

was recovered from the scene of a shootout in

Guadalajara in which two Mexican military

officials were killed by drug traffickers. In

1997, another firearm was recovered during the

search of the apartment of a former Mexican

drug czar following his arrest for drug-related

activities. Also under investigation were two

federally licensed dealers suspected of selling

stolen firearms, allowing individuals to straw

purchase guns from them, and transferring

firearms “off-the-book.” Many of these transactions involved Mexican nationals.

In March 1998, the primary suspect was convicted of possession of an unregistered NFA

firearm and sentenced to 78 months in prison,

and an additional suspect, who was involved

with straw purchasing firearms, was sentenced

to 3 years’ probation. In February and April

1998, the two licensed dealers were sentenced

to 4 and 3 years’ probation, respectively.
Department of the Treasury, Bureau of Alcohol, Tobacco & Firearms June 2000

5. ENFORCEMENT LESSONS LEARNED

FROM FIREARMS TRAFFICKING

INVESTIGATIONS

ATF’s review of trafficking investigations permits ATF to identify some of the important channels

through which criminals are obtaining firearms, and provide insights into how they work. It also

demonstrates that law enforcement can be successful in uncovering the illegal sources of firearms

in a community and in holding gun traffickers accountable for their crimes. There are, however,

challenges in enforcing the Federal firearms laws against gun traffickers.

firearms. Gun show investigations involved

both FFL traffickers and unlicensed dealers.

Straw purchasers. Straw purchasing rings and

small scale straw purchasers comprised nearly

50 percent of the trafficking investigations, by

far the largest number of trafficking investigations, and although the average number of guns

per investigation was under 40, they accounted

for nearly 26,000 trafficked firearms, about the

same number of firearms as gun show investigations. Straw purchasers may be friends, paid

associates, relatives, intimates, or members of

the same gang.

Trafficking by unlicensed sellers. Unlicensed

sellers (not associated with gun shows and not

straw purchasers) were the focus of about 20

percent of the investigations, involving over

22,000 trafficked firearms, and about 75 guns

per investigation.

Trafficking in stolen firearms. Survey evidence

indicates there are at least 500,000 firearms

stolen annually from residences.35 It is, therefore, not surprising that some of these firearms

are circulating in the illegal market, as are guns

stolen from FFLs and common carriers. Trafficking investigations involving firearms stolen

from residences, FFLs, and common carriers

combined made up about a quarter of the

trafficking investigations, and were associated

with over 11,000 trafficked firearms. Because

of the small number of investigations involving

5-1. Channels of Illegal Supply

ATF’s review of recent trafficking investigations

clearly demonstrates that many firearms are

diverted from legal commerce through a variety

of illegal channels that law enforcement agencies can target effectively to reduce criminal

and juvenile access to firearms.

Trafficking by corrupt FFLs. Although FFL

traffickers were involved in the smallest proportion of ATF trafficking investigations, under 10

percent, cases involving FFL traffickers were

associated with the largest total number of

illegally diverted firearms, over 40,000, as

compared to the other trafficking channels.34

All investigations involving FFL traffickers were

associated with by far the highest average

number of guns per investigation, over 350.

But this number rose to over 560 guns in investigations of FFLs acting alone, and to over 575

guns when FFLs conspired with unlicensed

sellers. Trafficking cases involved retail firearms dealers, pawnbrokers, and residential

FFLs.

Gun shows and flea markets. Gun shows and

flea markets are a major venue for illegal

trafficking. About 14 percent of the investigations involved gun shows and flea markets.

These investigations involved an average of 130

guns, the second highest number of trafficked

guns per investigation, and were associated

with approximately 26,000 illegally diverted

34 Firearms may be trafficked along multiple channels; therefore, an investigation may be included in more than one of

the categories described.

35 Philip J. Cook and Jens Ludwig, Guns In America, Police Foundation, 1996.

FOLLOWING THE GUN: ENFORCING FEDERAL LAWS AGAINST FIREARMS TRAFFICKERS 41
42 FOLLOWING THE GUN: ENFORCING FEDERAL LAWS AGAINST FIREARMS TRAFFICKERS

June 2000 Department of the Treasury, Bureau of Alcohol, Tobacco & Firearms

thefts of firearms from common carriers, about

2 percent of the investigations, this trafficking

channel yielded the smallest total number of

firearms, although it averaged a substantial

number of illegally diverted firearms per investigation, over 66.

Regional variations. Regional variations in the

trafficking channels in ATF investigations

suggest that the illegal market in guns may

operate differently in different areas of the

country. For instance, straw purchasing was

involved in almost two thirds of ATF’s trafficking investigations in its Northeast region, but

closer to a quarter of its trafficking investigations in its Southwest and Western regions.

Without additional information, it is not possible to know whether regional differences

reflect differences in investigative practices, the

illegal market, or both. ATF trace analysis also

reveals differences in crime gun patterns

among different cities.36

5-2. Impact of Enforcement

Convicted felons as traffickers. Although primarily aimed at the illegal supplier, about 45

percent of the trafficking investigations involved convicted felons in various roles. About

23 percent of the investigations included violations involving convicted felons buying, selling,

or possessing firearms. Altogether, a quarter

(669) of the traffickers identified in the investigations were convicted felons. A key finding of

this report is that trafficking investigations lead

to the apprehension of armed violent criminals,

who are also important suppliers of the illegal

market in guns.

Reducing criminal access to guns. These “criminals behind the criminal” were collectively

responsible for the trafficking of over 84,000

firearms. Half of the trafficking investigations

involved guns known to be used in other types

of crime, including felony possession, drug

offenses, homicide, assault, and robbery. ATF

estimates that trafficking investigations result

in the actual seizure of about a quarter of the

firearms ultimately shown to be trafficked by

the targets. By arresting firearms traffickers,

the number of firearms easily available to

violent offenders can be reduced.

Enforcement successes. The Gun Control Act

proscribes and penalizes illegal trafficking.

ATF, supported by prosecutors, is enforcing

the laws aggressively. ATF recommended

almost three-fourths of the trafficking investigations for prosecution, nearly 90 percent to a

U.S. Attorney, and the remainder to State and

local prosecutors. Of these, 90 percent (over

1,700 defendants) were accepted for prosecution. Of the over 60 percent of the defendants

who were fully adjudicated at the time of the

survey, only 3 percent were found not guilty or

dismissed. Over three-quarters of the defendants found guilty were sentenced to terms of

incarceration, from sentences ranging from 12

months or less to life in prison. Altogether, as

a result of these investigations, 828 defendants

were sentenced to a cumulative 7,420 years in

prison.

Necessity of regulatory enforcement. The major

role played by FFLs as traffickers supplying

the illegal market — from gun stores, pawnbrokers, gun shows, and residences, alone and

in combination with straw purchasers and

unlicensed sellers — confirms the need for a

focused regulatory inspection and enforcement program based on trafficking and related

indicators of potential illegal activity. Such a

program has been initiated by ATF, and has

been described in a report on regulatory

enforcement published earlier this year by

ATF.37

36 Crime Gun Trace Analysis Reports: The Illegal Youth Firearms Markets in 27 Communities, Youth Crime Gun Interdiction Initiative, Department of the Treasury, Bureau of Alcohol, Tobacco and Firearms, February 1999.

37Commerce in Firearms in the United States, February 2000, Department of the Treasury, Bureau of Alcohol, Tobacco

and Firearms.
Department of the Treasury, Bureau of Alcohol, Tobacco & Firearms June 2000

FOLLOWING THE GUN: ENFORCING FEDERAL LAWS AGAINST FIREARMS TRAFFICKERS 43

5-3. Enforcement Issues

Systematic review of ATF’s investigative experience led to some startling findings. While ATF

agents and their State and local partners are

successfully identifying firearms traffickers,

U.S. Attorneys are accepting a high percentage

of the cases, and juries are bringing in guilty

verdicts, persons who traffick in firearms are

often not being prosecuted for that conduct;

instead, they are being prosecuted for other

related conduct. Moreover, the penalties available for many corrupt FFLs who traffick hundreds of firearms, may be limited to misdemeanor recordkeeping violations. In addition,

a trafficker who trafficks 100 guns is subject to

the same penalty as the straw purchaser who

transfers 5 guns.

Obstacles to prosecution of straw purchasers and

unlicensed dealers. Of the 638 investigations

(41.7 percent of 1,530) where ATF agents reported that straw purchasing violations were

occurring, a total of 427 were recommended for

prosecution and not declined by the prosecutor

(67 percent of 638; 51 were declined and 160

were still ongoing). The prosecutor charged at

least one defendant with making false statements to acquire firearms in 190 of the 427

cases accepted for prosecution in which ATF

agents reported straw purchasing was occurring.

Of the 486 investigations (31.8 percent of 1,530)

where ATF agents reported that dealing without

a license violations were occurring, a total of

296 of these investigations were recommended

for prosecution and accepted by the prosecutor

(61 percent of 486; 37 were declined and 153

were still ongoing). The prosecutor charged at

least one defendant with dealing without a

license in only 112 of the 296 cases accepted for

prosecution in which ATF agents reported

dealing without a license was occurring.

Thus, although ATF agents reported that straw

purchasing and dealing without a license

violations were occurring in the cases accepted

for prosecution, the prosecutor was only able to

charge at least one defendant with these violations in less than 45 percent of the straw purchasing cases and less than 38 percent of the

dealing without a license cases. The fact that

prosecutors accepted the cases shows that the

conduct was viewed as constituting serious

offenses. However, the relatively low percentage of charges facially tied to the trafficking

conduct suggests that violations explicitly

relating to firearms trafficking present challenges in court.

Challenges to enforcement against corrupt FFLs.

The most common violation by FFLs associated

with trafficking is recordkeeping violations.

Failure to keep required records was found in

almost half of the trafficking investigations

involving FFLs, and the FFL making false

entries in the records was found in just under a

fifth of these investigations. These violations

are primarily misdemeanors, despite being

associated with investigations involving a high

volume of trafficked firearms.

Limited penalties for large scale traffickers. The

case review shows that while most trafficking

investigations involve under 50 firearms, some

investigations involve more than 50 firearms.

Yet, the sentencing guidelines do not distinguish between a trafficker responsible for

diverting 50 or 1,000 firearms. Thus, punishment can be disproportionately low given the

gravity of the conduct and the threat to public

safety. The more firearms illegally trafficked,

the greater risk that some of those firearms will

be used to commit serious crimes. The sentencing regime should be changed so that

sentences are proportionate to impact. To

address this concern, the Department of the

Treasury has sought changes in the sentencing

guidelines. 38

38 See letter from James E. Johnson, Under Secretary of the Treasury (Enforcement) to the Honorable Diane E.

Murphy, Chair, U.S. Sentencing Commission, January 21, 2000; letter from James E. Johnson, Under Secretary of

the Treasury (Enforcement) to Mr. John R. Steer, General Counsel, U.S. Sentencing Commission, November 17,

1999.
5-4. Investigative Partnerships and

Resources

Role of State and local law enforcement. The

case review reveals a rapidly developing capability to identify and apprehend gun traffickers.

Most ATF trafficking investigations, 68 percent

(1,037 of 1,530), involved the cooperation of

State and local law enforcement agencies. This

close working relationship seems especially

appropriate because 70 percent of the trafficking investigations involved intrastate trafficking

and about 10 percent involved trafficking in

firearms stolen from residences. While slightly

less than 10 percent of case referrals were to a

State or local prosecutor, State and local trafficking enforcement can be expected to develop

further with the growing use of firearms and

ballistics trace information by State and local

law enforcement agencies.

Firearms tracing. Nearly 20 percent of the

trafficking investigations were initiated through

trace analysis after the recovery of crime guns.

Beyond the initiation of investigations, tracing

was used as an investigative tool to gain information on recovered crime guns in 60 percent

of the investigations.

Secondhand guns. The important role of tracing is reflected in the fact that a quarter of

investigations involve only secondhand guns,

while about 75 percent of the investigations

involve at least some new guns. New guns are

effectively traceable to the last retail purchaser,

while secondhand guns are traceable only to

the first purchaser, who may be several possessors removed from the source who supplied the

gun to the criminal. ATF does not know what

proportion of gun crimes are committed with

new and secondhand firearms. It is clear,

however, that secondhand firearms play a

major role in firearms trafficking.

Continued growth of our ability to reduce the

illegal market in firearms through enforcement

activity clearly depends on expansion of our

investment in comprehensive tracing of firearms and use of trace analysis, on investigative

practices like the systematic debriefing of

arrested violent offenders on the sources of

their guns, and on the deployment of the National Integrated Ballistics Information Network (NIBIN), which can link spent cartridges

and bullets to traceable firearms.

44 FOLLOWING THE GUN: ENFORCING FEDERAL LAWS AGAINST FIREARMS TRAFFICKERS

June 2000 Department of the Treasury, Bureau of Alcohol, Tobacco & Firearms
APPENDICES
Department of the Treasury, Bureau of Alcohol, Tobacco & Firearms June 2000

APPENDIX A

Statutes Relating to Firearms Trafficking

Title 18, Makes it To Mental Penalty, up to;

Section illegal for Element(s) Section

2 Any person Aid, abet, counsel, Knowingly, with Same as for

command or solicit a the intent to assist underlying

criminal act in the commission crime

 of a crime

371 Any person Agree with at least one True agreement 5 years if

other person to violate with the intent to underlying

the law, with one person accomplish the crime is a

committing at least one objective(s) of the felony; § 371

overt act in furtherance conspiracy

of the agreement

521 Criminal street Provides sentencing Activities must Sentencing

gangs-5 or enhancement for gang affect interstate or enhancement

more persons members who have foreign commerce. of up to

whose primary specified convictions 10 years;

purpose within the previous § 521.

involves 5 years.

committing

certain

offenses.

922(a)(1)(A) Any person Engage in the business Willfulness; 5 years;

of dealing in firearms perpetrator must § 924(a)(1)(D)

without a license have acted with a

bad purpose, either

to violate the law or

in conscious

disregard of the law,

but does not have to

have known of the

licensing requirement.

922(a)(3) Nonlicensee Transport or receive Willfulness; not 5 years;

firearm obtained in required to know he § 924(a)(1)(D)

another state into his was breaking a specific

state of residence law, but must have had

bad purpose or motive

922(a)(5) Nonlicensee Deliver firearm to Willfulness; plus 5 years;

unlicensed person knowing or having § 924(a)(1)(D)

whose residence is in a reasonable cause to

state different from believe transferee

transferor’s resided in another state

FOLLOWING THE GUN: ENFORCING FEDERAL LAWS AGAINST FIREARMS TRAFFICKERS 47
48 FOLLOWING THE GUN: ENFORCING FEDERAL LAWS AGAINST FIREARMS TRAFFICKERS

June 2000 Department of the Treasury, Bureau of Alcohol, Tobacco & Firearms

922(a)(6) Any person Make a materially false A lie is a knowing false 10 years;

statement to a licensee, statement. The § 924(a)(2)

to obtain or attempt to statement must be

obtain a firearm “intended or likely to

deceive” the licensee.

922(b)(2) Licensee Deliver firearm to a Willfulness 5 years;

person where the § 924(a)(1)(D)

purchase or possession

of the firearm by that

person would violate

state law or published

ordinance.

922(b)(3) Licensee Deliver a firearm to a Willfulness; Also, 5 years;

person residing in a state licensee must know or § 924(a)(1)(D)

other than the licensee’s have reasonable cause

to believe that the

transferee resides in

another state

922(b)(5) Licensee dispose of a firearm Willfulness 5 years;

without making entries § 924(a)(1)(D)

in records required to be

kept under § 923.

922(d) Any person Dispose of a firearm to a Transferor must know 10 years;

prohibited person or have reasonable § 924(a)(2)

cause to believe the

transferee is prohibited

922(g) Any prohibited Possess or receive a Person must know he 10 years;

person firearm or ammunition is in a prohibited § 924(a)(2)

that has moved in category but need not

interstate or foreign know he is prohibited.

commerce Person must know he

is in possession of a

firearm.

922(i) Any person Transport or ship a stolen Person must know or 10 years;

firearm in interstate or have reasonable cause § 924(a)(2)

foreign commerce to believe the firearm

was stolen.

922(j) Any person Receive, possess, conceal, Person must know or 10 years;

store, barter, sell or have reasonable cause 924(a)(2)

dispose of a stolen to believe the firearm

firearm that has moved was stolen.

in interstate or foreign

commerce

Title 18, Makes it To Mental Penalty, up to;

Section illegal for Element(s) Section
Department of the Treasury, Bureau of Alcohol, Tobacco & Firearms June 2000

FOLLOWING THE GUN: ENFORCING FEDERAL LAWS AGAINST FIREARMS TRAFFICKERS 49

922(k) Any person Transport, ship or Knowing 5 years;

 receive in interstate or § 924(a)(1)(B)

foreign commerce a

firearm with the serial

number obliterated or

altered, or to possess such

a firearm that has been so

transported or shipped

922(l) Any person Except as provided by “Knowing” as to the 5 years;

§ 925(d), to import or importation; “Willful” § 924(a)(1)(C)

bring firearms or as to possession or and (D)

ammunition into the receipt

United States, or to

possess such firearms or

ammunition, or to receive

such firearms or

ammunition

922(m) Licensee Make a false entry in, Knowing 1 years;

fail to make an entry in or § 924(a)(3)(B)

fail to properly maintain

records the licensee is

required to keep

922(u) Any person Steal an “inventory” Knowing 10 years;

firearm from an FFL § 924(i)(1)

which has traveled in

interstate or foreign

commerce.

924(a)(1)(A) Any person Make a false statement or Knowing 5 years;

representation in an FFL’s § 924(a)(1)(A)

required records or in

applying for a license or

relief from disabilities

924(b) Any person Ship, transport, or With the intent to 10 years;

receive a firearm in commit a felony with § 924(b)

interstate or the firearm or knowing

foreign commerce or having reasonable

cause to believe that a

felony will be

committed with the

firearm.

Title 18, Makes it To Mental Penalty, up to;

Section illegal for Element(s) Section
50 FOLLOWING THE GUN: ENFORCING FEDERAL LAWS AGAINST FIREARMS TRAFFICKERS

June 2000 Department of the Treasury, Bureau of Alcohol, Tobacco & Firearms

924(c) Any person Uses or carries a firearm Knowing Minimum

during or in relation to a mandatory 5

Federal crime of violence years; 7 years

or Federal drug if the firearm

trafficking is brandished;

crime; OR possess a 10 years if the

firearm in furtherance of firearm is

a Federal crime of discharged;

violence or Federal drug additional

trafficking crime. enhancements

for shortbarrel rifles,

short-barrel

shotguns,

machineguns,

destructive

devices, fire

arms equipped

with a silencer.

Enhancements

for second or

subsequent

conviction.

Death penalty

if death of a

person results;

§ 924(c), 924(j).

924(h) Any person Transfer a firearm Knowing for both 10 years;

knowing it will be used to elements § 924(h)

commit a crime of

violence or a drug

trafficking crime

924(k) Any person Smuggle or knowingly Intending to engage in 10 years;

brings a firearm into the or promote conduct § 924(j)

United States, or attempts that violates state or

to do so Federal drug laws or

that constitutes a crime

of violence as defined

in § 924(c)(3)

924(l) Any person Steal a firearm that has Theft is an intentional 10 years;

traveled in interstate or taking. § 924(k)

foreign commerce

924(m) Any person Steal a firearm from an Theft is an intentional 10 years;

FFL (no interstate taking. § 924(l)

commerce element)

Title 18, Makes it To Mental Penalty, up to;

Section illegal for Element(s) Section
Department of the Treasury, Bureau of Alcohol, Tobacco & Firearms June 2000

FOLLOWING THE GUN: ENFORCING FEDERAL LAWS AGAINST FIREARMS TRAFFICKERS 51

924(n) Any person Travel from any state or With the intent to 10years;

foreign country into a violate 18 U.S.C. § 924(n)

state and acquires or § 922(a)(1)(A)

attempts to acquire a

firearm in such state

1001 Any person Make or use a false A lie is a knowing false 5 years;

material statement in a statement. The § 1001

Government-related statement must have

matter been made for a bad

purpose

1341 Any person Use the mail to Having a scheme to 5 years; 30

perpetrate or advance a defraud; Using the years if

scheme to defraud mail with specific the scheme

intent to perpetrate or involves a

advance the scheme financial

institution.

 § 1341

2117 Any person Burglarize a place or Specific intent to 10 years;

 conveyance containing commit a larceny § 2117

interstate or foreign therein

shipments

Title 18, Makes it To Mental Penalty, up to;

Section illegal for Element(s) Section
52 FOLLOWING THE GUN: ENFORCING FEDERAL LAWS AGAINST FIREARMS TRAFFICKERS

June 2000 Department of the Treasury, Bureau of Alcohol, Tobacco & Firearms

APPENDIX B

Methodology

The case review presented in this report originated in a Congressional request for information

about ATF’s enforcement activities. Specifically, the House and Senate Committees on Appropriations requested ATF to report on trafficking investigations by February 1999 in connection with

funding for ATF’s Youth Crime Gun Interdiction Initiative (YCGII), the component of ATF’s firearms enforcement programs focused on illegal acquisition, possession, and use of guns by youth

and juveniles.39

In response, ATF Headquarters requested all

ATF Special Agents in Charge to provide information on all firearms trafficking investigations

in their respective areas between July 1996 (the

commencement date of YCGII) and December

1998 (the end of the last calendar year before

February 1999). A survey was sent to each

Field Division requesting information for each

investigation.

The 23 ATF Field Divisions submitted a total of

1,530 reports on investigations, including

ongoing investigations and perfected cases

referred for prosecution. Information on 648

investigations involving youth and juveniles

were reviewed and provided the basis for a

report to Congress on the performance of

YCGII in February 1999.40 In this report, ATF

and an outside researcher review all 1,530

investigations.41

This report also reviews the disposition of cases

referred by ATF for prosecution. To develop

disposition information, ATF, in December

1999, sent supplementary surveys for the 1,530

submitted investigations to the 23 ATF Field

Divisions. All surveys were returned to ATF

Headquarters by March 15, 2000, for analysis

by ATF personnel and outside researchers.

Case disposition information was reviewed by

outside researchers working with the Bureau of

Justice Statistics, which has statutory authority

for collecting and maintaining Federal case

disposition information.42

39 The Statement of Managers accompanying the 1998 Conference Report stated that: “the conferees believe that the

proposed increase in funding must be supported by evidence of a significant reduction in youth crime, gun trafficking, and gun availability. The conferees would like to see additional evidence linking the Youth Crime Gun Interdiction Initiative (YCGII) to a corresponding decrease in gun trafficking among youths and minors. Therefore, the

conferees direct ATF to report no later than February 1, 1999 on the performance of YCGII.” Conference Report to

Accompany H.R. 4328, October 19, 1998.

40 See Youth Crime Gun Interdiction Initiative: Performance Report. Report to the Senate and House Committees on

Appropriations Pursuant to Conference Report 105-825, October 1998. Department of the Treasury, Bureau of

Alcohol, Tobacco, and Firearms, 1999.

41 Dr. Anthony A. Braga of the John F. Kennedy School of Government, Harvard University.

42 Dr. Anthony A. Braga of the John F. Kennedy School of Government, Harvard University and Dr. Joel Garner of the

Joint Centers for Justice Studies, Sheperdstown, West Virginia.
Department of the Treasury, Bureau of Alcohol, Tobacco & Firearms June 2000

FOLLOWING THE GUN: ENFORCING FEDERAL LAWS AGAINST FIREARMS TRAFFICKERS 53

Use of Surveys

ATF has a developing capacity to gather information from its Field Divisions. The analysis in

this report is based on the best information

currently available. ATF has conducted two

previous case reviews, on gun shows and firearms trafficking.43 These found that the survey

methodology used here provided an accurate

picture of the working knowledge held by

agents involved in the investigations. A random

sample of survey responses involving gun show

investigations were carefully reviewed and

compared to information contained in the

investigation files. The investigation files

contained a variety of information on the

investigation, including a summary of the case,

a set of progress reports documenting ATF

agent investigative activities, police reports,

evidence inventory, interview transcripts, and

court documents. The review revealed that the

survey responses were accurate when compared to the paperwork documenting the

specifics of the gun show investigation. Another sample was drawn from the gun show

investigation data to verify the numbers of

firearms reported as trafficked in each investigation.44 Based on this review, the estimates of

trafficked firearms made by the ATF agents

were found to have a reasonable basis. Estimates were based on audits of firearms seized

by the agents, firearms purchased by agents

during the investigation, reconstruction of

dealer records, ATF National Tracing Center

crime gun recovery information, admissions by

defendants, and information from confidential

informants.

In addition, with the assistance of the Department of Justice, Bureau of Justice Statistics’

Federal Justice Statistics Program, consistency

was established between case disposition and

sentencing information in the ATF survey and

similar case disposition and sentencing information in automated records maintained by the

Executive Office for U.S. Attorneys and the

Administrative Office of the U.S. Courts.

43 See US Department of Treasury and US Department of Justice, 1999. Gun Shows: Brady Checks and Crime Gun

Traces. Washington, DC: US Department of Treasury and US Department of Justice.

44 See US Department of Treasury and US Department of Justice, 1999. Gun Shows: Brady Checks and Crime Gun

Traces. Washington, DC: US Department of Treasury and US Department of Justice.

What These Data Represent

Because these analyses are based on a survey of

ATF special agents reporting information about

firearms trafficking investigations, they reflect

what ATF encountered and investigated in

trafficking investigations. They do not look at

the sources of firearms in other ATF investigations, such as investigations of armed career

criminals or armed narcotic traffickers. Most

importantly, they do not necessarily reflect

typical criminal diversions of firearms or the

typical acquisition of firearms by youth, juveniles, and adults. Except where noted, the unit

of analysis in the review is the investigation

itself.

ATF agents and their State and local counterparts gather investigative information to build a

case worthy of prosecution, rather than to

gather research information. Information

generated as part of a criminal investigation,

therefore, does not necessarily capture all data

about trafficking, trafficking patterns, and the

use of trafficked guns in crime. For instance,

agents may provide very detailed descriptions

of firearms used as evidence in the case but no

estimate, much less a detailed description, of

all the firearms involved in the trafficking

enterprise. Thus, in general, agents did not

provide enough consistent and specific infor-
54 FOLLOWING THE GUN: ENFORCING FEDERAL LAWS AGAINST FIREARMS TRAFFICKERS

June 2000 Department of the Treasury, Bureau of Alcohol, Tobacco & Firearms

mation to determine the number of handguns,

rifles, and shotguns trafficked in a particular

investigation. There may also be little information in the case file on the degree to which

trafficked firearms were subsequently used in

crime. This is primarily because comprehensive tracing of crime guns does not exist nationwide and, until the practice was initiated in 17

cities through the Youth Crime Gun Interdiction Initiative in 1996, even major cities did not

trace all recovered crime guns. Figures on new,

secondhand, and stolen firearms only reflect

the number of investigations in which the

traffickers were known to deal in these kinds of

weapons. Figures on stolen firearms are subject to the usual problems associated with

determining whether a firearm has been stolen,

due to the fact that most gun owners do not

report stolen firearms to the police. Such

limitations apply to much of the data collected

in this research.

Even the investigative data reported in the

survey has limitations, because the review

analyzes information both from investigations

referred for prosecution and adjudicated, and

from investigations not yet referred for prosecution. One third of the investigations were

reported by the agents as fully adjudicated (514

of 1,530). Not all violations described will

necessarily be charged as crimes or result in

convictions, and case agents at the time of the

survey might not know the exact number of

offenders in the investigation, the numbers and

types of firearms involved, and the types of

crimes associated with recovered firearms.

Some information may have been

underreported. For example, it is likely that the

number of firearms involved in the investigations could increase, as could the number and

types of violations, as more information is

uncovered by agents working the investigations.
Department of the Treasury, Bureau of Alcohol, Tobacco & Firearms June 2000

FOLLOWING THE GUN: ENFORCING FEDERAL LAWS AGAINST FIREARMS TRAFFICKERS 55

ATF Field Division:

ATF Investigation Number:

Investigation Title:

1. How was the investigation initiated?

1= confidential informant

2= referral from another state, local, or federal agency

3= FFL reported suspicious activity

4= developed from another investigation

5= review of multiple sales forms

6= Project LEAD or other local tracing project

7= gun recovered and traced to origins

8= ATF initiated investigation of suspicious activity (e.g. ATF Gun Show Task Force)

9= ATF Regulatory inspection of FFL records

10= anonymous tip

11= other Please specify:_______________________

2. What were the violations in the investigation?

Please use the space below to write all violations associated with the traffickers in the investigation (e.g., trafficking, straw purchasing, dealing by non-licensed individuals, “off paper”

sales, sales to prohibited persons, obliterating firearms, etc.)

SURVEY FORMS
56 FOLLOWING THE GUN: ENFORCING FEDERAL LAWS AGAINST FIREARMS TRAFFICKERS

June 2000 Department of the Treasury, Bureau of Alcohol, Tobacco & Firearms

3. Were there any Title II violations in this investigation?

0= NO 1= YES

Please use the space below to describe the Title II violations (e.g., machine guns, converted guns,

conversion kits, silencers, grenades, short barreled firearms, etc.).

4. Please describe the trafficking enterprise.

Circle all appropriate trafficking channels listed below. For example, if a FFL was trafficking

firearms at a flea market, choices 1 and 7 would be selected.

1= Firearms trafficked by licensed dealer, including pawnbroker.

2= Firearms trafficked by straw purchaser or straw purchasing ring.

3= Trafficking in firearms stolen from FFL.

4= Trafficking in firearms stolen from common carrier.

5= Trafficking in firearms stolen from residence.

6= Trafficking in firearms by unregulated private sellers.

7= Trafficking in firearms at gun shows, flea markets, auctions, or want ads and gun

magazines.

8= Other. Please specify:__________________________

5. Were there NEW guns being trafficked?

0= NO 1= YES
Department of the Treasury, Bureau of Alcohol, Tobacco & Firearms June 2000

FOLLOWING THE GUN: ENFORCING FEDERAL LAWS AGAINST FIREARMS TRAFFICKERS 57

6. Were there OLD guns being trafficked?

0= NO 1= YES

7. Were there USED guns being trafficked?

0= NO 1= YES

8. Were the firearms being trafficked INTERSTATE?

0= NO = YES

9. Were the firearms being trafficked INTRASTATE?

0= NO 1= YES

10. Were the firearms being trafficked INTERNATIONALLY?

0= NO 1= YES

11. Please describe the number and types of firearms involved in the investigation.

Please provide as much detail as possible; if the number of handguns and long guns are not

known, only fill in the number of firearms.

Total number of firearms: _____________

Total number of handguns: _____________

Total number of long guns: _____________

Total number of rifles: _____________

Total number of shot guns: _____________
58 FOLLOWING THE GUN: ENFORCING FEDERAL LAWS AGAINST FIREARMS TRAFFICKERS

June 2000 Department of the Treasury, Bureau of Alcohol, Tobacco & Firearms

Beyond the number of firearms known to be involved in the investigation, please estimate the

number of firearms that may have been trafficked by the individual(s) under investigation.

Estimated firearms: _______________

12. Did this investigation involve YOUTH (person ages 18-24)?

0= NO 1= YES

If yes, how were youth involved? Circle all that apply

1= straw purchaser(s)

2= trafficker(s)

3= possessor(s) of trafficked firearms

4= thief/robber(s)

5= other. Please specify:____________

13. Did this investigation involve JUVENILES (person ages 17 and under)?

0= NO 1= YES

If yes, how were juveniles involved? Circle all that apply

1= straw purchaser(s)

2= trafficker(s)

3= possessor(s) of trafficked firearms

4= thief/robber(s)

5= other. Please specify:____________
Department of the Treasury, Bureau of Alcohol, Tobacco & Firearms June 2000

FOLLOWING THE GUN: ENFORCING FEDERAL LAWS AGAINST FIREARMS TRAFFICKERS 59

14. Were the trafficked firearms known to be recovered in subsequent crimes?

0= NO 1= YES

If yes, please enter the number for each crime below. If exact numbers are unknown, please

simply put a check in the space provided.

Homicide: _______________

Assault: _______________

Robbery: _______________

Sexual assault/ rape: _______________

Property crime: _______________

Felon in possession: _______________

Juvenile in possession: _______________

Illegal possession: _______________

Drug offense: _______________

Other (please specify): _______________
60 FOLLOWING THE GUN: ENFORCING FEDERAL LAWS AGAINST FIREARMS TRAFFICKERS

June 2000 Department of the Treasury, Bureau of Alcohol, Tobacco & Firearms

15. Please provide information on the defendant(s) in the investigation. Please use the space

below to describe their role in the case (e.g. straw purchaser, FFL, trafficker, etc.), age, sex,

race, and whether the person had a felony record.

16. If there were straw purchasers involved in this investigation, please provide any information

you may have on the relationship between the straw purchaser and the actual trafficker.

Please circle all that apply.

1= Friend

2= Intimate

3= Relative

4= Business relationship (paid with money or drugs to buy guns for the trafficker)

5= Straw purchaser is the trafficker.

6= Other

Please specify: __________________
Department of the Treasury, Bureau of Alcohol, Tobacco & Firearms June 2000

FOLLOWING THE GUN: ENFORCING FEDERAL LAWS AGAINST FIREARMS TRAFFICKERS 61

17. Has this case been adjudicated?

0= NO 1= YES

18. Please use this page to summarize any other pertinent information on this investigation.
62 FOLLOWING THE GUN: ENFORCING FEDERAL LAWS AGAINST FIREARMS TRAFFICKERS

June 2000 Department of the Treasury, Bureau of Alcohol, Tobacco & Firearms

Bureau of Alcohol, Tobacco, and Firearms

Supplementary Survey of Recent Gun Trafficking Investigations

INSTRUCTIONS:

We would like to know some additional information regarding the disposition of the firearms

trafficking investigation listed below that your Field Division submitted to ATF Headquarters.

Please select the appropriate response or write your response to the following questions in the

space provided. Thanks for your time and consideration in this important matter.

Field Division:

ATF Investigation Number:

ATF Investigation Title:

1) Was this investigation recommended for prosecution? ____ YES _____ NO

2) Who was the investigation recommended to for prosecution?

______ US Attorney’s Office

______ State/ local prosecutor

If the investigation was not or has not been recommended, please briefly state why.

3) If this investigation was recommended for prosecution, was the submission declined by the

prosecutor?

____ YES _____ NO

4) If the investigation was accepted for prosecution, please list the defendants (name, DOB) in

the case and the charges under which they were prosecuted.
Department of the Treasury, Bureau of Alcohol, Tobacco & Firearms June 2000

FOLLOWING THE GUN: ENFORCING FEDERAL LAWS AGAINST FIREARMS TRAFFICKERS 63

5) Has the case been fully adjudicated?

____ YES _____ NO ______ ON APPEAL

______ Some defendants have been adjudicated, some not

For the adjudicated defendants, please list the sentence for each individual.

6) Please name the prosecutor(s) of the case and identify which U.S. Attorney District or local

court he/she works.

7) Did this investigation involve the cooperation of a local or state police department?

______ YES ______ NO

8) Was the tracing of firearms used in this investigation?

______ YES ______ NO

If yes, what was the role of tracing? (please select all that apply)

______ Investigation was initiated through firearms tracing

______ Recovered firearms were traced after the investigation was initiated

______ Other, please describe:
This report is also accessible via the Internet on the ATF website:

http://www.atf.treas.gov

For further information or additional copies of this report, contact ATF’s

Office of Liaison and Public Information

(202) 927-8500

For sale by the U.S. Government Printing Office

Superintendent of Documents, Mail Stop: SSOP, Washington, DC 20402-9328

048-000-00534-9