How to Prepare for an ATF Inspection: FFL Compliance Checklist (2026)
Every FFL will be inspected by the ATF. It's not a question of if — it's a question of when. The Bureau of Alcohol, Tobacco, Firearms and Explosives conducts routine compliance inspections of Federal Firearms Licensees to verify that recordkeeping, storage, and transaction procedures meet federal requirements. Some FFLs go years between inspections. Others are visited more frequently based on license type, transaction volume, or prior compliance history.
The inspection itself doesn't have to be stressful. FFLs who maintain clean, organized records and follow consistent procedures typically walk away with no issues. The ones who get cited — or worse, face license revocation — are almost always dealing with problems that were preventable.
This guide covers what an ATF inspection involves, what the Industry Operations Inspector is looking for, the most common violations FFLs get cited for, and exactly how to prepare so you're ready on any given day.
What is an ATF compliance inspection?
An ATF compliance inspection is an official examination of your FFL's records and premises conducted by an ATF Industry Operations Inspector (IOI). The purpose is to ensure that you are complying with the Gun Control Act, the National Firearms Act (if applicable), and ATF regulations — specifically 27 CFR Parts 478 and 479.
The ATF can conduct inspections for several reasons:
Routine compliance inspection — periodic review of your records and operations. The ATF is authorized to conduct one routine inspection per year for most FFL types
Firearms trace — when a firearm recovered in a crime is traced back to your A&D records
New FFL qualification inspection — conducted during the application process before your license is approved
Follow-up inspection — if a prior inspection revealed violations, the ATF may return to verify corrections
The inspector will contact you in advance in most cases, but they are not required to give advance notice. An IOI can arrive at your licensed premises during business hours and you are legally required to provide access to your records.
What does the ATF inspect?
During a compliance inspection, the IOI will review several categories of records and operations. Here's what they're looking at:
ATF Form 4473 records
This is typically the largest and most scrutinized part of any inspection. The inspector will review a sample (or all) of your completed Form 4473 records, checking for:
Completeness — every required field filled in
Accuracy — correct dates, proper identification documentation, correct NICS Transaction Numbers
Signatures — both the buyer's and the FFL employee's signatures present and dated
Proper handling of denied and delayed transactions
Segregation of completed transactions from denied transactions (if using digital storage)
Form version — that you're using the current revised version of the form
Form 4473 errors are the single most common source of ATF violations. We'll cover the specific violations below.
Acquisition and Disposition (A&D) records
Your A&D bound book is a running log of every firearm that enters and leaves your premises. The IOI will:
Cross-reference your A&D entries with your Form 4473 records to verify that every disposition has a corresponding 4473
Check for missing entries, incomplete descriptions, or gaps in the record
Verify that firearm descriptions (make, model, serial number, type, caliber) are accurate and match the actual inventory
Confirm that all acquisitions are properly logged — including firearms received from distributors, other FFLs, and the public
NICS records
The inspector will verify that you contacted NICS (or your state point of contact) for every transaction that required a background check, and that you recorded the NICS Transaction Number (NTN), the date of contact, and the response (Proceed, Delayed, or Denied).
Physical inventory
In some inspections, the IOI will conduct a physical inventory — comparing the firearms physically present on your premises against what your A&D book says should be there. Any discrepancies must be explained.
Licensed premises
The inspector will verify that your business is operating at the address listed on your license, that the premises are secure, and that records are stored on-site as required.
Storage of records
Whether you store Form 4473 records on paper or digitally, the IOI will verify that records are:
Organized for retrieval — alphabetically, chronologically, or by transaction number
Available for inspection on demand
Stored on the licensed premises (or backed up on-site if using digital storage)
Printable on demand if stored electronically
If you're using E4473 Cloud Storage, the ATF Audit Portal provides the IOI with restricted, read-only access to search, view, and print your stored records from a designated workstation — exactly what they need and nothing more.
The most common ATF violations
Understanding what gets FFLs cited is the first step toward making sure it doesn't happen to you. Based on ATF inspection data, these are the violations that appear most frequently:
Form 4473 violations
Failure to ensure the transferee completed the form — missing fields in Section B, blank eligibility questions, or incomplete buyer information
Failure to record the date NICS was contacted — a frequently overlooked field that inspectors check on every form
Failure to sign and date the form (FFL section) — the dealer's certification in Section E must be signed and dated on the day of transfer
Failure to verify or properly document buyer identification — the ID type, number, issuing authority, and expiration date must all be recorded
Incomplete firearm description in Section A — missing serial numbers, wrong caliber, or manufacturer vs. importer confusion
Missing NICS Transaction Number (NTN) — every form must include the NTN or state equivalent
Using an outdated form version — the ATF periodically revises Form 4473. Using an expired version is a citable violation
A&D record violations
Failure to record acquisitions or dispositions promptly — firearms must be logged when they arrive and when they leave
Incomplete firearm descriptions — every entry must include manufacturer/importer, model, serial number, type, and caliber/gauge
Discrepancies between A&D records and physical inventory — if the books say you have 200 firearms and you have 198, that's a problem
Other violations
Transferring a firearm to a prohibited person — proceeding with a sale despite a NICS denial or failing to contact NICS altogether
Operating at an unlicensed location — conducting business at a location not listed on your FFL
Failure to report multiple handgun sales — ATF Form 3310.4 must be filed when a buyer purchases two or more handguns within five consecutive business days
Most of these are preventable. The majority of ATF violations stem from incomplete paperwork, not from intentional misconduct. Digital 4473 systems like E4473 eliminate the most common errors by validating every field before the form is submitted, recording NICS data automatically, and preventing required fields from being skipped.
How to prepare: the FFL inspection checklist
You should be inspection-ready every day — not just when you think the ATF might show up. Here's a practical checklist:
Form 4473 records
All forms are complete with no blank required fields
Every form has both the buyer's signature (Section B/C) and the FFL employee's signature (Section E)
NICS Transaction Numbers are recorded on every form
Dates are consistent — the NICS contact date, the buyer's certification date, and the transfer date all make sense together
Denied transactions are segregated from completed transactions
You're using the current version of the form
If stored on paper: forms are organized alphabetically, chronologically, or by transaction number and can be located quickly
If stored digitally: forms are accessible, printable, and backed up on-site daily
A&D bound book
Every firearm currently on your premises has a corresponding acquisition entry
Every firearm that left your premises has a corresponding disposition entry with a 4473 reference
Descriptions are complete — make, model, serial number, type, caliber/gauge
There are no unexplained gaps in the record
The book is current — entries are made promptly, not batched days or weeks later
NICS records
Every transaction has a documented NICS contact with date, NTN, and response
Delayed transactions are tracked with final outcomes recorded
No transfers were completed on denied transactions
Premises and inventory
Your business is operating at the address on your FFL
Firearms are secured when the business is closed
If an IOI asks, you can reconcile your physical inventory against your A&D records
Employee procedures
Every employee who processes 4473s understands the form and the review process
Employees know not to pre-fill any section that belongs to the buyer
There is a consistent review process — ideally a second set of eyes on every form before the transaction is completed
Employees know how to handle denied and delayed NICS results
Self-audit: how to inspect yourself before the ATF does
The most effective thing you can do to prepare for an ATF inspection is to conduct your own. A self-audit is exactly what it sounds like: you review your own records using the same criteria an IOI would use.
How to conduct a self-audit
Pull a sample of recent 4473 forms — start with the last 30–60 days of transactions. Review every form for completeness, correct dates, signatures, NICS data, and firearm descriptions.
Cross-reference against your A&D book — for each form in your sample, verify that there's a matching disposition entry in your A&D records. Check that the firearm descriptions match.
Spot-check your inventory — pick 10–20 firearms from your A&D book and physically verify they're on your premises. Then pick 10–20 firearms from your shelves and verify they have corresponding A&D entries.
Review denied and delayed transactions — make sure denied forms are segregated, that no transfers were completed on denials, and that delayed transactions have documented final outcomes.
Check your form version — verify you're using the current ATF Form 4473 revision.
Document what you find — if you find errors, document them and correct the ones that can be corrected. Some errors (like a missing signature) can be corrected by having the signer initial and date the correction. Others may require notation.
How often to self-audit
At minimum, quarterly. Monthly is better if you have the volume to justify it. The goal is to catch and correct errors before an IOI finds them. An FFL that self-audits regularly and can show a pattern of proactive compliance management is in a much stronger position during an inspection than one that hasn't looked at its own records in two years.
Digital advantage: FFLs using E4473 Cloud Storage have access to a built-in self-audit mode that lets your staff review stored records the same way an IOI would — search, view, and verify forms without leaving the platform. No pulling boxes, no flipping through filing cabinets.
What happens during the actual inspection
Here's what to expect on the day:
Before the inspector arrives
In most cases, the ATF will contact you to schedule the inspection. Use the time to conduct a quick self-audit and make sure your records are organized and accessible. If you're using paper, make sure your filing system is in order. If you're using digital storage, verify that the ATF Audit Portal is accessible and your on-site backup is current.
During the inspection
The IOI will identify themselves and present credentials. They'll explain the scope of the inspection and what records they need to review. Be professional, cooperative, and honest. Provide the records they ask for promptly. If you're using E4473 Cloud Storage, you can direct them to the ATF Audit Portal on a designated workstation where they can search, view, and print any form they need.
The IOI may ask questions about your procedures, your staff training, and how you handle specific situations (denied transactions, delayed transfers, multiple handgun sales). Answer honestly.
After the inspection
If the IOI finds violations, they'll issue a Report of Violations (ATF Form 5030.6) detailing what was found. You'll have the opportunity to respond and explain corrective actions. Minor violations typically result in a warning letter. Repeated or serious violations can lead to a revocation hearing.
If the inspection is clean, you'll receive confirmation that no violations were found. Either way, use the inspection as an opportunity to tighten up any areas that were flagged or that you noticed could be improved.
How digital 4473 systems reduce inspection risk
The pattern across almost every ATF violation is the same: incomplete information, missing documentation, or disorganized records. Digital 4473 software addresses all three:
No blank fields — required fields can't be skipped. The form won't submit until every required section is complete
No illegible handwriting — every entry is typed, clean, and readable
Automatic NICS documentation — the transaction number, date, and response are recorded automatically in the system
Instant retrieval — any form can be pulled up in seconds by name, date, or transaction number
Automatic segregation — denied transactions are separated from completed transactions without manual sorting
Built-in audit access — the ATF Audit Portal gives your IOI exactly what they need from a designated workstation
Self-audit mode — review your own records using the same tools the ATF uses
20-year retention — Cloud Storage stores every form for up to 20 years with encrypted backups and daily on-site syncing
The bottom line
An ATF inspection is not a pop quiz — it's a review of the systems and habits you've built into your daily operations. FFLs that maintain organized records, follow consistent procedures, and self-audit regularly have nothing to worry about.
The time to prepare is not the day the IOI calls. It's today. Review your records, train your staff, and build systems that keep you compliant by default — so when the inspection comes, you're ready.
Ready to get inspection-ready? E4473 digitizes the entire 4473 process and includes built-in self-audit tools and a dedicated ATF Audit Portal. Schedule a demo to see how it works for your store.