An FFLGuard “Drop In Visit Evaluation” (DIVe), is a multi-day, far-reaching compliance inspection that is more comprehensive than what the Bureau of Alcohol, Tobacco, Firearms, and Explosives (ATF) or any trade organization would perform. The DeepDIVe includes all parts of our SiteVisit, but with an on-site visit from our professionals, several reviews and assessments, an Attorney/Client privileged report and a teleconference to detail the findings, suggested courses of action, and additional off-site work before and after the visit. You will have a comprehensive assessment of your compliance operations with solid recommendations for shoring up any gaps identified.
The DeepDIVe is a mandatory first step for any HOT client.
The FFLGuard experts can perform this audit unannounced to mirror an ATF inspection or we will work with you and your team to schedule.
Trust Our Top-Notch Compliance Experts
Our Professional Services Branch consists of former ATF Industry Operations Investigators with no less than 25 years of experience alongside industry veterans with decades of audit and operations experience. Our experts will spend two (2) full days carefully evaluating your potential vulnerabilities if an ATF inspection were to occur imminently and provide industry gold-standard guidance to keep your business protected.
Components of a DeepDIVe ATF Compliance Inspection
Reviews
Bound Book Review – FFLGuard’s expert will review each part and piece of your A&D Bound Book entries for approximately the last year for compliance. Additionally, we will review the form and format of your system to validate compliance with current regulatory requirements.
Form 4473 Review – Our expert will review approximately one year of ATF Forms 4473 data and execution for compliance.
Inventory Review – We’ll review a representative portion of your on-premises inventory along with your acquisition and disposition processes and provide insight into risks and recommendations for industry best practices.
Record-Keeping Assessment
Remediation Advice – Our team of seasoned regulatory professionals will provide detailed insight regarding the recommended process for remediation of any detected issues.
Prevention Guidance – Learn from our team’s industry seasoned experts how to detect and prevent issues before costly regulatory violations occur, which can lead to loss of your license and livelihood.
Attorney/Client Report & Takeaways
Overall Feedback – FFLGuard‘s experts will provide feedback regarding overall operations, compliance and status of business versus firearms industry trends.
Detailed Report – We will provide you with a detailed report of all our findings and provide a risk ranking and suggested remediation steps along with compliance gold standard practices, giving you peace of mind that your business and assets are protected.
Fees
Base Cost: $3,500 Plus Travel and Actual Expenses* for 2 Days
*Requires an advanced payment of a travel retainer, as needed, to book services
Additional Onsite Days: $1,750 per day per FFLGuard Professional
Optional Additional Services
Remediation Plan – FFLGuard’s experts will provide a written plan for remediating any issues detected, including assisting with any regulatory self-reporting, providing pro forma documents, processes and software recommendations.
Software Selection and Implementation – FFLGuard‘s experts will assist you with understanding available software specific to your firearms business operations, making a selection to support your needs, and providing guidance for best practices for implementation.
Onsite Training – Engage your team with onsite training from FFLGuard‘s team of experts inclusive of your business-specific standards and processes.
Where Does DeepDIVe Fit Into Our Service Plans?
The DeepDIVe is a mandatory first step for any HOT client, which refers to any FFL currently facing challenges with the ATF, administrative, or legal actions. Conducting this mandatory DeepDIVe for a HOT client will allow our legal experts to gain a more complete understanding of your situation and create a roadmap for your specific remediation and prevention plan of action.
Frequently Asked Questions
The ATF may come to your house or business for several reasons, depending on your involvement with firearms or explosives. If you’re an FFL operating from a residential address, the ATF may visit to conduct a compliance inspection, verify records, and/or ensure that your business operations are in line with federal, state, and local regulations, without any advanced notice, during the normal business hours you provided in your original application. In other cases, the ATF law enforcement division (which is separate from their Industry Operations division) may visit in connection with a criminal investigation, such as suspected firearms trafficking, illegal possession, or violations of the National Firearms Act (NFA).
Most of the time, ATF does not provide notice – and is no way required to do so – before arriving at your license premises for a regulatory inspection, including after a report of theft or loss. Any criminal investigations are subject to all standard processes for criminal investigations and proceedings. Regulatory inspections are meant to ensure that Federal Firearms Licensees are complying with recordkeeping, background checks, local, state, and all relevant regulatory requirements.
The exact course of action will depend on the severity of the violations, but a failed ATF inspection can result in corrective action, like a report, warning letter, or warning conference, or the total revocation of the license. Additionally, if a licensee does not comply with the IOIs when they arrive for an inspection, it will be considered a willful violation of the GCA and ATF can revoke the FFL’s license.
Interested in learning more about DeepDIVe? FFLGuard‘s legal experts will walk you through your options and how this service can help your particular case. Join FFLGuard to get started and Contact Us with any questions.