See Below or Attached
Find attached: Orchid FFLPP Dlr-05 ATF Record Retention Sample Policy
Version: 1 2021.07.20
Dealer-05
Sample Policy
ATF Compliance Record Retention
User Agreement and Disclaimer:
Document Title | ATF Compliance Record Retention | ||
Owner | Effective Date | Revision # | Policy Number |
[Owner/President/Management] | Current | 1.0 | Dlr-05 |
1. POLICY
a. Overview
· The records and forms identified in the tables below must be filed and retained as outlined below.
· All required records must be stored at the licensed place of business.
· To the extent possible, all records shall be centralized at one location. This applies to both electronic and paper records.
b. Applicable Regulations and Forms
· 27 CFR 478, Subpart H
· 27 CFR 479, Subpart I
2. Roles & Responsibilities
· Oversight and maintenance of ATF records - [employee or department tbd by company]
Licensing and Registration Matters | ||||
Record | Maintenance Period | Filing Order | Regulation(s), Ruling(s), and/or Statute(s) | Governing Agency |
Application for Federal Firearms License – Form 7 | Permanently | N/A | 27 CFR 478.41 | ATF |
Application for an Amended Federal Firearms License – Form 5300.38 | Until receive Amended FFL | N/A | 27 CFR 478.52 | ATF |
Special Tax Registration and Return – Form 5630.7 | Copy of Return until receive SOT Stamp | N/A | 27 CFR 479.34 | ATF |
Federal Firearms License | For Duration of Firearms Operations | *Posted in Conspicuous Area | 27 CFR 478.91 | ATF |
Special Tax Stamp | For Duration of NFA Operations | *Posted with FFL | N/A | ATF |
Change of Control Notifications | Permanently | N/A | 27 CFR 478.54 | ATF |
Responsible Person Modifications | Permanently | Alphabetically | 18 USC 923 | ATF |
Change in Trade Name Notifications | Until renewal of FFL | N/A | 27 CFR 478.53 | ATF |
Discontinuance of Business Notification and Records Surrender | Permanently for surviving FFL, or, until winding up of business | N/A | 27 CFR 478.57 | ATF |
Transactional ATF Records (excluding NFA, export, and import, see below) | ||||
Record | Maintenance Period | Filing Order | Regulation(s), Ruling(s), and/or Statute(s) | Governing Agency |
A&D Book | 20 Years *Recommended Permanently | Chronologically, by date of Acquisition | 27 CFR 478.121 - .125 ATF Rul. 2016-1 | ATF |
Form 4473 for transferred items | 20 years | Chronologically, by Form #, or Alphabetically by Purchaser’s Last Name | 478.129 | ATF |
Form 4473 for non-transfers | 5 years | Separate from 4473s for completed transfers. Same filing options | 478.129 | ATF |
Report of Multiple Sale or Other Disposition of Pistols and Revolvers (Form 3310.4) | (See Filing Order) | Keep with 4473 to which applicable | 478.129 | ATF |
Report of Multiple Sale or Other Disposition of Certain Rifles (Form 3310.12) | (See Filing Order) | Keep with 4473 to which applicable | 18 U.S.C. 923 | ATF |
Theft / Loss Report (Form 3310.11) | Permanent | Chronological | 27 CFR 478.39a | ATF |
Found Report | Permanent | Chronological | 27 CFR 478.39a | ATF |
Law Enforcement Officer Letters (no 4473 for LEOs) | Permanently | Chronological | 27 CFR 478.134 | ATF |
Copies of current, unexpired FFLs/SOTs of Commercial Partners | Until such time as Company no longer ships / receives firearms from entity | Alphabetical | 27 CFR 478.94 | ATF |
NFA Records | ||||
Record | Maintenance Period | Filing Order | Regulation(s), Ruling(s), and/or Statute(s) | Governing Agency |
Form 1 | Permanently | Chronological | 27 CFR 479.62 | ATF |
Form 2 | Permanently | Chronological | 27 CFR 479.103 | ATF |
Form 3 (Disposition) | Permanently | Chronological – in Form 3 Outbound | 27 CFR 479.88 | ATF |
Form 3 (Acquisition) | Permanently | Chronological – in Form 3 Inbound | 27 CFR 479.88 | ATF |
Form 4 (Disposition) | Permanently | Chronological – in Form 4 Outbound | 27 CFR 479.84 | ATF |
Form 4 (Acquisition) | Permanently | Chronological – in Form 4 Inbound | 27 CFR 479.84 | ATF |
Form 5 (Disposition) | Permanently | Chronological – in Form 5 Outbound | 27 CFR 479.90; 479.90a; 479.91 | ATF |
Form 5 (Acquisition) | Permanently | Chronological – in Form 5 Inbound | 27 CFR 479.90; 479.90a; 479.91 | ATF |
Form 9 | Permanently | Chronological | 27 CFR 479.114 | ATF |
Proof of Exportation (in form made, see 27 CFR 479.118) | Permanently | Chronological | 27 CFR 479.118 | ATF |
Destruction Letters / Void Registries | Permanently | Chronological | - | ATF |
Void Registrations (Transfers) | Permanently | Chronological | - | ATF |
Law Enforcement Demonstration Request Letters (for post-86 Machine Gun Transfers)) | Until disposition of Machine Gun in Possession | Chronological | 18 USC 922(o); 27 CFR 479.105 | ATF |
Import Records | ||||
Record | Maintenance Period | Filing Order | Regulation(s), Ruling(s), and/or Statute(s) | Governing Agency |
Application and Permit for Importation of Firearms, Ammunition and Implements of War (ATF Form 6) | Permanently | Chronologically | 27 CFR 447.34; 478.129 | ATF |
Release and Receipt of Imported Firearms, Ammunition and Implements of War (ATF Form 6A) | Permanently | Chronologically, with applicable Form 6 | 27 CFR 478.112; 478.129 | ATF |
International Import Certificate (for applicable transactions) (BIS-645P/ATF-4522/DPS-53) | Permanently | Chronologically, with applicable Form 6 | 27 CFR 447.51; 478.129 | ATF |
Delivery Verification Certificate (BIS-647-P) | Permanently | Chronologically, with applicable Form 6 | 27 CFR 447.51; 478.129 | BIS |
Other General Records | ||||
Record | Maintenance Period | Filing Order | Regulation(s) & Ruling(s) | Governing Agency |
ATF Variances (e.g., process, system, licensing) | Permanently | Chronological | 27 CFR 478.22; 479.26 | ATF |
Advisory Opinions | Permanently | Chronological | 22 CFR 126.9 | ATF or DDTC |
Informal Advice from ATF Dictating Proper Course of Action | Permanently | Chronological | - | ATF |