The purpose of this article is to be able to run your own audit on firearms going through a 4473 in the store.
1. Click on E4473 drop down and select 4473 Audit.
Alternatively you can click E4473 and then in this screen click 4473 Audit.
2. To create a session click Add New Session on the top right.
3. In the window you can select whether to Create New or to Copy from existing. Put the radio button on option of your choice. For Copy from existing you will then use the drop down to select which previous Audit to copy from.
4. When creating the audit you will need to Name the audit and select Criteria. You must choose at least 1 Status for the audit. You are able to select more statuses by changing the operator (defaulted at "=") to "in" so you can have more.
You can also choose the 1-Year Audit button the right to get a Close Date criteria with a 1 year date range (defaulted at the end date being the day the audit was created and the start being 1 year prior to that date).
When you are ready to move on, click Next.
Criteria Selection
- 4473 Number - Transaction number from when the firearm was sold and the 4473 started.
- Status (aka Form Status)
- Active - E4473 form has been completed, currently in the NICS check process.
- Expired - The transaction was a Layaway that was expired before it made it to the E4473 form.
- Customer Cancelled - Customer decided they no longer want the item and asked for a refund.
- Ready for Review - The E4473 has been completed and in need of Review.
- Store Cancelled - Store refunded the customer after the NICS process had started.
- Store Accepted - Store marked the E4473 as Accepted, but the form hasn't progressed to the NICS section.
- Store Denied - Store marked the E4473 as Denied.
- Firearm Hold - The item is waiting to move to the next step after the NICS process.
- Denied - NICS check was marked as Denied
- Cancelled - NICS check was marked as Cancelled.
- Voided - The sale transaction of the firearm was voided at any stage of the E4473 form or NICS being filled out.
- Finalized - E4473 Form & NICS have been completed.
- Not-started - The firearm was sold but the customer has not received the link for the E4473.
- Started - Customer has received the E4473 form but not completely filled it out yet.
- Recertified - E4473 form was marked for NICS twice, such as the customer didn't pick up the item in the appropriate amount of time and had to recertify that the information on the E4473 was still accurate.
- Recertify Ready - E4473 form is in need of a recertification due to the time lapse between either the customer came in a different day to pick up their item or the NICS check has not yet passed review and the store waited the 3 days necessary to mark it as "No Response"
- Create Date - Date the 4473 form started.
- Buyer Complete Date - Date the form has been completed from the buyer/purchasers perspective.
- Seller Complete Date - Date the firearm completed on the store's side. Typically this date and Close Date will be the same.
- Close Date - Date the 4473 form was closed. Either Cancelled, Denied, Voided or Finalized.
You may get a "Query returned no results" warning, and this just means that based on the Criteria that was entered no 4473s were found. So the Criteria will need to be adjusted.
5. Once the audit has found items to pull you will see a list of all of the 4473s that are within the Criteria chosen.
Click Save on the top right to create the Audit.
Item information
- 4473 Number - Transaction number from when the firearm was sold and the 4473 started.
- NICS Status - Given by the NICS or State Agency during the 4473.
- NEW - Firearm hasn't been put through the NICS check or hasn't moved on to the release of the firearm.
- HOLD DENIED -
- HOLD APPROVED -
- CANCELED - Store cancelled the NICS check or voided the transaction.
- DENIED -
- COMPLETED - NICS was completed.
- Form Status
- NICS Number - Number assigned by either NICS or State Agency
- Form Type
- Notes
- 4473 Notes
6. Once the Audit is created the screen will go back to the 4473 Audits screen. In order to conduct the Self Audit on the newly created Audit, you will need to click on Audit Session while highlighted on your specific Audit.
4473 Audit Screen Task Manager (on the right of the screen)
- Add New Session - Create a new 4473 Audit
- Edit Session - Edit an existing audit to change the Criteria or Name. This can only be done to Audits that have not yet been started
- View Session (replaces Edit Session) - If the audit is in progress you can view the Criteria it has as well as the session items.
- Show Prior Sessions - The grid will show any/all completed or cancelled Audit sessions.
- Cancel Audit - Cancel the highlighted audit.
- Complete Audit - Forcibly complete the audit. This will take place even if the audit still has a Remaining Count.
- Print List - View the 4473 Audit screen grid in a PDF viewer where you can print/save the sheet.
- Refresh - This button will put in or take out items as long as the items were in the system prior to the audit being created.
- Audit Session - Conduct the Audit for the highlighted session.
- Review Audit Session - View the completed Audits session and how everything was marked.
7. Now The audit session has started and the review of the 4473s can begin.
Highlighting an item in the grid will bring up any 4473 or other attachments added to the form.
From this same screen the form can be marked as Reviewed, Flagged or a Violation on the left hand side under Audit Status. If the item was put into one status, it can always be switched to a different one, including Not Reviewed.
E4473 means the form was filled out completely online. 4473 means the form was filled out by hand and uploaded to the system.
Tasks Manager (on the right side of the screen)
- Each of the following tasks will have a number next to it corresponding to the amount of 4473s that have been marked in this way.
- All - everything in the system to review for the Date Range
- Reviewed - 4473s that will be reviewed go here
- Flagged - Any 4473s that receive a flag (aka warning) will be placed here
- Violations - Anything deemed a complete violation will end up here.
- Not Reviewed - 4473s that have yet to be put into a different Audit Status.
- Notes - Any notes the auditor will write up. This will also highlight yellow when selecting a loan that has a Note on it.
- View 4473 - Clicking this will bring up the 4473 in a PDF viewer.
- View Attachments - This will include the 4473 and any additional pictures/PDFs for view.
- View ATF A & D Book - This will prompt a screen so that the selected item can be viewed in the A&D Book.
- Print List - This is for a printout of the grid as it is.
- Ad Hoc Reporting - Generate a report based on criteria and fill it in the grid with that information.
- Complete Audit - This will mark the Audit as done whether all the items have been reviewed/flagged or not.
Bravo does not provide an answer sheet to understand whether an item has a flag or violation. This is the responsibility of the store.
Headers
- Audit Status
- Not Reviewed - Auditor has yet to mark the item with a different Status
- Reviewed - 4473 passed review
- Flagged (for follow-up)- Some small issue with the 4473
- Violation - 4473 is in complete violation
- NICS Number - Number assigned by either NICS or State Agency
- Create Date - Date the 4473 form started.
- Buyer Complete Date - Date the form has been completed from the buyer/purchasers perspective.
- Seller Complete Date - Date the firearm completed on the store's side. Typically this date and Close Date will be the same.
- Close Date - Date the 4473 form was closed. Either Cancelled, Denied, Voided or Finalized.
- Form Status
- Active - E4473 form has been completed, currently in the NICS check process.
- Expired - The transaction was a Layaway that was expired before it made it to the E4473 form.
- Customer Cancelled - Customer decided they no longer want the item and asked for a refund.
- Ready for Review - The E4473 has been completed and in need of Review.
- Store Cancelled - Store refunded the customer after the NICS process had started.
- Store Accepted - Store marked the E4473 as Accepted, but the form hasn't progressed to the NICS section.
- Store Denied - Store marked the E4473 as Denied.
- Firearm Hold - The item is waiting to move to the next step after the NICS process.
- Denied - NICS check was marked as Denied
- Cancelled - NICS check was marked as Cancelled.
- Voided - The sale transaction of the firearm was voided at any stage of the E4473 form or NICS being filled out.
- Finalized - E4473 Form & NICS have been completed.
- Not-started - The firearm was sold but the customer has not received the link for the E4473.
- Started - Customer has received the E4473 form but not completely filled it out yet.
- Recertified - E4473 form was marked for NICS twice, such as the customer didn't pick up the item in the appropriate amount of time and had to recertify that the information on the E4473 was still accurate.
- Recertify Ready - E4473 form is in need of a recertification due to the time lapse between either the customer came in a different day to pick up their item or the NICS check has not yet passed review and the store waited the 3 days necessary to mark it as "No Response"
- Form Type
- Online - Form was done by the customer filling out the form online.
- Manual - Form was completed by hand by the customer and the store employee.
Each Attachment that is seen when the line is highlighted can be clicked on and seen in a PDF Viewer. To do so, double click on the attachment.
Alternatively, clicking View Attachments on the right will bring up all of this 4473 form's attachments for view at once.
8. If the item is marked for Flagged or Violation. A 4473 Audit Notes window will pop up where any notes on why this item was marked as such can be entered.
Marking a 4473 as a violation will leave the line shaded red.
9. Once you have gone through the entire sheet (or as many as you wanted to) you can click Complete Audit to finish the audit.
This will bring a window up that asks "Are you sure you want to complete this audit session? This cannot be undone." Select Yes to proceed. Select No to continue working on the 4473 Audit.
10. Now that you have completed the audit Bravo will now be back on the 4473 Audit screen. Here you can see the audit that you have completed/closed and the amount of Reviewed, Flagged, Violations and Remaining (aka Not-Reviewed) in the audit.
Here's a video that can walk you through self auditing