Are Your Records Ready for Inspection?

By John Bocker, NSSF Security Consultant Team Member

Much of what I do focuses on visiting FFL locations across the country and working to specifically identify and correct training issues relevant to firearms inventory management and transfer processes. With more than 30 years at this, what I’ve learned over the years is that record keeping is crucial to any business’ success. I’ve personally seen inaccurate record keeping lead to business slow-downs, temporary closures, bankruptcies, lawsuits, and even executive indictments—and if you’re an owner or C-level exec in the firearms industry, you know that when it comes to managing and tracking firearms transfers, the government inspectors are intense on detail accuracy!Recent misuses and tragedies involving firearms have heightened awareness and concern in this area and should be a reminder to us all that illicit acts involving guns could occur anywhere and by anyone. Although this increased focus may be a good reason to review your internal processes for accuracy and timeliness of record completion, I’d like to fall back on the basic “good business” principle of keeping accurate records for the sake of complying with standard expectations and maintaining good business.

Start With Your A&D Book

So what best practices should every FFL have in place to support their record-keeping processes to avoid unnecessary liability concerns, finger-pointing, slanderous or false accusations, media exposure, and guilt? My suggestion is to start with your Acquisition & Disposition (A&D) book.

Double, No, Triple Check

Too often I visit an FFL and learn that there is no double- or triple-check process at the time a firearm is transferred. In almost all the cases, we can quickly design a process by which a second person on duty can be required to check the 4473 forms before the completion of the transfer. Yes, this may require someone to stop what they are doing and to be proficient in the requirements of the 4473, but this simple second check can help avoid simple but critical errors, including expiration dates of an ID, a disqualifying issue identified, a missing date, an empty or incomplete answer, etc. It’s much easier to correct an issue prior to a transfer being completed and before the firearm leaves your building versus trying to repair the issue later. Even better? I’ve worked with FFLs with a near-perfect 4473 review process in place wherein a third review is completed by a third employee at the time the transfer paperwork is filed. The more work and focus you put into it, the better your details and accuracy will be!

Tip! Checking the 4473 firearms information against the A&D book information before a transfer is completed provides another opportunity to ensure accuracy across the board and correct any errors before a firearm leaves your store.

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John Bocker is an NSSF Security Consultant Team Member and the Managing Director at JB Group, LLC, based in Denver, Colorado. JB Group is a business security and strategy consulting organization specializing in ATF FFL compliance and protecting FFLs against unexpected losses resulting from burglary, robbery, and internal control failures. For more information call 720-514-0609.