Paperwork organization

[wchutt]

Hello,
I was curious how everyone organizes their paperwork? I found one post in which there were two direct responses.
I have read that some keep the DROS and 4473 separate andd other file them together.
Particular way that you keep/file all the individual paperwork on a DROS?
Individual file folders/paperclip/staple?
Filing in chronological order/by DROS/other #?
Seprating paperwork, yearly/quarterly?
Other tips/tricks that have helped with audits when it comes to your filing system?

[Condorguns]

We keep all DROS paperwork stapled together for each individual gun. This is filed by date and cross-referenced with our intake numbers on the 4473.

[wchutt]

We keep all DROS paperwork stapled together for each individual gun. This is filed by date and cross-referenced with our intake numbers on the 4473.

Separate from 4473?

[Condorguns]

Yes separate from 4473's, but easly cross-referenced if needed.

[RZ Operations]

Since I am small and new to this, I just kept all paperwork together for now and use the 4473 number as the reference and keep it in chronological order based on the 4473 number.

Can anybody who has been audited by the CA DOJ advise what they are looking for if if they want to check DROS paperwork? Do they request by DROS # or name? I was trying to figure out the easiest way for me to reference back to the filing cabinet since I am keeping it together.

[Condorguns]

I have been through lots over the years.

Doj is looking for DROS paperwork, proof of residence, thumb prints, signatures, and lock info.

They normally ask to see all the DROS paperwork for a given time. I had one ask for the last 3 years. He looked kind of funny sitting behind the mountains of paperwork.

[RZ Operations]

I have been through lots over the years.

Doj is looking for DROS paperwork, proof of residence, thumb prints, signatures, and lock info.

They normally ask to see all the DROS paperwork for a given time. I had one ask for the last 3 years. He looked kind of funny sitting behind the mountains of paperwork.

hmm...that right there might make me want to separate. How do you cross reference on your DROS paperwork back to the 4473? And when you staple your DROS sheets together, do you have a specific order like Delivered on top and pending below?

[Condorguns]

I reference back by giving the 4473 a number and writing the same number on the DROS package. They are all the filed by date.

The DROS packet is normally the pending and delivered DROS, any copies of utilities, dmv, or military orders, copies of Id and FSC, and a copy of the lock recept if needed.

[Baboosh]

We file everything in the 4473 by bound book number.

DOJ ask to see a date period of DROS forms and randomly picks through them looking for signatures, thumb prints, CA paperwork and lock info.

If you have guns in DROS during the audit they will want to see all guns in DROS and that paperwork.

DOJ will also want to see all records pertaining to a gun that was denied. They are looking for straw purchases.

We had minor infractions that were honest mistakes. They made us correct them and that was the end of that. But in the future they expect us to not make the same mistake which is reasonable.

[RZ Operations]

We file everything in the 4473 by bound book number.

DOJ ask to see a date period of DROS forms and randomly picks through them looking for signatures, thumb prints, CA paperwork and lock info.

If you have guns in DROS during the audit they will want to see all guns in DROS and that paperwork.

DOJ will also want to see all records pertaining to a gun that was denied. They are looking for straw purchases.

We had minor infractions that were honest mistakes. They made us correct them and that was the end of that. But in the future they expect us to not make the same mistake which is reasonable.

Did you find it easy to pull the paperwork since it sounds like you file everything together? What about re filing afterwards?

[Baboosh]

Did you find it easy to pull the paperwork since it sounds like you file everything together? What about re filing afterwards?

Extremely easy. Since we file numerically we split them into file folders of 100 each that are numbered 1-100, 101-200 etc. Since these numbers match the bound book it's very easy to pull certain files.

[Tyke8319]

I separate DROS from 4473. I use the DROS number (i.e. 01234-56789) as the "Transferor's Transaction Serial Number" on the 4473's and the same number for my bound book. Everything matches and is easily retrieved.

[RZ Operations]

Extremely easy. Since we file numerically we split them into file folders of 100 each that are numbered 1-100, 101-200 etc. Since these numbers match the bound book it's very easy to pull certain files.

I think I'll try to stick to the something similar to how you are doing it. Thanks for the help.

[RZ Operations]

I separate DROS from 4473. I use the DROS number (i.e. 01234-56789) as the "Transferor's Transaction Serial Number" on the 4473's and the same number for my bound book. Everything matches and is easily retrieved.

What do you do when you have multiple DROS on one 4473? What # do you use then?

[ugimports]

We file 4473 and DROS separate. All DROS paperwork stapled together as Condorguns mentioned.

our ad book has columns for 4473 and DROS number so we can easily pull either record and cross reference each other. For our own sanity we number our 4473s using the format

YYYYMMDD-HHMM

So right now if we ran a 4473 it would be:
20150408-1029

We're small so don't run into multiple 4473s occurring per second.

That makes it easy for us to sort and file in logical groups.

We've been through both ATF and DOJ audits and have basically pulled out all the files they wanted for a given date range.

We've had DOJ agents ask to see 4473s but we question why and what they are looking for and then they stop asking.

ATF never really cared to see a DROS.

In any audit you always want to provide the MINIMUM documentation / information required to satisfy the question. Why? If you provide extra they may see something that may trigger a line of questions that can end up in a finding that they otherwise would not have found.

If you really want to be proactive to make sure all your ducks are in a row, don't have the DOJ or ATF be the ones to tell you. Hire someone else if you can find them. Whether that be another dealer or possibly a service NRA or one of the other gun rights groups offers.