Audit of the Bureau of Alcohol, Tobacco, Firearms and Explosives’ Risk-Based Inspection Selection Processes and Administrative Actions Issued to Federal Firearms Licensees

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Date Issued

Thursday, April 20, 2023

Submitting OIG

Department of Justice OIG

Other Participating OIGs

Department of Justice OIG

Agencies Reviewed/Investigated

Department of Justice

Components

Bureau of Alcohol, Tobacco, Firearms and Explosives

Report Number

23-062

Report Type

Audit

Agency Wide

Yes

Number of Recommendations

Questioned Costs

Funds for Better Use

Open Recommendations

This report has 6 open recommendations.

Recommendation Number	Significant Recommendation	Recommended Questioned Costs	Recommended Funds for Better Use	Additional Details
1	No	$0	$0	Accurate as of September 30, 2024.
Examine its domain assessment process - including the Top 100 Initiative and recall inspection activities - and refine its strategies for identifying and tracking risks, deploying resources, and accomplishing goals.
11	No	$0	$0	Accurate as of September 30, 2024.
Implement a process to conduct ongoing formal, data-based, comprehensive reviews of inspections results to ensure consistent application of the standards and assist ATF in reaching its inspection program goals of reducing the possibility of firearms being diverted from legal commerce and maintaining the traceability of firearms.
12	No	$0	$0	Accurate as of September 30, 2024.
Adopt mechanisms to improve the accuracy of its information-sharing data and the completeness of its information about the outcomes of internal and external referrals and use this information to better assess the value and effectiveness of its information sharing practices, with the goal of providing enhanced oversight of FFLs.
2	No	$0	$0	Accurate as of September 30, 2024.
Refine the CGIC performance review process to include sufficient information to allow for an assessment of the outcomes and effectiveness of the CGIC intelligence that is shared with Industry Operations.
3	No	$0	$0	Accurate as of September 30, 2024.
Memorialize in policy and procedures how CGIA can and should be used for its Industry Operations activities, including providing guidance and examples for how CGIA can be used by IOIs to prepare for an inspection.
4	No	$0	$0	Accurate as of September 30, 2024.
Establish a recurring process to assess the risk indicators that contribute to the selection of FFLs for inspection and evaluate the results of the inspections to ensure that field divisions are effectively identifying high-risk FFLs.