Alcohol, Tobacco Products and Firearms

27 Part 400 to End Revised as of April 1, 2010

Containing a codification of documents of general applicability and future effect

As of April 1, 2010

With Ancillaries

Published by Office of the Federal Register National Archives and Records Administration

A Special Edition of the Federal Register

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Use of ISBN Prefix This is the Official U.S. Government edition of this publication and is herein identified to certify its authenticity. Use of the 0–16 ISBN prefix is for U.S. Government Printing Office Official Edi- tions only. The Superintendent of Documents of the U.S. Govern- ment Printing Office requests that any reprinted edition clearly be labeled as a copy of the authentic work with a new ISBN.

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Page Explanation ...... v

Title 27:

Chapter II—Bureau of Alcohol, Tobacco, Firearms, and Explo- sives, Department of Justice ...... 3

Finding Aids:

Table of CFR Titles and Chapters ...... 181

Alphabetical List of Agencies Appearing in the CFR ...... 201

List of CFR Sections Affected ...... 211

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To cite the regulations in this volume use title, part and section number. Thus, 27 CFR 447.1 refers to title 27, part 447, section 1.

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The Code of Federal Regulations is a codification of the general and permanent rules published in the Federal Register by the Executive departments and agencies of the Federal Government. The Code is divided into 50 titles which represent broad areas subject to Federal regulation. Each title is divided into chapters which usually bear the name of the issuing agency. Each chapter is further sub- divided into parts covering specific regulatory areas. Each volume of the Code is revised at least once each calendar year and issued on a quarterly basis approximately as follows: Title 1 through Title 16...... as of January 1 Title 17 through Title 27 ...... as of April 1 Title 28 through Title 41 ...... as of July 1 Title 42 through Title 50...... as of October 1 The appropriate revision date is printed on the cover of each volume. LEGAL STATUS The contents of the Federal Register are required to be judicially noticed (44 U.S.C. 1507). The Code of Federal Regulations is prima facie evidence of the text of the original documents (44 U.S.C. 1510). HOW TO USE THE CODE OF FEDERAL REGULATIONS The Code of Federal Regulations is kept up to date by the individual issues of the Federal Register. These two publications must be used together to determine the latest version of any given rule. To determine whether a Code volume has been amended since its revision date (in this case, April 1, 2010), consult the ‘‘List of CFR Sections Affected (LSA),’’ which is issued monthly, and the ‘‘Cumulative List of Parts Affected,’’ which appears in the Reader Aids section of the daily Federal Register. These two lists will identify the Federal Register page number of the latest amendment of any given rule. EFFECTIVE AND EXPIRATION DATES Each volume of the Code contains amendments published in the Federal Reg- ister since the last revision of that volume of the Code. Source citations for the regulations are referred to by volume number and page number of the Federal Register and date of publication. Publication dates and effective dates are usually not the same and care must be exercised by the user in determining the actual effective date. In instances where the effective date is beyond the cut- off date for the Code a note has been inserted to reflect the future effective date. In those instances where a regulation published in the Federal Register states a date certain for expiration, an appropriate note will be inserted following the text. OMB CONTROL NUMBERS The Paperwork Reduction Act of 1980 (Pub. L. 96–511) requires Federal agencies to display an OMB control number with their information collection request.

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VerDate Nov<24>2008 08:41 Apr 27, 2010 Jkt 220106 PO 00000 Frm 00006 Fmt 8008 Sfmt 8092 Y:\SGML\220106.XXX 220106 erowe on DSK5CLS3C1PROD with CFR REPUBLICATION OF MATERIAL There are no restrictions on the republication of material appearing in the Code of Federal Regulations. INQUIRIES For a legal interpretation or explanation of any regulation in this volume, contact the issuing agency. The issuing agency’s name appears at the top of odd-numbered pages. For inquiries concerning CFR reference assistance, call 202–741–6000 or write to the Director, Office of the Federal Register, National Archives and Records Administration, Washington, DC 20408 or e-mail [email protected]. SALES The Government Printing Office (GPO) processes all sales and distribution of the CFR. For payment by credit card, call toll-free, 866-512-1800, or DC area, 202- 512-1800, M-F 8 a.m. to 4 p.m. e.s.t. or fax your order to 202-512-2250, 24 hours a day. For payment by check, write to: US Government Printing Office – New Orders, P.O. Box 979050, St. Louis, MO 63197-9000. For GPO Customer Service call 202-512-1803. ELECTRONIC SERVICES The full text of the Code of Federal Regulations, the LSA (List of CFR Sections Affected), The United States Government Manual, the Federal Register, Public Laws, Public Papers, Daily Compilation of Presidential Documents and the Pri- vacy Act Compilation are available in electronic format via Federalregister.gov. For more information, contact Electronic Information Dissemination Services, U.S. Government Printing Office. Phone 202-512-1530, or 888-293-6498 (toll-free). E- mail, [email protected]. The Office of the Federal Register also offers a free service on the National Archives and Records Administration’s (NARA) World Wide Web site for public law numbers, Federal Register finding aids, and related information. Connect to NARA’s web site at www.archives.gov/federal-register. The NARA site also contains links to GPO Access.

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Title 27—ALCOHOL, TOBACCO PRODUCTS AND FIREARMS is composed of three volumes, parts 1–39, parts 40–399, and part 400 to end. The contents of these volumes represent all current regulations issued by the Alcohol and Tobacco Tax and Trade Bureau, Department of the Treasury, and the Bureau of Alcohol, Tobacco, Firearms, and Explosives, Department of Justice, as of April 1, 2010.

For this volume, Michele Bugenhagen was Chief Editor. The Code of Federal Regulations publication program is under the direction of Michael L. White, as- sisted by Ann Worley.

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(This book contains part 400 to End)

Part

CHAPTER II—Bureau of Alcohol, Tobacco, Firearms, and Ex- plosives, Department of Justice ...... 447

ABBREVIATIONS USED IN THIS CHAPTER: ATF = Alcohol, Tobacco and Firearms. TD = Treasury Decision. TTB = Alcohol and Tobacco Tax and Trade Bureau.

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SUBCHAPTER A [RESERVED]

SUBCHAPTER B—FIREARMS AND AMMUNITION

Part Page 400–446 [Reserved] 447 Importation of arms, ammunition and implements of war ...... 5 478 Commerce in firearms and ammunition ...... 18 479 Machine guns, destructive devices, and certain other firearms ...... 86

SUBCHAPTER C—EXPLOSIVES 555 Commerce in Explosives ...... 115

SUBCHAPTER D—MISCELLANEOUS REGULATIONS RELATING TO ALCOHOL AND TOBACCO 646 Contraband cigarettes...... 176

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PARTS 400–446 [RESERVED] Subpart G—Penalties, Seizures and Forfeitures PART 447—IMPORTATION OF 447.61 Unlawful importation. ARMS, AMMUNITION AND IMPLE- 447.62 False statements or concealment of facts. MENTS OF WAR 447.63 Seizure and forfeiture. Subpart A—Scope AUTHORITY: 22 U.S.C. 2778. SOURCE: T.D. ATF–8, 39 FR 3251, Jan. 25, Sec. 1974, unless otherwise noted. Redesignated 447.1 General. by T.D. ATF–487, 68 FR 3747, Jan. 24, 2003. 447.2 Relation to other laws and regulations. EDITORIAL NOTE: Nomenclature changes to part 447 appear at 68 FR 3748, Jan. 24, 2003. Subpart B—Definitions Subpart A—Scope 447.11 Meaning of terms. § 447.1 General. Subpart C—The U.S. Munitions Import List The regulations in this part relate to 447.21 The U.S. Munitions Import List. that portion of Section 38, Arms Ex- 447.22 Forgings, castings, and machined port Control Act of 1976, as amended, bodies. which is concerned with the importation of arms, ammunition and imple- Subpart D—Registration ments of war. This part contains the 447.31 Registration requirement. U.S. Munitions Import List and in- 447.32 Application for registration and re- cludes procedural and administrative fund of fee. requirements and provisions relating 447.33 Notification of changes in informa- to registration of importers, permits, tion furnished by registrants. articles in transit, import certifi- 447.34 Maintenance of records by persons re- cation, delivery verification, import required to register as importers of Import strictions applicable to certain coun- List articles. tries, exemptions, U.S. military fire- 447.35 Forms prescribed. arms or ammunition, penalties, sei- Subpart E—Permits zures, and forfeitures. All designations and changes in designation of articles 447.41 Permit requirement. subject to import control under Sec- 447.42 Application for permit. tion 414 of the Mutual Security Act of 447.43 Terms of permit. 1954, as amended, have the concurrence 447.44 Permit denial, revocation or suspen- of the Secretary of State and the Sec- sion. retary of Defense. 447.45 Importation. 447.46 Articles in transit. [T.D. ATF–8, 39 FR 3251, Jan. 25, 1974, as amended by T.D. ATF–215, 50 FR 42158, Oct. Subpart F—Miscellaneous Provisions 18, 1985]

447.51 Import certification and delivery § 447.2 Relation to other laws and reg- verification. ulations. 447.52 Import restrictions applicable to cer- (a) All of those items on the U.S. Mu- tain countries. nitions Import List (see § 447.21) which 447.53 Exemptions. are ‘‘firearms’’ or ‘‘ammunition’’ as de- 447.54 Administrative procedures inapplicable. fined in 18 U.S.C. 921(a) are subject to 447.55 Departments of State and Defense the interstate and foreign commerce consulted. controls contained in Chapter 44 of 447.56 Authority of Customs officers. Title 18 U.S.C. and 27 CFR Part 478 and 447.57 U.S. military defense articles. if they are ‘‘firearms’’ within the defi- 447.58 Delegations of the Director. nition set out in 26 U.S.C. 5845(a) are

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also subject to the provisions of 27 CFR plural form shall include the singular, Part 479. Any person engaged in the and vice versa, and words imparting business of importing firearms or am- the masculine gender shall include the munition as defined in 18 U.S.C. 921(a) feminine. The terms ‘‘includes’’ and must obtain a license under the provi- ‘‘including’’ do not exclude other sions of 27 CFR Part 478, and if he im- things not enumerated which are in the ports firearms which fall within the same general class or are otherwise definition of 26 U.S.C. 5845(a) must also within the scope thereof. register and pay special tax pursuant Appropriate ATF officer. An officer or to the provisions of 27 CFR Part 479. employee of the Bureau of Alcohol, To- Such licensing, registration and special bacco and Firearms (ATF) specified by tax requirements are in addition to ATF Order 1130.34, Delegation of the registration under subpart D of this Director’s Authorities in 27 CFR Part part. 447, Importation of Arms, Ammunition (b) The permit procedures of subpart E of this part are applicable to all im- and Implements of War. portations of articles on the U.S. Muni- Article. Any of the arms, ammuni- tions Import List not subject to con- tion, and implements of war enumer- trols under 27 CFR Part 478 or 479. U.S. ated in the U.S. Munitions Import List. Munitions Import List articles subject Bureau. Bureau of Alcohol, Tobacco to controls under 27 CFR Part 478 or 27 and Firearms, the Department of the CFR Part 479 are subject to the import Treasury. permit procedures of those regulations Carbine. A short-barrelled rifle whose if imported into the United States barrel is generally not longer than 22 (within the meaning of 27 CFR Parts inches and is characterized by light 478 and 479). weight. (c) Articles on the U.S. Munitions CFR. The Code of Federal Regula- Import List imported for the United tions. States or any State or political sub- Chemical agent. A substance useful in division thereof are exempt from the war which, by its ordinary and direct import controls of 27 CFR Part 478 but chemical action, produces a powerful are not exempt from control under Sec- physiological effect. tion 38, Arms Export Control Act of 1976, unless imported by the United Defense articles. Any item designated States or any agency thereof. All such in § 447.21 or § 447.22. This term includes importations not imported by the models, mockups, and other such items United States or any agency thereof which reveal technical data directly re- shall be subject to the import permit lating to § 447.21 or § 447.22. procedures of subpart E of this part. Defense services. (a) The furnishing of (d) For provisions requiring the reg- assistance, including training, to for- istration of persons engaged in the eign persons in the design, engineering, business of brokering activities with development, production, processing, respect to the importation of any de- manufacture, use, operation, overhaul, fense article or defense service, see De- repair, maintenance, modification, or partment of State regulations in 22 reconstruction of defense articles, CFR part 129. whether in the United States or abroad; or [T.D. ATF–215, 50 FR 42158, Oct. 18, 1985, as amended by T.D. ATF–426, 65 FR 38197, June (b) The furnishing to foreign persons 20, 2000] of any technical data, whether in the United States or abroad. Subpart B—Definitions Director. The Director, Bureau of Al- cohol, Tobacco and Firearms, the De- § 447.11 Meaning of terms. partment of the Treasury, Washington, When used in this part and in forms DC 20226. prescribed under this part, where not Executed under the penalties of perjury. otherwise distinctly expressed or mani- Signed with the prescribed declaration festly incompatible with the intent under the penalties of perjury as pro- thereof, terms shall have the meanings vided on or with respect to the applica- ascribed in this section. Words in the tion, form, or other document or,

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where no form of declaration is pre- This chapter. Title 27, Code of Federal scribed, with the declaration: ‘‘I de- Regulations, Chapter II (27 CFR Chap- clare under the penalties of perjury ter II). that this llllll (insert type of United States. When used in the geo- document such as statement, certifi- graphical sense, includes the several cate, application, or other document), States, the Commonwealth of Puerto including the documents submitted in Rico, the insular possessions of the support thereof, has been examined by United States, the District of Colum- me and, to best of my knowledge and bia, and any territory over which the belief, is true, correct, and complete.’’ United States exercises any powers of Firearms. A weapon, and all compo- administration, legislation, and juris- nents and parts therefor, not over .50 diction. caliber which will or is designed to or (26 U.S.C. 7805 (68A Stat. 917), 27 U.S.C. 205 (49 may be readily converted to expel a Stat. 981 as amended), 18 U.S.C. 926 (82 Stat. projectile by the action of an explosive, 959), and sec. 38, Arms Export Control Act (22 but shall not include BB and pellet U.S.C. 2778, 90 Stat. 744)) guns, and muzzle loading (black pow- [T.D. ATF–48, 43 FR 13535, Mar. 31, 1978; 44 der) firearms (including any firearm FR 55840, Sept. 28, 1979, as amended by T.D. with a matchlock, flintlock, percussion ATF–202, 50 FR 14382, Apr. 12, 1985; T.D. ATF– cap, or similar type of ignition system) 215, 50 FR 42158, Oct. 18, 1985; T.D. ATF–484, or firearms covered by Category I(a) 67 FR 64526, Oct. 21, 2002; T.D. ATF–9F, 72 FR established to have been manufactured 72938, Dec. 26, 2007] in or before 1898. Import or importation. Bringing into Subpart C—The U.S. Munitions the United States from a foreign coun- Import List try any of the articles on the Import List, but shall not include intransit, § 447.21 The U.S. Munitions Import temporary import or temporary export List. transactions subject to Department of The U.S. Munitions List compiled by State controls under Title 22, Code of the Department of State, Office of De- Federal Regulations. fense Trade Controls, and published at Import List. The list of articles con- 22 CFR 121.1, with the deletions indi- tained in § 447.21 and identified therein cated, has been adopted as an enumera- as ‘‘The U.S. Munitions Import List’’. tion of the defense articles subject to Machinegun. A ‘‘machinegun’’, ‘‘ma- controls under this part. The expur- chine pistol’’, ‘‘submachinegun’’, or gated list, set out below, shall, for the ‘‘automatic rifle’’ is a firearm origi- purposes of this part, be known as the nally designed to fire, or capable of U.S. Munitions Import List: being fired fully automatically by a single pull of the trigger. THE U.S. MUNITIONS IMPORT LIST Permit. The same as ‘‘license’’ for purposes of 22 U.S.C. 1934(c). CATEGORY I—FIREARMS Person. A partnership, company, association, or corporation, as well as a (a) Nonautomatic and semiautomatic fire- natural person. arms, to caliber .50 inclusive, combat shot- Pistol. A hand-operated firearm hav- guns, and shotguns with barrels less than 18 ing a chamber integral with, or perma- inches in length, and all components and parts for such firearms. nently aligned with, the bore. (b) Automatic firearms and all components Revolver. A hand-operated firearm and parts for such firearms to caliber .50 in- with a revolving cylinder containing clusive. chambers for individual cartridges. (c) Insurgency-counterinsurgency type Rifle. A shoulder firearm discharging firearms of other weapons having a special bullets through a rifled barrel at least military application (e.g. close assault weap- 16 inches in length, including combina- ons systems) regardless of caliber and all tion and drilling guns. components and parts for such firearms. (d) Firearms silencers and suppressors, in- Sporting type sight including optical. A cluding flash suppressors. telescopic sight suitable for daylight (e) Riflescopes manufactured to military use on a rifle, shotgun, pistol, or re- specifications and specifically designed or volver for hunting or target shooting. modified components therefor.

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NOTE: Rifles, carbines, revolvers, and pis- boosters, guidance system equipment and tols, to caliber .50 inclusive, combat shot- parts, launching racks and projectors, pistols guns, and shotguns with barrels less than 18 (exploders), igniters, fuze arming devices, inches in length are included under Category intervalometers, guided missile launchers I(a). Machineguns, submachineguns, machine and specialized handling equipment, and pistols and fully automatic rifles to caliber hardened missile launching facilities. .50 inclusive are included under Category (d) Missile and space vehicle powerplants. I(b). (e) Military explosive excavating devices. (f) Ablative materials fabricated or semi- CATEGORY II—ARTILLERY PROJECTORS fabricated from advanced composites (e.g., (a) Guns over caliber .50, howitzers, mor- silica, graphite, carbon, carbon/carbon, and tars, and recoiless rifles. boron filaments) for the articles in this cat- (b) Military flamethrowers and projectors. egory that are derived directly from or spe- (c) Components, parts, accessories, and at- cifically developed or modified for defense tachments for the articles in paragraphs (a) articles. and (b) of this category, including but not (g) Non/nuclear warheads for rockets and limited to mounts and carriages for these ar- guided missiles. ticles. (h) All specifically designed components or modified components, parts, accessories, at- CATEGORY III—AMMUNITION tachments, and associated equipment for the (a) Ammunition for the arms in Categories articles in this category. I and II of this section. NOTE: Military demolition blocks and (b) Components, parts, accessories, and at- blasting caps referred to in Category IV(a) do tachments for articles in paragraph (a) of not include the following articles: this category, including but not limited to (a) Electric squibs. cartridge cases, powder bags, bullets, jack- (b) No. 6 and No. 8 blasting caps, including ets, cores, shells (excluding shotgun shells), electric ones. projectiles, boosters, fuzes and components (c) Delay electric blasting caps (including therefor, primers, and other detonating de- No. 6 and No. 8 millisecond ones). vices for such ammunition. (d) Seismograph electric blasting caps (in- (c) Ammunition belting and linking ma- cluding SSS, Static-Master, Vibrocap SR, chines. and SEISMO SR). (d) Ammunition manufacturing machines (e) Oil well perforating devices. and ammunition loading machines (except NOTE: Category V of ‘‘Munitions List’’ de- handloading ones). leted as inapplicable to imports. NOTE: Cartridge and shell casings are in- CATEGORY VI—VESSELS OF WAR AND SPECIAL cluded under Category III unless, prior to NAVAL EQUIPMENT their importation, they have been rendered useless beyond the possibility of restoration (a) Warships, amphibious warfare vessels, for use as a cartridge or shell casing by landing craft, mine warfare vessels, patrol means of heating, flame treatment, man- vessels, auxiliary vessels and service craft, gling, crushing, cutting, or popping. experimental types of naval ships and any vessels specifically designed or modified for CATEGORY IV—LAUNCH VEHICLES, GUIDED MIS- military purposes. SILES, BALLISTIC MISSILES, ROCKETS, TOR- (b) Turrets and gun mounts, arresting gear, PEDOES, BOMBS AND MINES special weapons systems, protective systems, (a) Rockets (including but not limited to submarine storage batteries, catapults and meteorological and other sounding rockets), other components, parts, attachments, and bombs, grenades, torpedoes, depth charges, accessories specifically designed or modified land and naval mines, as well as launchers for combatant vessels. for such defense articles, and demolition (c) Mine sweeping equipment, components, blocks and blasting caps. parts, attachments and accessories specifi- (b) Launch vehicles and missile and anti- cally designed or modified therefor. missile systems including but not limited to (d) Harbor entrance detection devices guided, tactical and strategic missiles, (magnetic, pressure, and acoustic ones) and launchers, and systems. controls and components therefor. (c) Apparatus, devices, and materials for (e) Naval nuclear propulsion plants, their the handling, control, activation, moni- land prototypes and special facilities for toring, detection, protection, discharge, or their construction, support and mainte- detonation of the articles in paragraphs (a) nance. This includes any machinery, device, and (b) of this category. Articles in this cat- component, or equipment specifically devel- egory include, but are not limited to, the fol- oped or designed or modified for use in such lowing: Fuses and components for the items plants or facilities. in this category, bomb racks and shackles, NOTE: The term ‘‘vessels of war’’ includes, bomb shackle release units, bomb ejectors, but is not limited to the following: torpedo tubes, torpedo and guided missile (a) Combatant vessels:

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(1) Warships (including nuclear-powered CATEGORY VII—TANKS AND MILITARY VEHICLES versions): (a) Military type armed or armored vehi- (i) Aircraft carriers (CV, CVN) cles, military railway trains, and vehicles (ii) Battleships (BB) specifically designed or modified to accom- (iii) Cruisers (CA, CG, CGN) modate mountings for arms or other special- (iv) Destroyers (DD, DDG) ized military equipment or fitted with such (v) Frigates (FF, FFG) items. (vi) Submarines (SS, SSN, SSBN, SSG, SSAG). (b) Military tanks, combat engineer vehicles, bridge launching vehicles, halftracks (2) Other Combatant Classifications: and gun carriers. (i) Patrol Combatants (PC, PHM) (ii) Amphibious Helicopter/Landing Craft (c) Self-propelled guns and howitzers. Carriers (LHA, LPD, LPH) NOTE: Category VII (d) and (e) of ‘‘Muni- (iii) Amphibious Landing Craft Carriers tions List’’ deleted as inapplicable to im- (LKA, LPA, LSD, LST) ports. (iv) Amphibious Command Ships (LCC) (f) Amphibious vehicles. (v) Mine Warfare Ships (MSO). (g) Engines specifically designed or modi- (b) Auxiliaries: fied for the vehicles in paragraphs (a), (b), (1) Mobile Logistics Support: (c), and (f) of this category. (i) Under way Replenishment (AD, AF, (h) All specifically designed or modified AFS, AO, AOE, AOR) components and parts, accessories, attach- (ii) Material Support (AD, AR, AS). ments, and associated equipment for the ar- (2) Support Ships: ticles in this category, including but not (i) Fleet Support Ships (ARS, ASR, ATA, limited to military bridging and deep water ATF, ATS) fording kits. (ii) Other Auxiliaries (AG, AGDS, AGF, NOTE: An ‘‘amphibious vehicle’’ in Cat- AGM, AGOR, AGOS, AGS, AH, AK, AKR, egory VII(f) is an automotive vehicle or AOG, AOT, AP, APB, ARC, ARL, AVM, chassis which embodies all-wheel drive, AVT). which is equipped to meet special military (c) Combatant Craft: requirements, and which has sealed elec- (1) Patrol Craft: trical systems and adaptation features for (i) Coastal Patrol Combatants (PB, PCF, deep water fording. PCH, PTF) (ii) River, Roadstead Craft (ATC, PBR). CATEGORY VIII—AIRCRAFT, SPACECRAFT, AND (2) Amphibious Warfare Craft: ASSOCIATED EQUIPMENT (i) Landing Craft (AALC, LCAC, LCM, LCPL, LCPR, LCU, LWT, SLWT) (a) Aircraft, including but not limited to (ii) Special Warfare Craft (LSSC, MSSC, helicopters, non-expansive balloons, drones SDV, SWCL, SWCM). and lighter-than-air aircraft, which are spe- (3) Mine Warfare Craft: cifically designed, modified, or equipped for (i) Mine Countermeasures Craft (MSB, military purposes. This includes but is not MSD, MSI, MSM, MSR). limited to the following military purposes: (d) Support and Service Craft: gunnery, bombing, rocket or missile launch- (1) Tugs (YTB, YTL, YTM) ing, electronic and other surveillance, recon- (2) Tankers (YO, YOG, YW) naissance, refueling, aerial mapping, mili- (3) Lighters (YC, YCF, YCV, YF, YFN, tary liaison, cargo carrying or dropping, per- YFNB, YFNX, YFR, YFRN, YFU, YG, YGN, sonnel dropping, airborne warning and con- YOGN, YON, YOS, YSR, YWN) trol, and military training. (4) Floating Dry Docks (AFDB, AFDL, NOTE: Category VIII (b) through (j) and AFDM, ARD, ARDM, YFD) Categories IX, X, XI, XII and XIII of ‘‘Muni- (5) Miscellaneous (APL, DSRV, DSV, IX, tions List’’ deleted as inapplicable to im- NR, YAG, YD, YDT, YFB, YFND, YEP, ports. YFRT, YHLC, YM, YNG, YP, YPD, YR, YRB, NOTE: In Category VIII, ‘‘aircraft’’ means YRBN, YRDH, YRDM, YRR, YRST, YSD). aircraft designed, modified, or equipped for a (e) Coast Guard Patrol and Service Vessels military purpose, including aircraft de- and Craft: scribed as ‘‘demilitarized.’’ All aircraft bear- (1) Coast Guard Cutters (CGC, WHEC, ing an original military designation are in- WMEC) cluded in Category VIII. However, the fol- (2) Patrol Craft (WPB) lowing aircraft are not so included so long as (3) Icebreakers (WAGB) they have not been specifically equipped, re- (4) Oceanography Vessels (WAGO) equipped, or modified for military oper- (5) Special Vessels (WIX) ations: (6) Buoy Tenders (WLB, WLM, WLI, WLR, (a) Cargo aircraft bearing ‘‘C’’ designations WLIC) and numbered C–45 through C–118 inclusive, (7) Tugs (WYTM, WYTL) and C–121 through C–125 inclusive, and C–131, (8) Light Ships (WLV). using reciprocating engines only.

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(b) Trainer aircraft bearing ‘‘T’’ designa- (e) Nerve agents, gases, and aerosols. These tions and using reciprocating engines or tur- are toxic compounds which affect the nerv- boprop engines with less than 600 horsepower ous system, such as: (s.h.p.). (1) Dimethylaminoethoxycyanophosphine (c) Utility aircraft bearing ‘‘U’’ designa- oxide (GA). tions and using reciprocating engines only. (2) Methylisopropoxyfluorophosphine oxide (d) All liaison aircraft bearing an ‘‘L’’ des- (GB). ignation. (3) Methylpinacolyloxyfluoriphosphine (e) All observation aircraft bearing ‘‘O’’ oxide (GD). designations and using reciprocating engines. (f) Antiplant chemicals, such as: Butyl 2- chloro-4-fluorophenoxyacetate (LNF). CATEGORY XIV—TOXICOLOGICAL AGENTS AND EQUIPMENT AND RADIOLOGICAL EQUIPMENT CATEGORY XV [Reserved]

(a) Chemical agents, including but not lim- CATEGORY XVI—NUCLEAR WEAPONS DESIGN AND ited to lung irritants, vesicants, TEST EQUIPMENT lachrymators, and tear gases (except tear gas formulations containing 1% or less CN or (a) Any article, material, equipment, or de- CS), sternutators and irritant smoke, and vice, which is specifically designed or modi- nerve gases and incapacitating agents. fied for use in the design, development, or (b) Biological agents. fabrication of nuclear weapons or nuclear ex- (c) Equipment for dissemination, detec- plosive devices. tion, and identification of, and defense (b) Any article, material, equipment, or de- against, the articles in paragraphs (a) and (b) vice, which is specifically designed or modi- of this category. fied for use in the devising, carrying out, or (d) Nuclear radiation detection and meas- evaluating of nuclear weapons tests or any uring devices manufactured to military spec- other nuclear explosions, except such items ification. as are in normal commercial use for other (e) Components, parts, accessories, attach- purposes. ments, and associated equipment specifically NOTE: Categories XVII, XVIII, and XIX of designed or modified for the articles in para- ‘‘Munitions List’’ deleted as inapplicable to graphs (c) and (d) of this category. imports. NOTE: A chemical agent in Category XIV(a) is a substance having military application CATEGORY XX—SUBMERSIBLE VESSELS, which by its ordinary and direct chemical OCEANOGRAPHIC AND ASSOCIATED EQUIPMENT action produces a powerful physiological effect. The term ‘‘chemical agent’’ includes, (a) Submersible vessels, manned and un- but is not limited to, the following chemical manned, designed or modified for military compounds: purposes or having independent capability to (a) Lung irritants: maneuver vertically or horizontally at (1) Diphenylcyanoarsine (DC). depths below 1,000 feet, or powered by nu- (2) Fluorine (but not fluorene). clear propulsion plants. (3) Trichloronitro methane (chloropicrin (b) Submersible vessels, manned or un- PS). manned, designed or modified in whole or in (b) Vesicants: part from technology developed by or for the (1) B-Chlorovinyldichloroarsine (Lewisite, U.S. Armed Forces. L). (c) Any of the articles in Category VI and (2) Bis(dichlorethyl) sulphide (Mustard elsewhere in this part specifically designed Gas, HD or H). or modified for use with submersible vessels, (3) Ethyldichloroarsine (ED). and oceanographic or associated equipment (4) Methyldichloroarsine (MD). assigned a military designation. (c) Lachrymators and tear gases: (d) Equipment, components, parts, acces- (1) A-Brombenzyl cyanide (BBC). sories, and attachments specifically designed (2) Chloroacetophenone (CN). for any of the articles in paragraphs (a) and (3) Dibromodimethyl ether. (b) of this category. (4) Dichlorodimethyl ether (ClCi). (5) Ethyldibromoarsine. CATEGORY XXI—MISCELLANEOUS ARTICLES (6) Phenylcarbylamine chloride. (7) Tear gas solutions (CNB and CNS). Any article not specifically enumerated in (8) Tear gas the other categories of the U.S. Munitions orthochlorobenzalmalononitrile (CS). List which has substantial military applica- (d) Sternutators and irritant smokes: bility and which has been specifically de- (1) Diphenylamine chloroarsine (Adamsite, signed or modified for military purposes. The DM). decision on whether any article may be in- (2) Diphenylchloroarsine (BA). cluded in this category shall be made by the (3) Liquid pepper. Director, Office of Defense Trade Controls,

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Department of State, with the concurrence (c) Fees paid in advance for whole fu- of the Department of Defense. ture years of a multiple year registra- [T.D. ATF–215, 50 FR 42158, Oct. 18, 1985; 50 tion will be refunded upon request if FR 46647, Nov. 12, 1985, as amended by T.D. the registrant ceases to engage in im- ATF–426, 65 FR 38197, June 20, 2000; T.D. porting articles on the U.S. Munitions ATF–9F, 72 FR 72938, Dec. 26, 2007] Import List. A request for a refund must be submitted to the appropriate § 447.22 Forgings, castings, and machined bodies. ATF officer at the Bureau of Alcohol, Tobacco and Firearms, Martinsburg, Articles on the U.S. Munitions Im- WV 25405, prior to the beginning of any port List include articles in a partially year for which a refund is claimed. completed state (such as forgings, castings, extrusions, and machined bodies) (Approved by the Office of Management and which have reached a stage in manu- Budget under control number 1140–0009) facture where they are clearly identifi- [T.D. ATF–8, 39 FR 3251, Jan. 25, 1974, as able as defense articles. If the end-item amended by T.D. ATF–215, 50 FR 42161, Oct. is an article on the U.S. Munitions Im- 18, 1985; T.D. ATF–484, 67 FR 64526, Oct. 21, port List, (including components, ac- 2002; ATF–11F, 73 FR 57240, Oct. 2, 2008] cessories, attachments and parts) then the particular forging, casting, extru- § 447.33 Notification of changes in in- sion, machined body, etc., is considered formation furnished by registrants. a defense article subject to the controls Registered persons shall notify the of this part, except for such items as appropriate ATF officer in writing, in are in normal commercial use. duplicate, of significant changes in the [T.D. ATF–215, 50 FR 42160, Oct. 18, 1985] information set forth in their registration Subpart D—Registration (Approved by the Office of Management and Budget under control number 1140–0009) § 447.31 Registration requirement. [T.D. ATF–8, 39 FR 3251, Jan. 25, 1974, as Persons engaged in the business, in amended by T.D. ATF–215, 50 FR 42161, Oct. the United States, of importing arti- 18, 1985; ATF–11F, 73 FR 57240, Oct. 2, 2008] cles enumerated on the U.S. Munitions Import List must register by making § 447.34 Maintenance of records by an application on ATF Form 4587. persons required to register as importers of Import List articles. [T.D. ATF–484, 67 FR 64526, Oct. 21, 2002] (a) Registrants under this part en- § 447.32 Application for registration gaged in the business of importing arti- and refund of fee. cles subject to controls under 27 CFR (a) Application for registration must Parts 478 and 479 shall maintain be filed on ATF Form 4587 and must be records in accordance with the applica- accompanied by the registration fee at ble provisions of those parts. the rate prescribed in this section. The (b) Registrants under this part en- appropriate ATF officer will approve gaged in importing articles on the U.S. the application and return the original Munitions Import List subject to the to the applicant. permit procedures of subpart E of this (b) Registration may be effected for part must maintain for a period of 6 periods of from 1 to 5 years at the op- years records bearing on such articles tion of the registrant by identifying on imported, including records concerning Form 4587 the period of registration de- their acquisition and disposition, in- sired. The registration fees are as fol- cluding Forms 6 and 6A. The appro- lows: priate ATF officer may prescribe a 1 year ...... $250 longer or shorter period in individual 2 years ...... 500 cases as such officer deems necessary. 3 years ...... 700 See § 478.129 of this chapter for articles 4 years ...... 850 5 years ...... 1,000

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subject to import control under part enumerated in Categories I, II, III, IV, 478 of this chapter. VI(e), VIII(a), XVI, and XX; and (Approved by the Office of Management and (ii) Nuclear weapons strategic deliv- Budget under control number 1140–0032) ery systems and all specifically designed components, parts, accessories, [T.D. ATF–8, 39 FR 3251, Jan. 25, 1974, as attachments, and associated equipment amended by T.D. ATF–172, 49 FR 14941, Apr. thereof (see Category XXI); or 16, 1984; T.D. ATF–215, 50 FR 42161, Oct. 18, 1985; T.D. ATF–426, 65 FR 38197, June 20, 2000; (2) Minor components and parts for T.D. ATF–484, 67 FR 64526, Oct. 21, 2002; ATF– Category I(a) and I(b) firearms, except 11F, 73 FR 57240, Oct. 2, 2008] barrels, cylinders, receivers (frames) or complete breech mechanisms, when the § 447.35 Forms prescribed. total value does not exceed $100 whole- (a) The appropriate ATF officer is au- sale in any single transaction. thorized to prescribe all forms required [T.D. ATF–215, 50 FR 42161, Oct. 18, 1985, as by this part. All of the information amended by T.D. ATF–426, 65 FR 38197, June called for in each form shall be fur- 20, 2000; T.D. ATF–484, 67 FR 64526, Oct. 21, nished as indicated by the headings on 2002] the form and the instructions on or pertaining to the form. In addition, in- § 447.42 Application for permit. formation called for in each form shall (a)(1) Persons required to obtain a be furnished as required by this part. permit as provided in § 447.41 must file The form will be filed in accordance a Form 6—Part I. The application must with the instructions for the form. be signed and dated and must contain (b) Forms may be requested from the the information requested on the form, ATF Distribution Center, P.O. Box including: 5950, Springfield, Virginia 22150–5950, or (i) The name, address, telephone by accessing the ATF Web site http:// number, license and registration num- www.atf.gov/. ber, if any (including expiration date) [T.D. ATF–92, 46 FR 46914, Sept. 23, 1981, as of the importer; amended by T.D. ATF–249, 52 FR 5961, Feb. (ii) The country from which the de- 27, 1987; T.D. ATF–426, 65 FR 38197, June 20, fense article is to be imported; 2000; T.D. ATF–484, 67 FR 64526, Oct. 21, 2002; (iii) The name and address of the for- ATF–11F, 73 FR 57240, Oct. 2, 2008] eign seller and foreign shipper; (iv) A description of the defense arti- Subpart E—Permits cle to be imported, including— (A) The name and address of the § 447.41 Permit requirement. manufacturer; (a) Articles on the U.S. Munitions (B) The type (e.g., rifle, shotgun, pis- Import List will not be imported into tol, revolver, aircraft, vessel, and in the United States except pursuant to a the case of ammunition only, ball, permit under this subpart. For articles wadcutter, shot, etc.); subject to control under parts 478 or 479 (C) The caliber, gauge, or size; of this chapter, a separate permit is (D) The model; not necessary. (E) The length of barrel, if any (in (b) Articles on the U.S. Munitions inches); Import List intended for the United States or any State or political sub- (F) The overall length, if a firearm division thereof, or the District of Co- (in inches); lumbia, which are exempt from import (G) The serial number, if known; controls of 27 CFR 478.115 shall not be (H) Whether the defense article is imported into the United States, ex- new or used; cept by the United States or agency (I) The quantity; thereof, without first obtaining a per- (J) The unit cost of the firearm, fire- mit under this subpart. arm barrel, ammunition, or other de- (c) A permit is not required for the fense article to be imported; importation of— (K) The category of U.S. Munitions (1)(i) The U.S. Munitions Import List Import List under which the article is articles from Canada, except articles regulated;

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(v) The specific purpose of importa- § 447.44 Permit denial, revocation or tion, including final recipient informa- suspension. tion if different from the importer; and (a) Import permits under this subpart (vi) Certification of origin. may be denied, revoked, suspended or (2)(i) If the appropriate ATF officer revised without prior notice whenever approves the application, such ap- the appropriate ATF officer finds the proved application will serve as the proposed importation to be incon- permit to import the defense article sistent with the purpose or in violation described therein, and importation of of section 38, Arms Export Control Act such defense article may continue to be of 1976 or the regulations in this part. made by the licensed/registered im- (b) Whenever, after appropriate con- porter (if applicable) under the ap- sideration, a permit application is de- proved application (permit) during the nied or an outstanding permit is revoked, suspended, or revised, the appli- period specified thereon. The appro- cant or permittee shall be promptly ad- priate ATF officer will furnish the ap- vised in writing of the appropriate ATF proved application (permit) to the ap- officer’s decision and the reasons there- plicant and retain two copies thereof for. for administrative use. (c) Upon written request made within (ii) If the Director disapproves the 30 days after receipt of an adverse deci- application, the licensed/registered im- sion, the applicant or permittee shall porter (if applicable) will be notified of be accorded an opportunity to present the basis for the disapproval. additional information and to have a (b) For additional requirements re- full review of his case by the appro- lating to the importation of plastic ex- priate ATF officer. plosives into the United States on or (d) Unused, expired, suspended, or re- after April 24, 1997, see § 555.183 of this voked permits must be returned imme- title. diately to the appropriate ATF officer. (Approved by the Office of Management and [T.D. ATF–8, 39 FR 3251, Jan. 25, 1974, as amended by T.D. ATF–215, 50 FR 42161, Oct. Budget under control number 1140–0005) 18, 1985] [T.D. ATF–215, 50 FR 42161, Oct. 18, 1985, as amended by T.D. ATF–387, 62 FR 8376, Feb. § 447.45 Importation. 25, 1997; T.D. ATF–426, 65 FR 38197, June 20, (a) Articles subject to the import per- 2000;T.D. ATF–484, 67 FR 64526, Oct. 21, 2002; mit procedures of this subpart im- ATF–11F, 73 FR 57240, Oct. 2, 2008] ported into the United States may be released from Customs custody to the § 447.43 Terms of permit. person authorized to import same upon (a) Import permits issued under this his showing that he has a permit for subpart are valid for one year from the importation of the article or arti- their issuance date unless a different cles to be released. For articles in Cat- period of validity is stated thereon. egories I and III imported by a reg- They are not transferable. istered importer, the importer will also (b) If shipment cannot be completed submit to Customs a copy of the export during the period of validity of the per- license authorizing the export of the mit, another application must be sub- article or articles from the exporting mitted for permit to cover the country. If the exporting country does unshipped balance. Such an application not require issuance of an export li- shall make reference to the previous cense, the importer must submit a certification, under penalty of perjury, to permit and may include materials in that effect. addition to the unshipped balance. (1) In obtaining the release from Cus- (c) No amendments or alteration of a toms custody of an article imported permit may be made, except by the ap- pursuant to a permit, the permit hold- propriate ATF officer. er will prepare and file Form 6A ac- [T.D. ATF–8, 39 FR 3251, Jan. 25, 1974, as cording to its instructions. amended by T.D. ATF–325, 57 FR 29787, July (2) The ATF Form 6A must contain 7, 1992; T.D. ATF–426, 65 FR 38197, June 20, the information requested on the form, 2000] including:

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(i) The name, address, and license certify the importation, on Form ITA– number (if any) of the importer; 645P/ATF–4522/DSP53, for the U.S. im- (ii) The name of the manufacturer of porter. Normally, the U.S. importer the defense article; will submit this form at the time he (iii) The country of manufacture; applies for an import permit. This doc- (iv) The type; ument will serve as evidence to the (v) The model; government of the exporting company (vi) The caliber, gauge, or size; that the U.S. importer has complied (vii) The serial number in the case of with import regulations of the U.S. firearms, if known; and Government and is prohibited from di- (viii) The number of defense articles verting, transshipping, or reexporting released. the material described therein without (b) Within 15 days of the date of their the approval of the U.S. Government. release from Customs custody, the im- Foreign governments may also require porter of the articles released will for- documentation attesting to the deliv- ward to the address specified on the ery of the material into the United form a copy of Form 6A on which will States. When such delivery certifi- be reported any error or discrepancy cation is requested by a foreign govern- appearing on the Form 6A certified by ment, the U.S. importer may obtain di- Customs and serial numbers if not pre- rectly from the U.S. District Director viously provided on ATF Form 6A. of Customs the authenticated Delivery (Approved by the Office of Management and Verification Certificate (U.S. Depart- Budget under control number 1140–0007) ment of Commerce Form ITA–647P) for this purpose. [T.D. ATF–215, 50 FR 42161, Oct. 18, 1985, as amended by T.D. ATF–426, 65 FR 38197, June (Approved by the Office of Management and 20, 2000; T.D. ATF–484, 67 FR 64526, Oct. 21, Budget under control number 0625–0064) 2002; ATF–11F, 73 FR 57240, Oct. 2, 2008] [T.D. ATF–215, 50 FR 42162, Oct. 18, 1985, as § 447.46 Articles in transit. amended by T.D. ATF–484, 67 FR 64526, Oct. 21, 2002] Articles subject to the import permit procedures of this subpart which enter § 447.52 Import restrictions applicable the United States for temporary de- to certain countries. posit pending removal therefrom and such articles which are temporarily (a) It is the policy of the United taken out of the United States for re- States to deny licenses and other ap- turn thereto shall be regarded as in provals with respect to defense articles transit and will be considered neither and defense services originating in cer- imported nor exported under this part. tain countries or areas. This policy ap- Such transactions are subject to the plies to Afghanistan, Belarus (one of Intransit or Temporary Export License the states composing the former Soviet procedures of the Department of State Union), Cuba, Iran, Iraq, Libya, Mon- (see 22 CFR Part 123). golia, North Korea, Sudan, Syria, and Vietnam. This policy applies to coun- [T.D. ATF–8, 39 FR 3251, Jan. 25, 1974, as tries or areas with respect to which the amended by T.D. ATF–215, 50 FR 42161, Oct. United States maintains an arms em- 18, 1985] bargo (e.g., Burma, China, the Demo- cratic Republic of the Congo, Haiti, Li- Subpart F—Miscellaneous beria, Rwanda, Somalia, Sudan, and Provisions UNITA (Angola)). It also applies when an import would not be in furtherance § 447.51 Import certification and deliv- of world peace and the security and for- ery verification. eign policy of the United States. Pursuant to agreement with the United States, certain foreign coun- NOTE: Changes in foreign policy may result tries are entitled to request certifi- in additions to and deletions from the above list of countries. The ATF will publish cation of legality of importation of ar- changes to this list in the FEDERAL REG- ticles on the U.S. Munitions Import ISTER. Contact the Firearms and Explosives List. Upon request of a foreign govern- Imports Branch at (304) 616–4550 for current ment, the appropriate ATF officer will information.

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(b) Notwithstanding paragraph (a) of Kyrgyzstan, Moldova, Russian Federa- this section, the appropriate ATF offi- tion, Turkmenistan, Ukraine, or cer shall deny applications to import Uzbekistan, and ammunition pre- into the United States the following viously manufactured in the Soviet firearms and ammunition: Union, that is 7.62×25mm caliber (also (1) Any firearm located or manufac- known as 7.63×25mm caliber or .30 Mau- tured in Georgia, Kazakstan, ser); or Kyrgyzstan, Moldova, Russian Federa- (3) A type of firearm the manufacture tion, Turkmenistan, Ukraine, or of which began after February 9, 1996. Uzbekistan, and any firearm previously (c) The provisions of paragraph (b) of manufactured in the Soviet Union, this section shall not affect the fulfill- that is not one of the models listed ment of contracts with respect to fire- below: arms or ammunition entered or with- (i) Pistols/Revolvers: drawn from warehouse for consumption (A) German Model P08 Pistol. in the United States on or before Feb- (B) IZH 34M, .22 caliber Target Pistol. ruary 9, 1996. (C) IZH 35M, .22 caliber Target Pistol. (d) A defense article authorized for (D) Mauser Model 1896 Pistol. importation under this part may not be (E) MC–57–1 Pistol. shipped on a vessel, aircraft or other (F) MC–1–5 Pistol. means or conveyance which is owned or (G) Polish Vis Model 35 Pistol. operated by, or leased to or from, any (H) Soviet Nagant Revolver. of the countries or areas covered by (I) TOZ 35, .22 caliber Target Pistol. paragraph (a) of this section. (ii) Rifles: (e) Applications for permits to im- (A) BARS–4 Bolt Action Carbine. port articles that were manufactured (B) Biathlon Target Rifle, .22LR cal- in, or have been in, a country or area iber. proscribed under this section may be (C) British Enfield Rifle. approved where the articles are covered (D) CM2, .22 caliber Target Rifle (also by Category I(a) of the Import List known as SM2, 22 caliber). (other than those subject to the provi- (E) German Model 98K Rifle. sions of 27 CFR Part 479), are import- (F) German Model G41 Rifle. able as curios or relics under the provi- (G) German Model G43 Rifle. sions of 27 CFR 478.118, and meet the (H) IZH–94. following criteria: (I) LOS–7 Bolt Action Rifle. (1) The articles were manufactured in (J) MC–7–07. a proscribed country or area prior to (K) MC–18–3. the date, as established by the Depart- (L) MC–19–07. ment of State, the country or area be- (M) MC–105–01. came proscribed, or, were manufac- (N) MC–112–02. tured in a non-proscribed country or (O) MC–113–02. area; and (P) MC–115–1. (2) The articles have been stored for (Q) MC–125/127. the five year period immediately prior (R) MC–126. to importation in a non-proscribed (S) MC–128. country or area. (T) Saiga Rifle. (f) Applicants desiring to import arti- (U) Soviet Model 38 Carbine. cles claimed to meet the criteria speci- (V) Soviet Model 44 Carbine. fied in paragraph (e) of this section (W) Soviet Model 91/30 Rifle. shall explain, and certify to, how the (X) TOZ 18, .22 caliber Bolt Action firearms meet the criteria. The certifi- Rifle. cation statement will be prepared in (Y) TOZ 55. letter form, executed under the pen- (Z) TOZ 78. alties of perjury, and should be sub- (AA) Ural Target Rifle, .22LR caliber. mitted with the application for an im- (BB) VEPR Rifle. port permit. The certification state- (CC) Winchester Model 1895, Russian ment must be accompanied by docu- Model Rifle; mentary information on the country or (2) Ammunition located or manufac- area of original manufacture and on tured in Georgia, Kazakstan, the country or area of storage for the

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five year period immediately prior to that the conditions of the exemption importation. Such information may, are met. for example, include a verifiable state- [T.D. ATF–8, 39 FR 3251, Jan. 25, 1974, as ment in the English language of a gov- amended by T.D. ATF–215, 50 FR 42162, Oct. ernment official or any other person 18, 1985] having knowledge of the date and place of manufacture and/or the place of § 447.54 Administrative procedures in- storage; a warehouse receipt or other applicable. document which provides the required The functions conferred under sec- history of storage; and any other docu- tion 38, Arms Export Control Act of ment that the applicant believes sub- 1976, as amended, are excluded from the stantiates the place and date of manu- operation of Chapter 5, Title 5, United facture and the place of storage. The States Code, with respect to Rule Mak- appropriate ATF officer, however, re- ing and Adjudication, 5 U.S.C. 553 and serves the right to determine whether 554. documentation is acceptable. Appli- [T.D. ATF–8, 39 FR 3251, Jan. 25, 1974, as cants shall, when required by the ap- amended by T.D. ATF–215, 50 FR 42162, Oct. propriate ATF officer, furnish addi- 18, 1985] tional documentation as may be necessary to determine whether an import § 447.55 Departments of State and De- permit application should be approved. fense consulted. [T.D. ATF–202, 50 FR 14382, Apr. 12, 1985, as The administration of the provisions amended by T.D. ATF–215, 50 FR 42162, Oct. of this part will be subject to the guid- 18, 1985; T.D. ATF–287, 54 FR 13681, Apr. 5, ance of the Secretaries of State and 1989; T.D. ATF–323, 57 FR 24189, June 8, 1992; Defense on matters affecting world T.D. ATF–349, 58 FR 47831, Sept. 13, 1993; T.D. peace and the external security and ATF–367, 60 FR 47866, Sept. 15, 1995; T.D. foreign policy of the United States. ATF–396, 62 FR 61234, Nov. 17, 1997; T.D. ATF–484, 67 FR 64526, Oct. 21, 2002; T.D. ATF– § 447.56 Authority of Customs officers. 9F, 72 FR 72938, Dec. 26, 2007] (a) Officers of the U.S. Customs Serv- § 447.53 Exemptions. ice are authorized to take appropriate action to assure compliance with this (a) The provisions of this part are not part and with 27 CFR Parts 478 and 479 applicable to: as to the importation or attempted im- (1) Importations by the United States portation of articles on the U.S. Muni- or any agency thereof; tions Import List, whether or not au- (2) Importation of components for thorized by permit. items being manufactured under con- (b) Upon the presentation to him of a tract for the Department of Defense; or permit or written approval authorizing (3) Importation of articles (other importation of articles on the U.S. Mu- than those which would be ‘‘firearms’’ nitions Import List, the Customs offi- as defined in 18 U.S.C. 921(a)(3) manu- cer who has authority to release same factured in foreign countries for per- may require, in addition to such docu- sons in the United States pursuant to ments as may be required by Customs Department of State approval. regulations, the production of other (b) Any person seeking to import ar- relevant documents relating to the pro- ticles on the U.S. Munitions Import posed importation, including, but not List as exempt under paragraph (a)(2) limited to, invoices, orders, packing or (3) of this section may obtain release lists, shipping documents, correspond- of such articles from Customs custody ence, and instructions. by submitting, to the Customs officer [T.D. ATF–8, 39 FR 3251, Jan. 25, 1974, as with authority to release, a statement amended by T.D. ATF–215, 50 FR 42162, Oct. claiming the exemption accompanied 18, 1985] by satisfactory proof of eligibility. Such proof may be in the form of a let- § 447.57 U.S. military defense articles. ter from the Department of Defense or (a)(1) Notwithstanding any other pro- State, as the case may be, confirming vision of this part or of parts 478 or 479

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of this chapter, no military defense ar- party by mailing a request to the ATF ticle of United States manufacture Distribution Center, PO Box 5950, may be imported into the United Springfield, VA 22150–5950, or by access- States if such article was furnished to ing the ATF Web site http:// a foreign government under a foreign www.atf.gov/. assistance or foreign military sales [T.D. ATF–484, 67 FR 64526, Oct. 21, 2002, as program of the United States. amended by ATF–11F, 73 FR 57240, Oct. 2, (2) The restrictions in paragraph 2008] (a)(1) of this section cover defense articles which are advanced in value or im- proved in condition in a foreign coun- Subpart G—Penalties, Seizures try, but do not include those which and Forfeitures have been substantially transformed as § 447.61 Unlawful importation. to become, in effect, articles of foreign manufacture. Any person who willfully: (b) Paragraph (a) of this section will (a) Imports articles on the U.S. Muni- not apply if: tions Import List without a permit; (1) The applicant submits with the (b) Engages in the business of import- ATF Form 6—Part I application writing articles on the U.S. Munitions Im- ten authorization from the Department port List without registering under of State to import the defense article; this part; or and (c) Otherwise violates any provisions (2) In the case of firearms, such fire- of this part; arms are curios or relics under 18 Shall upon conviction be fined not U.S.C. 925(e) and the person seeking to more than $1,000,000 or imprisoned not import such firearms provides a certifi- more than 10 years, or both. cation of a foreign government that [T.D. ATF–8, 39 FR 3251, Jan. 25, 1974, as the firearms were furnished to such amended at 39 FR 4760, Feb. 7, 1974; T.D. government under a foreign assistance ATF–215, 50 FR 42162, Oct. 18, 1985; T.D. ATF– or foreign military sales program of 287, 54 FR 13681, Apr. 5, 1989] the United States and that the firearms are owned by such foreign govern- § 447.62 False statements or concealment. (See § 478.118 of this chapter pro- ment of facts. viding for the importation of certain Any person who willfully, in a reg- curio or relic handguns, rifles and shot- istration or permit application, makes guns.) any untrue statement of a material (c) For the purpose of this section, fact or fails to state a material fact re- the term ‘‘military defense article’’ in- quired to be stated therein or nec- cludes all defense articles furnished to essary to make the statements therein foreign governments under a foreign not misleading, shall upon conviction assistance or foreign military sales be fined not more than $1,000,000, or im- program of the United States as set prisoned not more than 10 years, or forth in paragraph (a) of this section. both. (Approved by the Office of Management and [T.D. ATF–8, 39 FR 3251, Jan. 25, 1974, as Budget under OMB Control No. 1140–0005) amended by T.D. ATF–215, 50 FR 42162, Oct. [T.D. ATF–287, 54 FR 13681, Apr. 5, 1989, as 18, 1985; T.D. ATF–287, 54 FR 13681, Apr. 5, amended by T.D. ATF–393, 62 FR 61235, Nov. 1989] 17, 1997; T.D. ATF–426, 65 FR 38198, June 20, 2000; ATF–11F, 73 FR 57240, Oct. 2, 2008] § 447.63 Seizure and forfeiture. Whoever knowingly imports into the § 447.58 Delegations of the Director. United States contrary to law any arti- The regulatory authorities of the Di- cle on the U.S. Munitions Import List; rector contained in this part are dele- or receives, conceals, buys, sells, or in gated to appropriate ATF officers. any manner facilitates its transpor- These ATF officers are specified in tation, concealment, or sale after im- ATF O 1130.34, Delegation of the Direc- portation, knowing the same to have tor’s Authorities in 27 CFR Part 447. been imported contrary to law, shall be ATF delegation orders, such as ATF O fined not more than $10,000 or impris- 1130.34, are available to any interested oned not more than 5 years, or both;

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and the merchandise so imported, or 478.40a Transfer and possession of large ca- the value thereof shall be forfeited to pacity ammunition feeding devices. the United States. Subpart D—Licenses (18 U.S.C. 545) 478.41 General. [T.D. ATF–8, 39 FR 3251, Jan. 25, 1974, as 478.42 License fees. amended by T.D. ATF–215, 50 FR 42162, Oct. 478.43 License fee not refundable. 18, 1985] 478.44 Original license. 478.45 Renewal of license. PART 478—COMMERCE IN 478.46 Insufficient fee. 478.47 Issuance of license. FIREARMS AND AMMUNITION 478.48 Correction of error on license. 478.49 Duration of license. Subpart A—Introduction 478.50 Locations covered by license. 478.51 License not transferable. Sec. 478.52 Change of address. 478.1 Scope of regulations. 478.53 Change in trade name. 478.2 Relation to other provisions of law. 478.54 Change of control. 478.55 Continuing partnerships. Subpart B—Definitions 478.56 Right of succession by certain per- 478.11 Meaning of terms. sons. 478.57 Discontinuance of business. Subpart C—Administrative and 478.58 State or other law. Miscellaneous Provisions 478.59 Abandoned application. 478.60 Certain continuances of business. 478.21 Forms prescribed. 478.22 Alternate methods or procedures; Subpart E—License Proceedings emergency variations from require- 478.71 Denial of an application for license. ments. 478.72 Hearing after application denial. 478.23 Right of entry and examination. 478.73 Notice of revocation, suspension, or 478.24 Compilation of State laws and pub- imposition of civil fine. lished ordinances. 478.74 Request for hearing after notice of 478.25 Disclosure of information. suspension, revocation, or imposition of 478.25a Responses to requests for informa- civil fine. tion. 478.75 Service on applicant or licensee. 478.26 Curio and relic determination. 478.76 Representation at a hearing. 478.27 Destructive device determination. 478.77 Designated place of hearing. 478.28 Transportation of destructive devices 478.78 Operations by licensee after notice. and certain firearms. 478.29 Out-of-State acquisition of firearms by nonlicenses. Subpart F—Conduct of Business 478.29a Acquisition of firearms by non- 478.91 Posting of license. residents. 478.92 How must licensed manufacturers 478.30 Out-of-State disposition of firearms and licensed importers identify firearms, by nonlicensees. armor piercing ammunition, and large 478.31 Delivery by common or contract car- capacity ammunition feeding devices? rier. 478.93 Authorized operations by a licensed 478.32 Prohibited shipment, transportation, collector. possession, or receipt of firearms and am- 478.94 Sales or deliveries between licensees. munition by certain persons. 478.95 Certified copy of license. 478.33 Stolen firearms and ammunition. 478.96 Out-of-State and mail order sales. 478.33a Theft of firearms. 478.97 Loan or rental of firearms. 478.34 Removed, obliterated, or altered se- 478.98 Sales or deliveries of destructive de- rial number. vices and certain firearms. 478.35 Skeet, trap, target, and similar 478.99 Certain prohibited sales or deliveries. shooting activities. 478.100 Conduct of business away from li- 478.36 Transfer or possession of machine censed premises. guns. 478.101 Record of transactions. 478.37 Manufacture, importation and sale of 478.102 Sales or deliveries of firearms on and armor piercing ammunition. after November 30, 1998. 478.38 Transportation of firearms. 478.103 Posting of signs and written notifi- 478.39 Assembly of semiautomatic rifles or cation to purchasers of handguns. shotguns. 478.39a Reporting theft or loss of firearms. Subpart G—Importation 478.40 Manufacture, transfer, and possession of semiautomatic assault weapons. 478.111 General.

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478.112 Importation by a licensed importer. 478.150 Alternative to NICS in certain geo- 478.113 Importation by other licensees. graphical locations. 478.113a Importation of firearm barrels by 478.151 Semiautomatic rifles or shotguns for nonlicensees. testing or experimentation. 478.114 Importation by members of the U.S. 478.152 Seizure and forfeiture. Armed Forces. 478.153 Semiautomatic assault weapons and 478.115 Exempt importation. large capacity ammunition feeding de- 478.116 Conditional importation. vices manufactured or imported for the 478.117 Function outside a customs terri- purposes of testing or experimentation. tory. 478.118 Importation of certain firearms clas- Subpart J [Reserved] sified as curios and relics. 478.119 Importation of ammunition feeding Subpart K—Exportation devices. 478.120 Firearms or ammunition imported 478.171 Exportation. by or for a nonimmigrant alien. AUTHORITY: 5 U.S.C. 552(a); 18 U.S.C. 847, 921–930; 44 U.S.C. 3504(h). Subpart H—Records SOURCE: 33 FR 18555, Dec. 14, 1968, unless 478.121 General. otherwise noted. Redesignated at 40 FR 16835, 478.122 Records maintained by importers. Apr. 15, 1975, and further redesignated by 478.123 Records maintained by manufactur- T.D. ATF–487, 68 FR 3750, Jan. 24, 2003. ers. EDITORIAL NOTE: Nomenclature changes to 478.124 Firearms transaction record. part 478 appear by T.D. ATF–411, 64 FR 17291, 478.124a Firearms transaction record in lieu Apr. 9, 1999, and T.D. ATF–487, 68 FR 3750, of record of receipt and disposition. Jan. 24, 2003, and ATF–11F, 73 FR 57240–57242, 478.125 Record of receipt and disposition. Oct. 2, 2008. 478.125a Personal firearms collection. 478.126 Furnishing transaction information. 478.126a Reporting multiple sales or other Subpart A—Introduction disposition of pistols and revolvers. 478.127 Discontinuance of business. § 478.1 Scope of regulations. 478.128 False statement or representation. (a) General. The regulations con- 478.129 Record retention. tained in this part relate to commerce 478.131 Firearms transactions not subject to a NICS check. in firearms and ammunition and are 478.132 Dispositions of semiautomatic as- promulgated to implement Title I, sault weapons and large capacity ammu- State Firearms Control Assistance (18 nition feeding devices to law enforce- U.S.C. Chapter 44), of the Gun Control ment officers for official use and to em- Act of 1968 (82 Stat. 1213) as amended ployees or contractors of nuclear facili- by Pub. L. 99–308 (100 Stat. 449), Pub. L. ties. 99–360 (100 Stat. 766), Pub. L. 99–408 (100 478.133 Records of transactions in semiauto- Stat. 920), Pub. L. 103–159 (107 Stat. matic assault weapons. 478.134 Sale of firearms to law enforcement 1536), Pub. L. 103–322 (108 Stat. 1796), officers. Pub. L. 104–208 (110 Stat. 3009), and Pub. L. 105–277 (112 Stat. 2681). Subpart I—Exemptions, Seizures, and (b) Procedural and substantive require- Forfeitures ments. This part contains the procedural and substantive requirements 478.141 General. relative to: 478.142 Effect of pardons and expunctions of (1) The interstate or foreign com- convictions. 478.143 Relief from disabilities incurred by merce in firearms and ammunition; indictment. (2) The licensing of manufacturers 478.144 Relief from disabilities under the and importers of firearms and ammuni- Act. tion, collectors of firearms, and dealers 478.145 Research organizations. in firearms; 478.146 Deliveries by mail to certain per- (3) The conduct of business or activ- sons. ity by licensees; 478.147 Return of firearm. (4) The importation of firearms and 478.148 Armor piercing ammunition intended for sporting or industrial pur- ammunition; poses. (5) The records and reports required 478.149 Armor piercing ammunition manu- of licensees; factured or imported for the purpose of (6) Relief from disabilities under this testing or experimentation. part;

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(7) Exempt interstate and foreign (1) Is a danger to himself or to oth- commerce in firearms and ammuni- ers; or tion; and (2) Lacks the mental capacity to con- (8) Restrictions on armor piercing tract or manage his own affairs. ammunition. (b) The term shall include— (1) A finding of insanity by a court in [T.D. ATF–270, 53 FR 10490, Mar. 31, 1988, as amended by T.D. ATF–354, 59 FR 7112, Feb. a criminal case; and 14, 1994; T.D. ATF–363, 60 FR 17450, Apr. 6, (2) Those persons found incompetent 1995; T.D. ATF–401, 63 FR 35522, June 30, 1998; to stand trial or found not guilty by T.D. ATF–471, 67 FR 5425, Feb. 5, 2002] reason of lack of mental responsibility pursuant to articles 50a and 72b of the § 478.2 Relation to other provisions of Uniform Code of Military Justice, 10 law. U.S.C. 850a, 876b. The provisions in this part are in ad- Admitted to the United States for lawful dition to, and are not in lieu of, any hunting or sporting purposes. (a) Is en- other provision of law, or regulations, tering the United States to participate respecting commerce in firearms or in a competitive target shooting event ammunition. For regulations applica- sponsored by a national, State, or local ble to traffic in machine guns, destruc- organization, devoted to the competitive devices, and certain other fire- tive use or other sporting use of firearms, see Part 479 of this chapter. For arms; or statutes applicable to the registration (b) Is entering the United States to and licensing of persons engaged in the display firearms at a sports or hunting business of manufacturing, importing trade show sponsored by a national, or exporting arms, ammunition, or im- State, or local firearms trade organiza- plements of war, see section 38 of the tion, devoted to the competitive use or Arms Export Control Act (22 U.S.C. other sporting use of firearms. 2778) and regulations thereunder and Alien. Any person not a citizen or na- Part 447 of this chapter. For statutes tional of the United States. applicable to nonmailable firearms, see Alien illegally or unlawfully in the 18 U.S.C. 1715 and regulations there- United States. Aliens who are unlaw- under. fully in the United States are not in valid immigrant, nonimmigrant or pa- [T.D. ATF–270, 53 FR 10490, Mar. 31, 1988] role status. The term includes any alien— Subpart B—Definitions (a) Who unlawfully entered the United States without inspection and § 478.11 Meaning of terms. authorization by an immigration offi- When used in this part and in forms cer and who has not been paroled into prescribed under this part, where not the United States under section otherwise distinctly expressed or mani- 212(d)(5) of the Immigration and Na- festly incompatible with the intent tionality Act (INA); thereof, terms shall have the meanings (b) Who is a nonimmigrant and whose ascribed in this section. Words in the authorized period of stay has expired or plural form shall include the singular, who has violated the terms of the non- and vice versa, and words importing immigrant category in which he or she the masculine gender shall include the was admitted; feminine. The terms ‘‘includes’’ and (c) Paroled under INA section ‘‘including’’ do not exclude other 212(d)(5) whose authorized period of pa- things not enumerated which are in the role has expired or whose parole status same general class or are otherwise has been terminated; or within the scope thereof. (d) Under an order of deportation, ex- Act. 18 U.S.C. Chapter 44. clusion, or removal, or under an order Adjudicated as a mental defective. (a) A to depart the United States volun- determination by a court, board, com- tarily, whether or not he or she has left mission, or other lawful authority that the United States. a person, as a result of marked sub- Ammunition. Ammunition or car- normal intelligence, or mental illness, tridge cases, primers, bullets, or pro- incompetency, condition, or disease: pellent powder designed for use in any

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firearm other than an antique firearm. nized as coming within the meaning of The term shall not include (a) any the term. shotgun shot or pellet not designed for Chief, Federal Firearms Licensing Cen- use as the single, complete projectile ter (FFLC). The ATF official respon- load for one shotgun hull or casing, nor sible for the issuance and renewal of li- (b) any unloaded, non-metallic shotgun censes under this part. hull or casing not having a primer. Collector. Any person who acquires, Antique firearm. (a) Any firearm (in- holds, or disposes of firearms as curios cluding any firearm with a matchlock, or relics. flintlock, percussion cap, or similar Collection premises. The premises de- type of ignition system) manufactured scribed on the license of a collector as in or before 1898; and (b) any replica of the location at which he maintains his any firearm described in paragraph (a) collection of curios and relics. of this definition if such replica (1) is Commerce. Travel, trade, traffic, com- not designed or redesigned for using merce, transportation, or communica- rimfire or conventional centerfire fixed tion among the several States, or be- ammunition, or (2) uses rimfire or con- tween the District of Columbia and any ventional centerfire fixed ammunition State, or between any foreign country which is no longer manufactured in the or any territory or possession and any United States and which is not readily State or the District of Columbia, or available in the ordinary channels of between points in the same State but commercial trade. through any other State or the District Armor piercing ammunition. Projec- of Columbia or a foreign country. tiles or projectile cores which may be used in a handgun and which are con- Committed to a mental institution. A structed entirely (excluding the pres- formal commitment of a person to a ence of traces of other substances) mental institution by a court, board, from one or a combination of tungsten commission, or other lawful authority. alloys, steel, iron, brass, bronze, beryl- The term includes a commitment to a lium copper, or depleted uranium; or mental institution involuntarily. The full jacketed projectiles larger than .22 term includes commitment for mental caliber designed and intended for use in defectiveness or mental illness. It also a handgun and whose jacket has a includes commitments for other rea- weight of more than 25 percent of the sons, such as for drug use. The term total weight of the projectile. The term does not include a person in a mental does not include shotgun shot required institution for observation or a vol- by Federal or State environmental or untary admission to a mental institu- game regulations for hunting purposes, tion. frangible projectiles designed for tar- Controlled substance. A drug or other get shooting, projectiles which the Di- substance, or immediate precursor, as rector finds are primarily intended to defined in section 102 of the Controlled be used for sporting purposes, or any Substances Act, 21 U.S.C. 802. The term other projectiles or projectile cores includes, but is not limited to, mari- which the Director finds are intended juana, depressants, stimulants, and to be used for industrial purposes, in- narcotic drugs. The term does not including charges used in oil and gas well clude distilled spirits, wine, malt bev- perforating devices. erages, or tobacco, as those terms are ATF officer. An officer or employee of defined or used in Subtitle E of the In- the Bureau of Alcohol, Tobacco and ternal Revenue Code of 1986, as amend- Firearms (ATF) authorized to perform ed. any function relating to the adminis- Crime punishable by imprisonment for a tration or enforcement of this part. term exceeding 1 year. Any Federal, Business premises. The property on State or foreign offense for which the which the manufacturing or importing maximum penalty, whether or not im- of firearms or ammunition or the deal- posed, is capital punishment or impris- ing in firearms is or will be conducted. onment in excess of 1 year. The term A private dwelling, no part of which is shall not include (a) any Federal or open to the public, shall not be recog- State offenses pertaining to antitrust

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violations, unfair trade practices, re- Guard, or any agent or other person au- straints of trade, or other similar of- thorized by law or designated by the fenses relating to the regulation of Secretary of the Treasury to perform business practices or (b) any State of- any duties of an officer of the Customs fense classified by the laws of the State Service. as a misdemeanor and punishable by a Dealer. Any person engaged in the term of imprisonment of 2 years or business of selling firearms at whole- less. What constitutes a conviction of sale or retail; any person engaged in such a crime shall be determined in ac- the business of repairing firearms or of cordance with the law of the jurisdic- making or fitting special barrels, tion in which the proceedings were stocks, or trigger mechanisms to fire- held. Any conviction which has been arms; or any person who is a pawn- expunged or set aside or for which a broker. The term shall include any per- person has been pardoned or has had son who engages in such business or oc- civil rights restored shall not be con- cupation on a part-time basis. sidered a conviction for the purposes of the Act or this part, unless such par- Destructive device. (a) Any explosive, don, expunction, or restoration of civil incendiary, or poison gas (1) bomb, (2) rights expressly provides that the per- grenade, (3) rocket having a propellant son may not ship, transport, possess, or charge of more than 4 ounces, (4) mis- receive firearms, or unless the person sile having an explosive or incendiary is prohibited by the law of the jurisdic- charge of more than one-quarter ounce, tion in which the proceedings were held (5) mine, or (6) device similar to any of from receiving or possessing any fire- the devices described in the preceding arms. paragraphs of this definition; (b) any Curios or relics. Firearms which are of type of weapon (other than a shotgun special interest to collectors by reason or a shotgun shell which the Director of some quality other than is associ- finds is generally recognized as par- ated with firearms intended for sport- ticularly suitable for sporting pur- ing use or as offensive or defensive poses) by whatever name known which weapons. To be recognized as curios or will, or which may be readily converted relics, firearms must fall within one of to, expel a projectile by the action of the following categories: an explosive or other propellant, and (a) Firearms which were manufac- which has any barrel with a bore of tured at least 50 years prior to the cur- more than one-half inch in diameter; rent date, but not including replicas and (c) any combination of parts either thereof; designed or intended for use in con- (b) Firearms which are certified by verting any device into any destructive the curator of a municipal, State, or device described in paragraph (a) or (b) Federal museum which exhibits fire- of this section and from which a de- arms to be curios or relics of museum structive device may be readily assem- interest; and bled. The term shall not include any (c) Any other firearms which derive a device which is neither designed nor re- substantial part of their monetary designed for use as a weapon; any de- value from the fact that they are novel, rare, bizarre, or because of their vice, although originally designed for association with some historical figure, use as a weapon, which is redesigned period, or event. Proof of qualification for use as a signalling, pyrotechnic, of a particular firearm under this cat- line throwing, safety, or similar device; egory may be established by evidence surplus ordnance sold, loaned, or given of present value and evidence that like by the Secretary of the Army pursuant firearms are not available except as to the provisions of section 4684(2), collector’s items, or that the value of 4685, or 4686 of title 10, United States like firearms available in ordinary Code; or any other device which the Di- commercial channels is substantially rector finds is not likely to be used as less. a weapon, is an antique, or is a rifle Customs officer. Any officer of the which the owner intends to use solely Customs Service or any commissioned, for sporting, recreational, or cultural warrant, or petty officer of the Coast purposes.

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Director. The Director, Bureau of Al- (e) Importer of firearms. A person who cohol, Tobacco and Firearms, the De- devotes time, attention, and labor to partment of the Treasury, Washington, importing firearms as a regular course DC. of trade or business with the principal Director of Industry Operations. The objective of livelihood and profit principal ATF official in a Field Oper- through the sale or distribution of the ations division responsible for admin- firearms imported; and, istering regulations in this part. (f) Importer of ammunition. A person Discharged under dishonorable condi- who devotes time, attention, and labor tions. Separation from the U.S. Armed to importing ammunition as a regular Forces resulting from a dishonorable course of trade or business with the discharge or dismissal adjudged by a principal objective of livelihood and general court-martial. The term does profit through the sale or distribution not include any separation from the of the ammunition imported. Armed Forces resulting from any other Executed under penalties of perjury. discharge, e.g., a bad conduct dis- Signed with the prescribed declaration charge. under the penalties of perjury as pro- Division. A Bureau of Alcohol, To- vided on or with respect to the return bacco and Firearms Division. form, or other document or, where no Engaged in the business—(a) Manufac- form of declaration is prescribed, with turer of firearms. A person who devotes the declaration: time, attention, and labor to manufac- ‘‘I declare under the penalties of perjury turing firearms as a regular course of that this—(insert type of document, such as, trade or business with the principal ob- statement, application, request, certificate), jective of livelihood and profit through including the documents submitted in sup- the sale or distribution of the firearms port thereof, has been examined by me and, manufactured; to the best of my knowledge and belief, is (b) Manufacturer of ammunition. A true, correct, and complete.’’ person who devotes time, attention, Federal Firearms Act. 15 U.S.C. Chap- and labor to manufacturing ammuni- ter 18. tion as a regular course of trade or Firearm. Any weapon, including a business with the principal objective of starter gun, which will or is designed livelihood and profit through the sale to or may readily be converted to expel or distribution of the ammunition a projectile by the action of an explo- manufactured; sive; the frame or receiver of any such (c) Dealer in firearms other than a gun- weapon; any firearm muffler or firearm smith or a pawnbroker. A person who de- silencer; or any destructive device; but votes time, attention, and labor to the term shall not include an antique dealing in firearms as a regular course firearm. In the case of a licensed col- of trade or business with the principal lector, the term shall mean only curios objective of livelihood and profit and relics. through the repetitive purchase and re- Firearm frame or receiver. That part of sale of firearms, but such a term shall a firearm which provides housing for not include a person who makes occa- the hammer, bolt or breechblock, and sional sales, exchanges, or purchases of firing mechanism, and which is usually firearms for the enhancement of a per- threaded at its forward portion to re- sonal collection or for a hobby, or who ceive the barrel. sells all or part of his personal collec- Firearm muffler or firearm silencer. Any tion of firearms; device for silencing, muffling, or di- (d) Gunsmith. A person who devotes minishing the report of a portable fire- time, attention, and labor to engaging arm, including any combination of in such activity as a regular course of parts, designed or redesigned, and in- trade or business with the principal ob- tended for use in assembling or fabri- jective of livelihood and profit, but cating a firearm silencer or firearm such a term shall not include a person muffler, and any part intended only for who makes occasional repairs of fire- use in such assembly or fabrication. arms or who occasionally fits special Friendly foreign government. Any gov- barrels, stocks, or trigger mechanisms ernment with whom the United States to firearms; has diplomatic relations and whom the

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United States has not identified as a in military cases to any offense punish- State sponsor of terrorism. able by imprisonment for a term ex- Fugitive from justice. Any person who ceeding 1 year which has been referred has fled from any State to avoid pros- to a general court-martial. An informa- ecution for a felony or a misdemeanor; tion is a formal accusation of a crime, or any person who leaves the State to differing from an indictment in that it avoid giving testimony in any criminal is made by a prosecuting attorney and proceeding. The term also includes any not a grand jury. person who knows that misdemeanor Interstate or foreign commerce. In- or felony charges are pending against cludes commerce between any place in such person and who leaves the State a State and any place outside of that of prosecution. State, or within any possession of the Handgun. (a) Any firearm which has United States (not including the Canal a short stock and is designed to be held Zone) or the District of Columbia. The and fired by the use of a single hand; term shall not include commerce be- and (b) Any combination of parts from tween places within the same State but which a firearm described in paragraph through any place outside of that (a) can be assembled. State. Hunting license or permit lawfully Intimate partner. With respect to a issued in the United States. A license or person, the spouse of the person, a permit issued by a State for hunting former spouse of the person, an indi- which is valid and unexpired. vidual who is a parent of a child of the Identification document. A document person, and an individual who cohabi- containing the name, residence ad- tates or has cohabitated with the per- dress, date of birth, and photograph of son. the holder and which was made or Large capacity ammunition feeding de- issued by or under the authority of the vice. A magazine, belt, drum, feed strip, United States Government, a State, po- or similar device for a firearm manu- litical subdivision of a State, a foreign factured after September 13, 1994, that government, political subdivision of a has a capacity of, or that can be read- foreign government, an international ily restored or converted to accept, governmental or an international more than 10 rounds of ammunition. quasi- governmental organization The term does not include an attached which, when completed with informa- tubular device designed to accept, and tion concerning a particular indi- capable of operating only with, .22 cal- vidual, is of a type intended or com- iber rimfire ammunition, or a fixed de- monly accepted for the purpose of iden- vice for a manually operated firearm, tification of individuals. or a fixed device for a firearm listed in Importation. The bringing of a firearm 18 U.S.C. 922, Appendix A. or ammunition into the United States; Licensed collector. A collector of cu- except that the bringing of a firearm or rios and relics only and licensed under ammunition from outside the United the provisions of this part. States into a foreign-trade zone for Licensed dealer. A dealer licensed storage pending shipment to a foreign under the provisions of this part. country or subsequent importation into this country, pursuant to this Licensed importer. An importer li- part, shall not be deemed importation. censed under the provisions of this Importer. Any person engaged in the part. business of importing or bringing fire- Licensed manufacturer. A manufac- arms or ammunition into the United turer licensed under the provisions of States. The term shall include any per- this part. son who engages in such business on a Machine gun. Any weapon which part-time basis. shoots, is designed to shoot, or can be Indictment. Includes an indictment or readily restored to shoot, automati- information in any court, under which cally more than one shot, without a crime punishable by imprisonment manual reloading, by a single function for a term exceeding 1 year (as defined of the trigger. The term shall also in- in this section) may be prosecuted, or clude the frame or receiver of any such

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weapon, any part designed and in- (b) A person shall not be considered tended solely and exclusively, or com- to have been convicted of such an of- bination of parts designed and in- fense for purposes of this part unless: tended, for use in converting a weapon (1) The person is considered to have into a machine gun, and any combina- been convicted by the jurisdiction in tion of parts from which a machine gun which the proceedings were held. can be assembled if such parts are in (2) The person was represented by the possession or under the control of a counsel in the case, or knowingly and person. intelligently waived the right to coun- Manufacturer. Any person engaged in sel in the case; and the business of manufacturing firearms (3) In the case of a prosecution for or ammunition. The term shall include which a person was entitled to a jury any person who engages in such busi- trial in the jurisdiction in which the ness on a part-time basis. case was tried, either Mental institution. Includes mental (i) The case was tried by a jury, or health facilities, mental hospitals, (ii) The person knowingly and intel- sanitariums, psychiatric facilities, and ligently waived the right to have the other facilities that provide diagnoses case tried by a jury, by guilty plea or by licensed professionals of mental re- otherwise. tardation or mental illness, including a (c) A person shall not be considered psychiatric ward in a general hospital. to have been convicted of such an offense for purposes of this part if the Misdemeanor crime of domestic violence. conviction has been expunged or set (a) Is a Federal, State or local offense aside, or is an offense for which the that: person has been pardoned or has had (1) Is a misdemeanor under Federal civil rights restored (if the law of the or State law or, in States which do not jurisdiction in which the proceedings classify offenses as misdemeanors, is were held provides for the loss of civil an offense punishable by imprisonment rights upon conviction for such an of- for a term of one year or less, and in- fense) unless the pardon, expunction, cludes offenses that are punishable or restoration of civil rights expressly only by a fine. (This is true whether or provides that the person may not ship, not the State statute specifically de- transport, possess, or receive firearms, fines the offense as a ‘‘misdemeanor’’ and the person is not otherwise prohib- or as a ‘‘misdemeanor crime of domes- ited by the law of the jurisdiction in tic violence.’’ The term includes all which the proceedings were held from such misdemeanor convictions in In- receiving or possessing any firearms. dian Courts established pursuant to 25 National Firearms Act. 26 U.S.C. Chap- CFR part 11.); ter 53. (2) Has, as an element, the use or at- NICS. The National Instant Criminal tempted use of physical force (e.g., as- Background Check System established sault and battery), or the threatened by the Attorney General pursuant to 18 use of a deadly weapon; and U.S.C. 922(t). (3) Was committed by a current or Nonimmigrant alien. An alien in the former spouse, parent, or guardian of United States in a nonimmigrant clas- the victim, by a person with whom the sification as defined by section victim shares a child in common, by a 101(a)(15) of the Immigration and Na- person who is cohabiting with or has tionality Act (8 U.S.C. 1101(a)(15)). cohabited with the victim as a spouse, Pawnbroker. Any person whose busi- parent, or guardian, (e.g., the equiva- ness or occupation includes the taking lent of a ‘‘common law’’ marriage even or receiving, by way of pledge or pawn, if such relationship is not recognized of any firearm as security for the pay- under the law), or a person similarly ment or repayment of money. The term situated to a spouse, parent, or guard- shall include any person who engages ian of the victim (e.g., two persons who in such business on a part-time basis. are residing at the same location in an Permanently inoperable. A firearm intimate relationship with the intent which is incapable of discharging a to make that place their home would shot by means of an explosive and in- be similarly situated to a spouse). capable of being readily restored to a

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firing condition. An acceptable method incorporated by reference in the FED- of rendering most firearms perma- ERAL REGISTER, revised annually, and nently inoperable is to fusion weld the furnished to licensees under this part. chamber closed and fusion weld the Renounced U.S. citizenship. (a) A per- barrel solidly to the frame. Certain un- son has renounced his U.S. citizenship usual firearms require other methods if the person, having been a citizen of to render the firearm permanently in- the United States, has renounced citi- operable. Contact ATF for instruc- zenship either— tions. (1) Before a diplomatic or consular Person. Any individual, corporation, officer of the United States in a foreign company, association, firm, partner- state pursuant to 8 U.S.C. 1481(a)(5); or ship, society, or joint stock company. (2) Before an officer designated by Pistol. A weapon originally designed, the Attorney General when the United made, and intended to fire a projectile States is in a state of war pursuant to (bullet) from one or more barrels when 8 U.S.C. 1481(a)(6). held in one hand, and having (a) a (b) The term shall not include any re- chamber(s) as an integral part(s) of, or nunciation of citizenship that has been permanently aligned with, the bore(s); reversed as a result of administrative and (b) a short stock designed to be or judicial appeal. gripped by one hand and at an angle to Revolver. A projectile weapon, of the and extending below the line of the pistol type, having a breechloading bore(s). chambered cylinder so arranged that Principal objective of livelihood and the cocking of the hammer or move- profit. The intent underlying the sale ment of the trigger rotates it and or disposition of firearms is predomi- brings the next cartridge in line with nantly one of obtaining livelihood and the barrel for firing. pecuniary gain, as opposed to other in- Rifle. A weapon designed or rede- tents such as improving or liquidating signed, made or remade, and intended a personal firearms collection: Pro- to be fired from the shoulder, and de- vided, That proof of profit shall not be signed or redesigned and made or re- required as to a person who engages in made to use the energy of the explosive the regular and repetitive purchase and in a fixed metallic cartridge to fire disposition of firearms for criminal only a single projectile through a rifled purposes or terrorism. For purposes of bore for each single pull of the trigger. this part, the term ‘‘terrorism’’ means Semiautomatic assault weapon. (a) Any activity, directed against United of the firearms, or copies or duplicates States persons, which— of the firearms in any caliber, known (a) Is committed by an individual as: who is not a national or permanent (1) Norinco, Mitchell, and Poly Tech- resident alien of the United States; nologies Avtomat Kalashnikovs (all (b) Involves violent acts or acts dan- models), gerous to human life which would be a (2) Action Arms Israeli Military In- criminal violation if committed within dustries UZI and Galil, the jurisdiction of the United States; and (3) Beretta Ar70 (SC–70), (c) Is intended— (4) Colt AR–15, (1) To intimidate or coerce a civilian (5) Fabrique National FN/FAL, FN/ population; LAR, and FNC, (2) To influence the policy of a gov- (6) SWD M–10, M–11, M–11/9, and M–12, ernment by intimidation or coercion; (7) Steyr AUG, or (8) INTRATEC TEC–9, TEC-DC9 and (3) To affect the conduct of a govern- TEC-22, and ment by assassination or kidnapping. (9) Revolving cylinder shotguns, such Published ordinance. A published law as (or similar to) the Street Sweeper of any political subdivision of a State and Striker 12; which the Director determines to be (b) A semiautomatic rifle that has an relevant to the enforcement of this ability to accept a detachable maga- part and which is contained on a list zine and has at least 2 of— compiled by the Director, which list is (1) A folding or telescoping stock,

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(2) A pistol grip that protrudes con- Short-barreled rifle. A rifle having one spicuously beneath the action of the or more barrels less than 16 inches in weapon, length, and any weapon made from a (3) A bayonet mount, rifle, whether by alteration, modifica- (4) A flash suppressor or threaded tion, or otherwise, if such weapon, as barrel designed to accommodate a flash modified, has an overall length of less suppressor, and than 26 inches. (5) A grenade launcher; Short-barreled shotgun. A shotgun (c) A semiautomatic pistol that has having one or more barrels less than 18 an ability to accept a detachable maga- inches in length, and any weapon made zine and has at least 2 of— from a shotgun, whether by alteration, (1) An ammunition magazine that at- modification, or otherwise, if such taches to the pistol outside of the pis- weapon as modified has an overall tol grip, length of less than 26 inches. (2) A threaded barrel capable of ac- Shotgun. A weapon designed or rede- cepting a barrel extender, flash sup- signed, made or remade, and intended pressor, forward handgrip, or silencer, to be fired from the shoulder, and de- (3) A shroud that is attached to, or signed or redesigned and made or re- partially or completely encircles, the made to use the energy of the explosive barrel and that permits the shooter to in a fixed shotgun shell to fire through hold the firearm with the nontrigger a smooth bore either a number of ball hand without being burned, shot or a single projectile for each single pull of the trigger. (4) A manufactured weight of 50 State. A State of the United States. ounces or more when the pistol is un- The term shall include the District of loaded, and Columbia, the Commonwealth of Puer- (5) A semiautomatic version of an to Rico, and the possessions of the automatic firearm; and United States (not including the Canal (d) A semiautomatic shotgun that Zone). has at least 2 of— State of residence. The State in which (1) A folding or telescoping stock, an individual resides. An individual re- (2) A pistol grip that protrudes con- sides in a State if he or she is present spicuously beneath the action of the in a State with the intention of mak- weapon, ing a home in that State. If an indi- (3) A fixed magazine capacity in ex- vidual is on active duty as a member of cess of 5 rounds, and the Armed Forces, the individual’s (4) An ability to accept a detachable State of residence is the State in which magazine. his or her permanent duty station is lo- Semiautomatic pistol. Any repeating cated. An alien who is legally in the pistol which utilizes a portion of the United States shall be considered to be energy of a firing cartridge to extract a resident of a State only if the alien is the fired cartridge case and chamber residing in the State and has resided in the next round, and which requires a the State for a period of at least 90 separate pull of the trigger to fire each days prior to the date of sale or deliv- cartridge. ery of a firearm. The following are ex- Semiautomatic rifle. Any repeating amples that illustrate this definition: rifle which utilizes a portion of the en- Example 1. A maintains a home in State X. ergy of a firing cartridge to extract the A travels to State Y on a hunting, fishing, fired cartridge case and chamber the business, or other type of trip. A does not be- next round, and which requires a sepa- come a resident of State Y by reason of such rate pull of the trigger to fire each car- trip. tridge. Example 2. A is a U.S. citizen and main- Semiautomatic shotgun. Any repeating tains a home in State X and a home in State shotgun which utilizes a portion of the Y. A resides in State X except for weekends energy of a firing cartridge to extract or the summer months of the year and in State Y for the weekends or the summer the fired cartridge case and chamber months of the year. During the time that A the next round, and which requires a actually resides in State X, A is a resident of separate pull of the trigger to fire each State X, and during the time that A actually cartridge. resides in State Y, A is a resident of State Y.

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Example 3. A, an alien, travels on vacation U.S.C. The United States Code. or on a business trip to State X. Regardless of the length of time A spends in State X, A (5 U.S.C. 552(a), 80 Stat. 383, as amended; 18 does not have a State of residence in State U.S.C. 847 (84 Stat. 959); 18 U.S.C. 926 (82 Stat. X. This is because A does not have a home in 1226)) State X at which he has resided for at least [T.D. ATF–48, 43 FR 13536, Mar. 31 1978; 44 FR 90 days. 55842, Sept. 28, 1979]

Unlawful user of or addicted to any EDITORIAL NOTE: For FEDERAL REGISTER ci- controlled substance. A person who uses tations affecting § 478.11, see the List of CFR a controlled substance and has lost the Sections Affected, which appears in the power of self-control with reference to Finding Aids section of the printed volume the use of controlled substance; and and on GPO Access. any person who is a current user of a controlled substance in a manner other Subpart C—Administrative and than as prescribed by a licensed physi- Miscellaneous Provisions cian. Such use is not limited to the use of drugs on a particular day, or within § 478.21 Forms prescribed. a matter of days or weeks before, but (a) The Director is authorized to pre- rather that the unlawful use has oc- scribe all forms required by this part. curred recently enough to indicate that All of the information called for in the individual is actively engaged in each form shall be furnished as indi- such conduct. A person may be an un- cated by the headings on the form and lawful current user of a controlled sub- the instructions on or pertaining to the stance even though the substance is form. In addition, information called not being used at the precise time the for in each form shall be furnished as person seeks to acquire a firearm or re- required by this part. ceives or possesses a firearm. An infer- (b) Requests for forms should be ence of current use may be drawn from mailed to the ATF Distribution Center, evidence of a recent use or possession 7664 K Fullerton Road, Springfield, Vir- of a controlled substance or a pattern ginia 22150. of use or possession that reasonably (5 U.S.C. 552(a); 80 Stat. 383, as amended) covers the present time, e.g., a conviction for use or possession of a con- [T.D. ATF–92, 46 FR 46915, Sept. 23, 1981, as amended by T.D. ATF–249, 52 FR 5962, Feb. trolled substance within the past year; 27, 1987; T.D. ATF–270, 53 FR 10492, Mar. 31, multiple arrests for such offenses with- 1988; T.D. 372, 61 FR 20724, May 8, 1996; ATF– in the past 5 years if the most recent 11F, 73 FR 57240, Oct. 2, 2008] arrest occurred within the past year; or persons found through a drug test to § 478.22 Alternate methods or proce- use a controlled substance unlawfully, dures; emergency variations from provided that the test was adminis- requirements. tered within the past year. For a cur- (a) Alternate methods or procedures. rent or former member of the Armed The licensee, on specific approval by Forces, an inference of current use may the Director as provided in this para- be drawn from recent disciplinary or graph, may use an alternate method or other administrative action based on procedure in lieu of a method or proce- confirmed drug use, e.g., court-martial dure specifically prescribed in this conviction, nonjudicial punishment, or part. The Director may approve an al- an administrative discharge based on ternate method or procedure, subject drug use or drug rehabilitation failure. to stated conditions, when it is found Unserviceable firearm. A firearm which that: is incapable of discharging a shot by (1) Good cause is shown for the use of means of an explosive and is incapable the alternate method or procedure; of being readily restored to a firing (2) The alternate method or proce- condition. dure is within the purpose of, and consistent with the effect intended by, the specifically prescribed method or procedure and that the alternate method

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or procedure is substantially equiva- ten application shall be submitted to lent to that specifically prescribed the appropriate Director of Industry method or procedure; and Operations for transmittal to the Di- (3) The alternate method or proce- rector. The application shall describe dure will not be contrary to any provi- the proposed variation and set forth sion of law and will not result in an in- the reasons for it. Variations may not crease in cost to the Government or be employed until the application is hinder the effective administration of approved. this part. Where the licensee desires to (c) Retention of approved variations. employ an alternate method or proce- The licensee shall retain, as part of the dure, a written application shall be licensee’s records, available for exam- submitted to the appropriate Director ination by ATF officers, any applica- of Industry Operations, for transmittal to the Director. The application shall tion approved by the Director under specifically describe the proposed al- this section. ternate method or procedure and shall [T.D. ATF–270, 53 FR 10492, Mar. 31, 1988] set forth the reasons for it. Alternate methods or procedures may not be em- § 478.23 Right of entry and examina- ployed until the application is ap- tion. proved by the Director. The licensee (a) Except as provided in paragraph shall, during the period of authoriza- (b), any ATF officer, when there is rea- tion of an alternate method or proce- sonable cause to believe a violation of dure, comply with the terms of the ap- the Act has occurred and that evidence proved application. Authorization of of the violation may be found on the any alternate method or procedure may be withdrawn whenever, in the premises of any licensed manufacturer, judgment of the Director, the effective licensed importer, licensed dealer, or administration of this part is hindered licensed collector, may, upon dem- by the continuation of the authoriza- onstrating such cause before a Federal tion. magistrate and obtaining from the (b) Emergency variations from require- magistrate a warrant authorizing ments. The Director may approve a entry, enter during business hours (or, method of operation other than as in the case of a licensed collector, the specified in this part, where it is found hours of operation) the premises, in- that an emergency exists and the pro- cluding places of storage, of any such posed variation from the specified re- licensee for the purpose of inspecting quirements are necessary and the pro- or examining: posed variations (1) will not hinder the (1) Any records or documents re- effective administration of this part, quired to be kept by such licensee and (2) will not be contrary to any pro- under this part and visions of law. Variations from require- (2) Any inventory of firearms or am- ments granted under this paragraph munition kept or stored by any li- are conditioned on compliance with the censed manufacturer, licensed im- procedures, conditions, and limitations porter, or licensed dealer at such prem- set forth in the approval of the applica- ises or any firearms curios or relics or tion. Failure to comply in good faith with the procedures, conditions, and ammunition kept or stored by any li- limitations shall automatically termi- censed collector at such premises. nate the authority for the variations, (b) Any ATF officer, without having and the licensee shall fully comply reasonable cause to believe a violation with the prescribed requirements of of the Act has occurred or that evi- regulations from which the variations dence of the violation may be found were authorized. Authority for any and without demonstrating such cause variation may be withdrawn whenever, before a Federal magistrate or obtain- in the judgment of the Director, the ef- ing from the magistrate a warrant au- fective administration of this part is thorizing entry, may enter during busi- hindered by the continuation of the ness hours the premises, including variation. Where the licensee desires to employ an emergency variation, a writ-

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places of storage, of any licensed man- evidence of a violation of law. If an ufacturer, licensed importer, or li- ATF officer seizes such records or doc- censed dealer for the purpose of in- uments, copies shall be provided the li- specting or examining the records, doc- censee within a reasonable time. uments, ammunition and firearms re- [T.D. ATF–270, 53 FR 10492, Mar. 31, 1988; as ferred to in paragraph (a) of this sec- amended by T.D. ATF–363, 60 FR 17450, Apr. tion: 6, 1995] (1) In the course of a reasonable inquiry during the course of a criminal § 478.24 Compilation of State laws and investigation of a person or persons published ordinances. other than the licensee, (a) The Director shall annually revise (2) For insuring compliance with the and furnish Federal firearms licensees recordkeeping requirements of this with a compilation of State laws and part: published ordinances which are rel- (i) Not more than once during any 12- evant to the enforcement of this part. month period, or The Director annually revises the com- (ii) At any time with respect to pilation and publishes it as ‘‘State records relating to a firearm involved Laws and Published Ordinances—Fire- in a criminal investigation that is arms’’ which is furnished free of charge traced to the licensee, or to licensees under this part. Where the (3) When such inspection or examina- compilation has previously been fur- tion may be required for determining nished to licensees, the Director need the disposition of one or more par- only furnish amendments of the rel- ticular firearms in the course of a bona evant laws and ordinances to such li- fide criminal investigation. censees. (c) Any ATF officer, without having (b) ‘‘State Laws and Published Ordi- reasonable cause to believe a violation nances—Firearms’’ is incorporated by of the Act has occurred or that evi- reference in this part. It is ATF Publi- dence of the violation may be found cation 5300.5, revised yearly. The cur- and without demonstrating such cause rent edition is available from the Su- before a Federal magistrate or obtain- perintendent of Documents, U.S. Gov- ing from the magistrate a warrant au- ernment Printing Office, Washington, thorizing entry, may enter during DC 20402. It is also available for inspec- hours of operation the premises, in- tion at the National Archives and cluding places of storage, of any li- Records Administration (NARA). For censed collector for the purpose of in- information on the availability of this specting or examining the records, doc- material at NARA, call 202–741–6030, or uments, firearms, and ammunition re- go to: http://www.archives.gov/ ferred to in paragraph (a) of this sec- federallregister/ tion (1) for ensuring compliance with codeloflfederallregulations/ the recordkeeping requirements of this ibrllocations.html. This incorporation part not more than once during any 12- by reference was approved by the Di- month period or (2) when such inspec- rector of the Federal Register. tion or examination may be required [T.D. ATF–270, 53 FR 10493, Mar. 31, 1988, as for determining the disposition of one amended at 69 FR 18803, Apr. 9, 2004] or more particular firearms in the course of a bona fide criminal inves- § 478.25 Disclosure of information. tigation. At the election of the licensed The Director of Industry Operations collector, the annual inspection per- may make available to any Federal, mitted by this paragraph shall be per- State or local law enforcement agency formed at the ATF office responsible any information which is obtained by for conducting such inspection in clos- reason of the provisions of the Act with est proximity to the collectors prem- respect to the identification of persons ises. prohibited from purchasing or receiv- (d) The inspections and examinations ing firearms or ammunition who have provided by this section do not author- purchased or received firearms or am- ize an ATF officer to seize any records munition, together with a description or documents other than those records of such firearms or ammunition. Upon or documents constituting material the request of any Federal, State or

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local law enforcement agency, the Di- § 478.27 Destructive device determina- rector of Industry Operations may pro- tion. vide such agency any information con- The Director shall determine in ac- tained in the records required to be cordance with 18 U.S.C. 921(a)(4) wheth- maintained by the Act or this part. er a device is excluded from the defini- [T.D. ATF–270, 53 FR 10493, Mar. 31, 1988] tion of a destructive device. A person who desires to obtain a determination § 478.25a Responses to requests for in- under that provision of law for any de- formation. vice which he believes is not likely to Each licensee shall respond imme- be used as a weapon shall submit a diately to, and in no event later than written request, in triplicate, for a rul- 24 hours after the receipt of, a request ing thereon to the Director. Each such by an ATF officer at the National request shall be executed under the Tracing Center for information con- penalties of perjury and contain a com- tained in the records required to be plete and accurate description of the kept by this part for determining the device, the name and address of the disposition of one or more firearms in manufacturer or importer thereof, the the course of a bona fide criminal in- purpose of and use for which it is investigation. The requested information tended, and such photographs, dia- shall be provided orally to the ATF of- grams, or drawings as may be nec- ficer within the 24-hour period. essary to enable the Director to make Verification of the identity and em- his determination. The Director may ployment of National Tracing Center require the submission to him, of a personnel requesting information may sample of such device for examination be established at the time the re- and evaluation. If the submission of quested information is provided by such device is impracticable, the per- telephoning the toll-free number 1–800– son requesting the ruling shall so ad- 788–7132 or using the toll-free facsimile vise the Director and designate the (FAX) number 1–800–788–7133. place where the device will be available for examination and evaluation. (Approved by the Office of Management and Budget under control number 1140–0032) § 478.28 Transportation of destructive [T.D. ATF–363, 60 FR 17451, Apr. 6, 1996, as devices and certain firearms. amended by T.D. ATF–396, 63 FR 12646, Mar. (a) The Director may authorize a per- 16, 1998; ATF–11F, 73 FR 57240, Oct. 2, 2008] son to transport in interstate or foreign commerce any destructive device, § 478.26 Curio and relic determination. machine gun, short-barreled shotgun, Any person who desires to obtain a or short-barreled rifle, if he finds that determination whether a particular such transportation is reasonably nec- firearm is a curio or relic shall submit essary and is consistent with public a written request, in duplicate, for a safety and applicable State and local ruling thereon to the Director. Each law. A person who desires to transport such request shall be executed under in interstate or foreign commerce any the penalties of perjury and shall con- such device or weapon shall submit a tain a complete and accurate descrip- written request so to do, in duplicate, tion of the firearm, and such photo- to the Director. The request shall con- graphs, diagrams, or drawings as may tain: be necessary to enable the Director to (1) A complete description and identi- make a determination. The Director fication of the device or weapon to be may require the submission of the fire- transported; arm for examination and evaluation. If (2) A statement whether such trans- the submission of the firearm is importation involves a transfer of title; practical, the person requesting the de- (3) The need for such transportation; termination shall so advise the Direc- (4) The approximate date such trans- tor and designate the place where the portation is to take place; firearm will be available for examina- (5) The present location of such de- tion and evaluation. vice or weapon and the place to which [T.D. ATF–270, 53 FR 10493, Mar. 31, 1988] it is to be transported;

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(6) The mode of transportation to be person to purchase or possess such fire- used (including, if by common or con- arm in that State, tract carrier, the name and address of (b) Shall not apply to the transpor- such carrier); and tation or receipt of a rifle or shotgun (7) Evidence that the transportation obtained from a licensed manufacturer, or possession of such device or weapon licensed importer, licensed dealer, or is not inconsistent with the laws at the licensed collector in a State other than place of destination. the transferee’s State of residence in (b) No person shall transport any de- an over-the-counter transaction at the structive device, machine gun, short- licensee’s premises obtained in con- barreled shotgun, or short-barreled formity with the provisions of rifle in interstate or foreign commerce § 478.96(c) and under the provisions of this section (c) Shall not apply to the transpor- until he has received specific author- tation or receipt of a firearm obtained ization so to do from the Director. Au- in conformity with the provisions of thorization granted under this section §§ 478.30 and 478.97. does not carry or import relief from any other statutory or regulatory pro- [T.D. ATF–270, 53 FR 10493, Mar. 31, 1988] vision relating to firearms. (c) This section shall not be con- § 478.29a Acquisition of firearms by strued as requiring licensees to obtain nonresidents. authorization to transport destructive No person, other than a licensed im- devices, machine guns, short-barreled porter, licensed manufacturer, licensed shotguns, and short-barreled rifles in dealer, or licensed collector, who does interstate or foreign commerce: Pro- not reside in any State shall receive vided, That in the case of a licensed im- any firearms unless such receipt is for porter, licensed manufacturer, or li- lawful sporting purposes. censed dealer, such a licensee is qualified under the National Firearms Act [T.D. ATF–363, 60 FR 17451, Apr. 6, 1995] (see also Part 479 of this chapter) and this part to engage in the business with § 478.30 Out-of-State disposition of respect to the device or weapon to be firearms by nonlicensees. transported, and that in the case of a No nonlicensee shall transfer, sell, licensed collector, the device or weap- trade, give, transport, or deliver any on to be transported is a curio or relic. firearm to any other nonlicensee, who [33 FR 18555, Dec. 14, 1968. Redesignated at 40 the transferor knows or has reasonable FR 16385, Apr. 15, 1975, and amended by T.D. cause to believe does not reside in (or if ATF–138, 48 FR 35399, Aug. 4, 1983] the person is a corporation or other business entity, does not maintain a § 478.29 Out-of-State acquisition of place of business in) the State in which firearms by nonlicensees. the transferor resides: Provided, That No person, other than a licensed im- the provisions of this section: porter, licensed manufacturer, licensed (a) shall not apply to the transfer, dealer, or licensed collector, shall transportation, or delivery of a firearm transport into or receive in the State made to carry out a bequest of a fire- where the person resides (or if a cor- arm to, or any acquisition by intestate poration or other business entity, succession of a firearm by, a person where it maintains a place of business) who is permitted to acquire or possess any firearm purchased or otherwise ob- a firearm under the laws of the State of tained by such person outside that his residence; and State: Provided, That the provisions of (b) shall not apply to the loan or this section: rental of a firearm to any person for (a) Shall not preclude any person who temporary use for lawful sporting pur- lawfully acquires a firearm by bequest poses. or intestate succession in a State other than his State of residence from trans- [T.D. ATF–313, 56 FR 32508, July 17, 1991; 57 porting the firearm into or receiving it FR 1205, Jan. 10, 1992] in that State, if it is lawful for such

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§ 478.31 Delivery by common or con- who places firearms in the carrier’s tract carrier. custody for the duration of the trip. (a) No person shall knowingly deliver [33 FR 18555, Dec. 14, 1968. Redesignated at 40 or cause to be delivered to any common FR 16385, Apr. 15, 1975, and amended by T.D. or contract carrier for transportation ATF–354, 59 FR 7112, Feb. 14, 1994; T.D. ATF– or shipment in interstate or foreign 361, 60 FR 10786, Feb. 27, 1995] commerce to any person other than a § 478.32 Prohibited shipment, trans- licensed importer, licensed manufac- portation, possession, or receipt of turer, licensed dealer, or licensed col- firearms and ammunition by cer- lector, any package or other container tain persons. in which there is any firearm or ammu- (a) No person may ship or transport nition without written notice to the any firearm or ammunition in inter- carrier that such firearm or ammuni- state or foreign commerce, or receive tion is being transported or shipped: any firearm or ammunition which has Provided, That any passenger who owns been shipped or transported in inter- or legally possesses a firearm or am- state or foreign commerce, or possess munition being transported aboard any any firearm or ammunition in or af- common or contract carrier for move- fecting commerce, who: ment with the passenger in interstate (1) Has been convicted in any court of or foreign commerce may deliver said a crime punishable by imprisonment firearm or ammunition into the cus- for a term exceeding 1 year, tody of the pilot, captain, conductor or (2) Is a fugitive from justice, operator of such common or contract (3) Is an unlawful user of or addicted carrier for the duration of that trip to any controlled substance (as defined without violating any provision of this in section 102 of the Controlled Sub- part. stances Act, 21 U.S.C. 802), (b) No common or contract carrier (4) Has been adjudicated as a mental shall require or cause any label, tag, or defective or has been committed to a other written notice to be placed on mental institution, the outside of any package, luggage, or (5) Being an alien— other container indicating that such (i) Is illegally or unlawfully in the package, luggage, or other container United States; or contains a firearm. (ii) Except as provided in paragraph (c) No common or contract carrier (f) of this section, is a nonimmigrant shall transport or deliver in interstate alien: Provided, That the provisions of or foreign commerce any firearm or this paragraph (a)(5)(ii) do not apply to ammunition with knowledge or reason- any nonimmigrant alien if that alien able cause to believe that the ship- is- ment, transportation, or receipt there- (A) Admitted to the United States for of would be in violation of any provi- lawful hunting or sporting purposes or sion of this part: Provided, however, is in possession of a hunting license or That the provisions of this paragraph permit lawfully issued in the United States; shall not apply in respect to the trans- (B) An official representative of a portation of firearms or ammunition in foreign government who is either ac- in-bond shipment under Customs laws credited to the United States Govern- and regulations. ment or the Government’s mission to (d) No common or contract carrier an international organization having shall knowingly deliver in interstate or its headquarters in the United States foreign commerce any firearm without or is en route to or from another coun- obtaining written acknowledgement of try to which that alien is accredited. receipt from the recipient of the pack- This exception only applies if the fire- age or other container in which there arm or ammunition is shipped, trans- is a firearm: Provided, That this para- ported, possessed, or received in the graph shall not apply with respect to representative’s official capacity; the return of a firearm to a passenger (C) An official of a foreign government or a distinguished foreign visitor

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who has been so designated by the De- commerce or receive any firearm or partment of State. This exception only ammunition which has been shipped or applies if the firearm or ammunition is transported in interstate or foreign shipped, transported, possessed, or re- commerce. ceived in the official’s or visitor’s offi- (d) No person may sell or otherwise cial capacity, except if the visitor is a dispose of any firearm or ammunition private individual who does not have to any person knowing or having rea- an official capacity; or sonable cause to believe that such per- (D) A foreign law enforcement officer son: of a friendly foreign government enter- (1) Is under indictment for, or has ing the United States on official law been convicted in any court of, a crime enforcement business, punishable by imprisonment for a term (6) Has been discharged from the exceeding 1 year, Armed Forces under dishonorable con- (2) Is a fugitive from justice, ditions, (7) Having been a citizen of the (3) Is an unlawful user of or addicted United States, has renounced citizen- to any controlled substance (as defined ship, in section 102 of the Controlled Sub- (8) Is subject to a court order that— stances Act, 21 U.S.C. 802), (i) Was issued after a hearing of (4) Has been adjudicated as a mental which such person received actual no- defective or has been committed to a tice, and at which such person had an mental institution, opportunity to participate; (5) Being an alien— (ii) Restrains such person from (i) Is illegally or unlawfully in the harassing, stalking, or threatening an United States; or intimate partner of such person or (ii) Except as provided in paragraph child of such intimate partner or per- (f) of this section, is a nonimmigrant son, or engaging in other conduct that alien: Provided, That the provisions of would place an intimate partner in rea- this paragraph (d)(5)(ii) do not apply to sonable fear of bodily injury to the any nonimmigrant alien if that alien partner or child; and is- (iii)(A) Includes a finding that such (A) Admitted to the United States for person represents a credible threat to lawful hunting or sporting purposes or the physical safety of such intimate is in possession of a hunting license or partner or child; or permit lawfully issued in the United (B) By its terms explicitly prohibits States; the use, attempted use, or threatened (B) An official representative of a use of physical force against such inti- foreign government who is either ac- mate partner or child that would rea- credited to the United States Govern- sonably be expected to cause bodily in- ment or the Government’s mission to jury, or an international organization having (9) Has been convicted of a misdemeanor crime of domestic violence. its headquarters in the United States (b) No person who is under indict- or en route to or from another country ment for a crime punishable by impris- to which that alien is accredited. This onment for a term exceeding one year exception only applies if the firearm or may ship or transport any firearm or ammunition is shipped, transported, ammunition in interstate or foreign possessed, or received in the represent- commerce or receive any firearm or ative’s official capacity; ammunition which has been shipped or (C) An official of a foreign govern- transported in interstate or foreign ment or a distinguished foreign visitor commerce. who has been so designated by the De- (c) Any individual, who to that indi- partment of State. This exception only vidual’s knowledge and while being em- applies if the firearm or ammunition is ployed by any person described in para- shipped, transported, possessed, or re- graph (a) of this section, may not in ceived in the official’s or visitor’s offi- the course of such employment receive, cial capacity, except if the visitor is a possess, or transport any firearm or private individual who does not have ammunition in commerce or affecting an official capacity; or

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(D) A foreign law enforcement officer in paragraph (a)(5)(ii) of this section, if of a friendly foreign government enter- the Attorney General approves a peti- ing the United States on official law tion for the waiver. enforcement business, [T.D. ATF–270, 53 FR 10493, Mar. 31, 1988, as (6) Has been discharged from the amended by T.D. ATF–363, 60 FR 17451, Apr. Armed Forces under dishonorable con- 6, 1995; T.D. ATF–391, 62 FR 34639, June 27, ditions, 1997; T.D. ATF–401, 63 FR 35522, June 30, 1998; (7) Having been a citizen of the T.D. ATF–471, 67 FR 5425, Feb. 5, 2002] United States, has renounced citizenship, § 478.33 Stolen firearms and ammuni- (8) Is subject to a court order that re- tion. strains such person from harassing, No person shall transport or ship in stalking, or threatening an intimate interstate or foreign commerce any partner of such person or child of such stolen firearm or stolen ammunition intimate partner or person, or engag- knowing or having reasonable cause to ing in other conduct that would place believe that the firearm or ammuni- an intimate partner in reasonable fear tion was stolen, and no person shall re- of bodily injury to the partner or child: ceive, possess, conceal, store, barter, Provided, That the provisions of this sell, or dispose of any stolen firearm or paragraph shall only apply to a court stolen ammunition, or pledge or accept order that— as security for a loan any stolen fire- (i) Was issued after a hearing of arm or stolen ammunition, which is which such person received actual no- moving as, which is a part of, which tice, and at which such person had the constitutes, or which has been shipped opportunity to participate; and or transported in, interstate or foreign (ii)(A) Includes a finding that such commerce, either before or after it was person represents a credible threat to stolen, knowing or having reasonable the physical safety of such intimate cause to believe that the firearm or partner or child; or ammunition was stolen. (B) By its terms explicitly prohibits the use, attempted use, or threatened [T.D. ATF–363, 60 FR 17451, Apr. 6, 1995] use of physical force against such inti- § 478.33a Theft of firearms. mate partner or child that would reasonably be expected to cause bodily in- No person shall steal or unlawfully jury, or take or carry away from the person or (9) Has been convicted of a mis- the premises of a person who is li- demeanor crime of domestic violence. censed to engage in the business of im- (e) The actual notice required by porting, manufacturing, or dealing in paragraphs (a)(8)(i) and (d)(8)(i) of this firearms, any firearm in the licensee’s section is notice expressly and actually business inventory that has been given, and brought home to the party shipped or transported in interstate or directly, including service of process foreign commerce. personally served on the party and [T.D. ATF–354, 59 FR 7112, Feb. 14, 1994] service by mail. Actual notice also includes proof of facts and circumstances § 478.34 Removed, obliterated, or al- that raise the inference that the party tered serial number. received notice including, but not lim- No person shall knowingly transport, ited to, proof that notice was left at ship, or receive in interstate or foreign the party’s dwelling house or usual commerce any firearm which has had place of abode with some person of the importer’s or manufacturer’s serial suitable age and discretion residing number removed, obliterated, or al- therein; or proof that the party signed tered, or possess or receive any firearm a return receipt for a hearing notice which has had the importer’s or manu- which had been mailed to the party. It facturer’s serial number removed, ob- does not include notice published in a literated, or altered and has, at any newspaper. time, been shipped or transported in (f) Pursuant to 18 U.S.C. 922(y)(3), any interstate or foreign commerce. nonimmigrant alien may receive a waiver from the prohibition contained [T.D. ATF–313, 56 FR 32508, July 17, 1991]

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§ 478.35 Skeet, trap, target, and similar transporting, shipping, or receiving a shooting activities. firearm shall be entitled to transport a Licensing and recordkeeping require- firearm for any lawful purpose from ments, including permissible alternate any place where such person may law- records, for skeet, trap, target, and fully possess and carry such firearm to similar organized activities shall be de- any other place where such person may termined by the Director of Industry lawfully possess and carry such firearm Operations on a case by case basis. if, during such transportation the firearm is unloaded, and neither the fire- § 478.36 Transfer or possession of ma- arm nor any ammunition being trans- chine guns. ported is readily accessible or is di- No person shall transfer or possess a rectly accessible from the passenger machine gun except: compartment of such transporting ve- (a) A transfer to or by, or possession hicle: Provided, That in the case of a by or under the authority of, the vehicle without a compartment sepa- United States, or any department or rate from the driver’s compartment the agency thereof, or a State, or a depart- firearm or ammunition shall be con- ment, agency, or political subdivision tained in a locked container other than thereof. (See Part 479 of this chapter); the glove compartment or console. or [T.D. ATF–270, 53 FR 10494, Mar. 31, 1988] (b) Any lawful transfer or lawful possession of a machine gun that was law- § 478.39 Assembly of semiautomatic ri- fully possessed before May 19, 1986 (See fles or shotguns. Part 479 of this chapter). (a) No person shall assemble a semi- [T.D. ATF–270, 53 FR 10494, Mar. 31, 1988] automatic rifle or any shotgun using more than 10 of the imported parts list- § 478.37 Manufacture, importation and ed in paragraph (c) of this section if the sale of armor piercing ammunition. assembled firearm is prohibited from No person shall manufacture or im- importation under section 925(d)(3) as port, and no manufacturer or importer not being particularly suitable for or shall sell or deliver, armor piercing readily adaptable to sporting purposes. ammunition, except: (b) The provisions of this section (a) The manufacture or importation, shall not apply to: or the sale or delivery by any manufac- (1) The assembly of such rifle or shot- turer or importer, of armor piercing gun for sale or distribution by a li- ammunition for the use of the United censed manufacturer to the United States or any department or agency States or any department or agency thereof or any State or any depart- thereof or to any State or any department, agency or political subdivision ment, agency, or political subdivision thereof; thereof; or (b) The manufacture, or the sale or (2) The assembly of such rifle or shot- delivery by a manufacturer or im- gun for the purposes of testing or exporter, of armor piercing ammunition perimentation authorized by the Direc- for the purpose of exportation; or tor under the provisions of § 478.151; or (c) The sale or delivery by a manufac- (3) The repair of any rifle or shotgun turer or importer of armor piercing which had been imported into or as- ammunition for the purposes of testing sembled in the United States prior to or experimentation as authorized by November 30, 1990, or the replacement the Director under the provisions of of any part of such firearm. § 478.149. (c) For purposes of this section, the term imported parts are: [T.D. ATF–270, 53 FR 10494, Mar. 31, 1988] (1) Frames, receivers, receiver castings, forgings or stampings § 478.38 Transportation of firearms. (2) Barrels Notwithstanding any other provision (3) Barrel extensions of any law or any rule or regulation of (4) Mounting blocks (trunions) a State or any political subdivision (5) Muzzle attachments thereof, any person who is not other- (6) Bolts wise prohibited by this chapter from (7) Bolt carriers

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(8) Operating rods (2) Any of the firearms, or replicas or (9) Gas pistons duplicates of the firearms, specified in (10) Trigger housings 18 U.S.C. 922, Appendix A, as such fire- (11) Triggers arms existed on October 1, 1993; (12) Hammers (3) Any firearm that— (13) Sears (i) Is manually operated by bolt, (14) Disconnectors pump, lever, or slide action; (15) Buttstocks (ii) Has been rendered permanently (16) Pistol grips inoperable; or (17) Forearms, handguards (iii) Is an antique firearm; (18) Magazine bodies (4) Any semiautomatic rifle that can- (19) Followers not accept a detachable magazine that (20) Floorplates holds more than 5 rounds of ammuni- [T.D. ATF–346, 58 FR 40589, July 29, 1993] tion; (5) Any semiautomatic shotgun that § 478.39a Reporting theft or loss of cannot hold more than 5 rounds of am- firearms. munition in a fixed or detachable mag- Each licensee shall report the theft azine; or loss of a firearm from the licensee’s (6) The manufacture for, transfer to, inventory (including any firearm which or possession by the United States or a has been transferred from the licens- department or agency of the United ee’s inventory to a personal collection States or a State or a department, and held as a personal firearm for at agency, or political subdivision of a least 1 year), or from the collection of State, or a transfer to or possession by a licensed collector, within 48 hours a law enforcement officer employed by after the theft or loss is discovered. Li- such an entity for purposes of law en- censees shall report thefts or losses by forcement; telephoning 1–888–930–9275 (nationwide (7) The transfer to a licensee under toll free number) and by preparing ATF title I of the Atomic Energy Act of 1954 Form 3310.11, Federal Firearms Li- (42 U.S.C. 2011 et seq.) for purposes of censee Theft/Loss Report, in accord- establishing and maintaining an on- ance with the instructions on the form. site physical protection system and se- The original of the report shall be for- curity organization required by Fed- warded to the office specified thereon, eral law, or possession by an employee and Copy 1 shall be retained by the li- or contractor of such licensee on-site censee as part of the licensee’s perma- for such purposes or off-site for pur- nent records. Theft or loss of any fire- poses of licensee-authorized training or arm shall also be reported to the appro- transportation of nuclear materials; priate local authorities. (8) The possession, by an individual (Approved by the Office of Management and who is retired from service with a law Budget under control number 1140–0039) enforcement agency and is not otherwise prohibited from receiving a fire- [T.D. ATF–363, 60 FR 17451, Apr. 6, 1995, as amended by ATF–11F, 73 FR 57240, Oct. 2, arm, of a semiautomatic assault weap- 2008] on transferred to the individual by the agency upon such retirement; § 478.40 Manufacture, transfer, and (9) The manufacture, transfer, or pos- possession of semiautomatic assault session of a semiautomatic assault weapons. weapon by a licensed manufacturer or (a) Prohibition. No person shall manu- licensed importer for the purposes of facture, transfer, or possess a semi- testing or experimentation as author- automatic assault weapon. ized by the Director under the provi- (b) Exceptions. The provisions of para- sions of § 478.153; or graph (a) of this section shall not apply (10) The manufacture, transfer, or to: possession of a semiautomatic assault (1) The possession or transfer of any weapon by a licensed manufacturer, li- semiautomatic assault weapon other- censed importer, or licensed dealer for wise lawfully possessed in the United the purpose of exportation in compli- States under Federal law on September ance with the Arms Export Control Act 13, 1994; (22 U.S.C. 2778).

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(c) Manufacture and dealing in semi- vice otherwise lawfully possessed on automatic assault weapons. Subject to September 13, 1994; compliance with the provisions of this (2) The manufacture for, transfer to, part, licensed manufacturers and li- or possession by the United States or a censed dealers in semiautomatic as- department or agency of the United sault weapons may manufacture and States or a State or a department, deal in such weapons manufactured agency, or political subdivision of a after September 13, 1994: Provided, The State, or a transfer to or possession by licensee obtains evidence that the a law enforcement officer employed by weapons will be disposed of in accord- such an entity for purposes of law en- ance with paragraph (b) of this section. forcement; Examples of acceptable evidence in- (3) The transfer to a licensee under clude the following: title I of the Atomic Energy Act of 1954 (1) Contracts between the manufac- for purposes of establishing and main- turer and dealers stating that the taining an on-site physical protection weapons may only be sold to law en- system and security organization re- forcement agencies, law enforcement quired by Federal law, or possession by officers, or other purchasers specified an employee or contractor of such li- in paragraph (b) of this section; censee on-site for such purposes or off- (2) Copies of purchase orders sub- site for purposes of licensee-authorized mitted to the manufacturer or dealer training or transportation of nuclear by law enforcement agencies or other materials; purchasers specified in paragraph (b) of (4) The possession, by an individual this section; who is retired from service with a law (3) Copies of letters submitted to the enforcement agency and is not other- manufacturer or dealer by government wise prohibited from receiving ammu- agencies, law enforcement officers, or nition, of a large capacity ammunition other purchasers specified in paragraph feeding device transferred to the indi- (b) of this section expressing an inter- vidual by the agency upon such retire- est in purchasing the semiautomatic ment; assault weapons; (5) The manufacture, transfer, or pos- (4) Letters from dealers to the manu- session of any large capacity ammuni- facturer stating that sales will only be tion feeding device by a manufacturer made to law enforcement agencies, law or importer for the purposes of testing enforcement officers, or other pur- or experimentation in accordance with chasers specified in paragraph (b) of § 478.153; or this section; and (6) The manufacture, transfer, or pos- (5) Letters from law enforcement of- session of any large capacity ammuni- ficers purchasing in accordance with tion feeding device by a manufacturer paragraph (b)(6) of this section and or importer for the purpose of expor- § 478.132. tation in accordance with the Arms Ex- (Paragraph (c) approved by the Office of port Control Act (22 U.S.C. 2778). Management and Budget under control num- (c) Importation, manufacture, and deal- ber 1140–0041) ing in large capacity ammunition feeding [T.D. ATF–363, 60 FR 17451, Apr. 6, 1995], as devices. Possession and transfer of large amended by ATF–11F, 73 FR 57240, Oct. 2, capacity ammunition feeding devices 2008] by persons who manufacture, import, or deal in such devices will be pre- § 478.40a Transfer and possession of sumed to be lawful if such persons large capacity ammunition feeding maintain evidence establishing that devices. the devices are possessed and trans- (a) Prohibition. No person shall transferred for sale to purchasers specified fer or possess a large capacity ammuni- in paragraph (b) of this section. Exam- tion feeding device. ples of acceptable evidence include the (b) Exceptions. The provisions of para- following: graph (a) of this section shall not apply (1) Contracts between persons who to: import or manufacture such devices (1) The possession or transfer of any and persons who deal in such devices large capacity ammunition feeding de- stating that the devices may only be

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sold to law enforcement agencies or ness and each place at which the appli- other purchasers specified in paragraph cant is to do business. A license as an (b) of this section; importer or manufacturer of firearms (2) Copies of purchase orders sub- or ammunition, or a dealer in firearms mitted to persons who manufacture, shall, subject to the provisions of the import, or deal in such devices by law Act and other applicable provisions of enforcement agencies or other pur- law, entitle the licensee to transport, chasers specified in paragraph (b) of ship, and receive firearms and ammuni- this section; tion covered by such license in inter- (3) Copies of letters submitted to per- state or foreign commerce and to en- sons who manufacture, import, or deal gage in the business specified by the li- in such devices by government agencies or other purchasers specified in para- cense, at the location described on the graph (b) of this section expressing an license, and for the period stated on interest in purchasing the devices; the license. However, it shall not be (4) Letters from persons who deal in necessary for a licensed importer or a such devices to persons who import or licensed manufacturer to also obtain a manufacture such devices stating that dealer’s license in order to engage in sales will only be made to law enforce- business on the licensed premises as a ment agencies or other purchasers dealer in the same type of firearms au- specified in paragraph (b) of this sec- thorized by the license to be imported tion; and or manufactured. Payment of the li- (5) Letters from law enforcement of- cense fee as an importer or manufac- ficers purchasing in accordance with turer of destructive devices, ammuni- paragraph (b)(2) of this section and tion for destructive devices or armor § 478.132. piercing ammunition or as a dealer in (Paragraph (c) approved by the Office of destructive devices includes the privi- Management and Budget under control num- lege of importing or manufacturing ber 1140–0041) firearms other than destructive devices [T.D. ATF–363, 60 FR 17452, Apr. 6, 1995, as and ammunition for other than de- amended by T.D. ATF–383, 61 FR 39321, July structive devices or ammunition other 29, 1996; ATF–11F, 73 FR 57240, Oct. 2, 2008] than armor piercing ammunition, or dealing in firearms other than destruc- Subpart D—Licenses tive devices, as the case may be, by such a licensee at the licensed prem- § 478.41 General. ises. (a) Each person intending to engage (c) Each person seeking the privi- in business as an importer or manufac- leges of a collector licensed under this turer of firearms or ammunition, or a part shall file an application, with the dealer in firearms shall, before com- required fee (see § 478.42), with ATF in mencing such business, obtain the li- accordance with the instructions on cense required by this subpart for the the form (see § 478.44), and pursuant to business to be operated. Each person § 478.47, receive from the Chief, Federal who desires to obtain a license as a col- Firearms Licensing Center, the license lector of curios or relics may obtain covering the collection of curios and such a license under the provisions of relics. A separate license may be ob- this subpart. (b) Each person intending to engage tained for each collection premises, in business as a firearms or ammuni- and such license shall, subject to the tion importer or manufacturer, or deal- provisions of the Act and other applica- er in firearms shall file an application, ble provisions of law, entitle the li- with the required fee (see § 478.42), with censee to transport, ship, receive, and ATF in accordance with the instruc- acquire curios and relics in interstate tions on the form (see § 478.44), and, or foreign commerce, and to make dis- pursuant to § 478.47, receive the license position of curios and relics in inter- required for such business from the state or foreign commerce, to any Chief, Federal Firearms Licensing Cen- other person licensed under the provi- ter. Except as provided in § 478.50, a li- sions of this part, for the period stated cense must be obtained for each busi- on the license.

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(d) The collector license provided by (d) For a collector of curios and rel- this part shall apply only to trans- ics—$10 per year. actions related to a collector’s activity [T.D. ATF–270, 53 FR 10494, Mar. 31, 1988, as in acquiring, holding or disposing of amended by T.D. ATF–354, 59 FR 7112, Feb. curios and relics. A collector’s license 14, 1994] does not authorize the collector to engage in a business required to be li- § 478.43 License fee not refundable. censed under the Act or this part. No refund of any part of the amount Therefore, if the acquisitions and dis- paid as a license fee shall be made positions of curios and relics by a col- where the operations of the licensee lector bring the collector within the are, for any reason, discontinued dur- definition of a manufacturer, importer, ing the period of an issued license. or dealer under this part, he shall qual- However, the license fee submitted ify as such. (See also § 478.93 of this with an application for a license shall part.) be refunded if that application is denied or withdrawn by the applicant (18 U.S.C. 847 (84 Stat. 959); 18 U.S.C. 926 (82 Stat. 1226)) prior to being acted upon. [33 FR 18555, Dec. 14, 1968. Redesignated at 40 [T.D. ATF–270, 53 FR 10494, Mar. 31, 1988] FR 16835, Apr. 15, 1975, and amended by T.D. ATF–270, 53 FR 10494, Mar. 31, 1988; T.D. § 478.44 Original license. ATF–290, 54 FR 53054, Dec. 27, 1989] (a)(1) Any person who intends to engage in business as a firearms or am- § 478.42 License fees. munition importer or manufacturer, or Each applicant shall pay a fee for ob- firearms dealer, or who has not pre- taining a firearms license or ammuni- viously been licensed under the provi- tion license, a separate fee being re- sions of this part to so engage in busi- quired for each business or collecting ness, or who has not timely submitted activity at each place of such business an application for renewal of the pre- or activity, as follows: vious license issued under this part, (a) For a manufacturer: must file an application for license, (1) Of destructive devices, ammuni- ATF Form 7 (Firearms), in duplicate, tion for destructive devices or armor with ATF in accordance with the in- piercing ammunition—$1,000 per year. structions on the form. The application must: (2) Of firearms other than destructive (i) Be executed under the penalties of devices—$50 per year. perjury and the penalties imposed by 18 (3) Of ammunition for firearms other U.S.C. 924; than ammunition for destructive de- (ii) Include a photograph and finger- vices or armor piercing ammunition— prints as required in the instructions $10 per year. on the form; (b) For an importer: (iii) If the applicant (including, in (1) Of destructive devices, ammuni- the case of a corporation, partnership, tion for destructive devices or armor or association, any individual pos- piercing ammunition—$1,000 per year. sessing, directly or indirectly, the (2) Of firearms other than destructive power to direct or cause the direction devices or ammunition for firearms of the management and policies of the other than destructive devices or am- corporation, partnership, or associa- munition other than armor piercing tion) is a nonimmigrant alien, applica- ammunition—$50 per year. ble documentation demonstrating that (c) For a dealer: the nonimmigrant alien falls within an (1) In destructive devices—$1,000 per exception to or has obtained a waiver year. from the nonimmigrant alien provision (2) Who is not a dealer in destructive (e.g., a hunting license or permit law- devices—$200 for 3 years, except that fully issued in the United States; waiver); and the fee for renewal of a valid license shall be $90 for 3 years. (iv) Include the appropriate fee in the form of money order or check made

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payable to the ‘‘Bureau of Alcohol, To- a nonimmigrant alien, the application bacco, Firearms, and Explosives’’. must include applicable documentation (2) ATF Form 7 may be obtained by demonstrating that the nonimmigrant contacting the ATF Distribution Cen- alien falls within an exception to or ter (See § 478.21). has obtained a waiver from the non- (b) Any person who desires to obtain immigrant alien provision (e.g., a hunt- a license as a collector under the Act ing license or permit lawfully issued in and this part, or who has not timely the United States; waiver). The Chief, submitted an application for renewal of Federal Firearms Licensing Center the previous license issued under this may, in writing, require the applicant part, shall file an application, ATF for license renewal to also file com- Form 7CR (Curios and Relics), with pleted ATF Form 7 or ATF Form 7CR ATF in accordance with the instruc- in the manner required by § 478.44. In tions on the form. If the applicant (in- the event the licensee does not timely cluding, in the case of a corporation, file an ATF Form 8 Part II, the li- partnership, or association, any indi- censee must file an ATF Form 7 or vidual possessing, directly or indi- ATF Form 7CR as required by § 478.44, rectly, the power to direct or cause the and obtain the required license before direction of the management and poli- continuing business or collecting activ- cies of the corporation, partnership, or ity. If an ATF Form 8 Part II is not association) is a nonimmigrant alien, timely received through the mails, the the application must include applicable licensee should so notify the Chief, documentation demonstrating that the Federal Firearms Licensing Center. nonimmigrant alien falls within an exception to or has obtained a waiver (Approved by the Office of Management and from the nonimmigrant alien provision Budget under control number 1140–0060) (e.g., a hunting license or permit law- [ATF–11, 73 FR 57241, Oct. 2, 2008] fully issued in the United States; waiver). The application must be executed § 478.46 Insufficient fee. under the penalties of perjury and the If an application is filed with an in- penalties imposed by 18 U.S.C. 924. The sufficient fee, the application and any application shall include the appro- fee submitted will be returned to the priate fee in the form of a money order applicant. or check made payable to the Bureau of Alcohol, Tobacco, Firearms, and Ex- (18 U.S.C. 847 (84 Stat. 959); 18 U.S.C. 926 (82 plosives. ATF Form 7CR (Curios and Stat. 1226)) Relics) may be obtained by contacting [T.D. ATF–200, 50 FR 10498, Mar. 15, 1985] the ATF Distribution Center (See § 478.21). § 478.47 Issuance of license. (Paragraphs (a) and (b) approved by the Of- (a) Upon receipt of a properly exe- fice of Management and Budget under con- cuted application for a license on ATF trol number 1140–0060) Form 7, ATF Form 7CR, or ATF Form [T.D. ATF–363, 60 FR 17453, Apr. 6, 1995, as 8 Part II, the Chief, Federal Firearms amended by T.D. ATF–471, 67 FR 5425, Feb. 5, Licensing Center, shall, upon finding 2002; ATF–11F, 73 FR 57240, Oct. 2, 2008] through further inquiry or investigation, or otherwise, that the applicant is § 478.45 Renewal of license. qualified, issue the appropriate license. If a licensee intends to continue the Each license shall bear a serial number business or activity described on a li- and such number may be assigned to cense issued under this part during any the licensee to whom issued for so long portion of the ensuing year, the li- as the licensee maintains continuity of censee shall, unless otherwise notified renewal in the same location (State). in writing by the Chief, Federal Fire- (b) The Chief, Federal Firearms Li- arms Licensing Center, execute and file censing Center, shall approve a prop- with ATF prior to the expiration of the erly executed application for license on license an application for a license re- ATF Form 7, ATF Form 7CR, or ATF newal, ATF Form 8 Part II, in accord- Form 8 Part II, if: ance with the instructions on the form, (1) The applicant is 21 years of age or and the required fee. If the applicant is over;

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(2) The applicant (including, in the plication for a license within the 60-day case of a corporation, partnership, or period prescribed by paragraph (c) of association, any individual possessing, this section, the applicant may file an directly or indirectly, the power to di- action under section 1361 of title 28, rect or cause the direction of the man- United States Code, to compel ATF to agement and policies of the corpora- act upon the application. tion, partnership, or association) is not (18 U.S.C. 847 (84 Stat. 959); 18 U.S.C. 926 (82 prohibited under the provisions of the Stat. 1226)) Act from shipping or transporting in interstate or foreign commerce, or pos- [33 FR 18555, Dec. 14, 1968. Redesignated at 40 sessing in or affecting commerce, any FR 16835, Apr. 15, 1975, and amended by T.D. ATF–135, 48 FR 24068, May 31, 1983; T.D. ATF– firearm or ammunition, or from receiv- 241, 51 FR 39619, Oct. 29, 1986; T.D. ATF–270, ing any firearm or ammunition which 53 FR 10495, Mar. 31, 1988; T.D. ATF–290, 54 has been shipped or transported in FR 53054, Dec. 27, 1989; T.D. ATF–363, 60 FR interstate or foreign commerce; 17453, Apr. 6, 1995; ATF–11F, 73 FR 57241, Oct. (3) The applicant has not willfully 2, 2008] violated any of the provisions of the Act or this part; § 478.48 Correction of error on license. (4) The applicant has not willfully (a) Upon receipt of a license issued failed to disclose any material infor- under the provisions of this part, each mation required, or has not made any licensee shall examine same to ensure false statement as to any material that the information contained thereon fact, in connection with his applica- is accurate. If the license is incorrect, tion; and the licensee shall return the license to (5) The applicant has in a State (i) the Chief, Federal Firearms Licensing premises from which he conducts busi- Center, with a statement showing the ness subject to license under the Act or nature of the error. The Chief, Federal from which he intends to conduct such Firearms Licensing Center, shall cor- business within a reasonable period of rect the error, if the error was made in time, or (ii) in the case of a collector, his office, and return the license. How- premises from which he conducts his ever, if the error resulted from infor- collecting subject to license under the mation contained in the licensee’s ap- Act or from which he intends to con- plication for the license, the Chief, duct such collecting within a reason- Federal Firearms Licensing Center, able period of time. shall require the licensee to file an (c) The Chief, Federal Firearms Li- amended application setting forth the censing Center, shall approve or the Di- correct information and a statement rector of Industry Operations shall explaining the error contained in the deny an application for a license within application. Upon receipt of the the 60-day period beginning on the date amended application and a satisfactory the properly executed application was explanation of the error, the Chief, received: Provided, That when an appli- Federal Firearms Licensing Center, cant for license renewal is a person shall make the correction on the li- who is, pursuant to the provisions of cense and return same to the licensee. § 478.78, § 478.143, or § 478.144, conducting (b) When the Chief, Federal Firearms business or collecting activity under a Licensing Center, finds through any previously issued license, action re- means other than notice from the li- garding the application will be held in censee that an incorrect license has abeyance pending the completion of been issued, the Chief, Federal Fire- the proceedings against the applicant’s arms Licensing Center, may require existing license or license application, the holder of the incorrect license to final determination of the applicant’s (1) return the license for correction, criminal case, or final action by the Di- and (2) if the error resulted from infor- rector on an application for relief sub- mation contained in the licensee’s ap- mitted pursuant to § 478.144, as the case plication for the license, the Chief, may be. Federal Firearms Licensing Center, (d) When the Director of Industry Op- shall require the licensee to file an erations or the Chief, Federal Firearms amended application setting forth the Licensing Center fails to act on an ap- correct information, and a statement

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explaining the error contained in the § 478.51 License not transferable. application. The Chief, Federal Fire- Licenses issued under this part are arms Licensing Center, then shall not transferable. In the event of the make the correction on the license and lease, sale, or other transfer of the op- return same to the licensee. erations authorized by the license, the [33 FR 18555, Dec. 14, 1968, unless otherwise successor must obtain the license re- noted. Redesignated at 40 FR 16835, Apr. 15, quired by this part prior to com- 1975, and amended by T.D. ATF–290, 54 FR mencing such operations. However, for 53054, Dec. 27, 1989] rules on right of succession, see § 478.56.

§ 478.49 Duration of license. § 478.52 Change of address. The license entitles the person to (a) Licensees may during the term of whom issued to engage in the business their current license remove their busi- or activity specified on the license, ness or activity to a new location at within the limitations of the Act and which they intend regularly to carry the regulations contained in this part, on such business or activity by filing for a three year period, unless termi- an Application for an Amended Federal nated sooner. Firearms License, ATF Form 5300.38, in [T.D. ATF–270, 53 FR 10495, Mar. 31, 1988] duplicate, not less than 30 days prior to such removal with the Chief, Federal § 478.50 Locations covered by license. Firearms Licensing Center. The ATF The license covers the class of busi- Form 5300.38 shall be completed in ac- ness or the activity specified in the li- cordance with the instructions on the cense at the address specified therein. form. The application must be exe- A separate license must be obtained for cuted under the penalties of perjury each location at which a firearms or and penalties imposed by 18 U.S.C. 924. ammunition business or activity re- The application shall be accompanied quiring a license under this part is con- by the licensee’s original license. The ducted except: Chief, Federal Firearms Licensing Cen- (a) No license is required to cover a ter Center, may, in writing, require the separate warehouse used by the li- applicant for an amended license to censee solely for storage of firearms or also file completed ATF Form 7 or ATF ammunition if the records required by Form 7CR, or portions thereof, in the this part are maintained at the li- manner required by § 478.44. censed premises served by such ware- (b) Upon receipt of a properly exe- house; cuted application for an amended li- (b) A licensed collector may acquire cense, the Chief, Federal Firearms Li- curios and relics at any location, and censing Center, shall, upon finding dispose of curios or relics to any li- through further inquiry or investiga- censee or to other persons who are resi- tion, or otherwise, that the applicant is dents of the State where the collector’s qualified at the new location, issue the license is held and the disposition is amended license, and return it to the made; applicant. The license shall be valid for (c) A licensee may conduct business the remainder of the term of the origi- at a gun show pursuant to the provi- nal license. The Chief, Federal Fire- sion of § 478.100; or arms Licensing Center, shall, if the applicant is not qualified, refer the appli- (d) A licensed importer, manufac- cation for amended license to the Di- turer, or dealer may engage in the rector of Industry Operations for denial business of dealing in curio or relic in accordance with § 478.71. firearms with another licensee at any location pursuant to the provisions of (Approved by the Office of Management and § 478.100. Budget under control number 1140–0040) [T.D. ATF–191, 49 FR 46890, Nov. 29, 1984, as [T.D. ATF–363, 60 FR 17453, Apr. 6, 1995, as amended by T.D. ATF–401, 63 FR 35523, June amended by ATF–11F, 73 FR 57241, Oct. 2, 30, 1998] 2008]

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§ 478.53 Change in trade name. date of acquisition, as provided in § 478.44. The rule set forth in this sec- A licensee continuing to conduct tion shall also apply where there is business at the location shown on his more than one surviving partner. license is not required to obtain a new license by reason of a mere change in § 478.56 Right of succession by certain trade name under which he conducts persons. his business: Provided, That such li- (a) Certain persons other than the licensee furnishes his license for en- censee may secure the right to carry dorsement of such change to the Chief, on the same firearms or ammunition Federal Firearms Licensing Center business at the same address shown on, within 30 days from the date the li- and for the remainder of the term of, a censee begins his business under the current license. Such persons are: new trade name. (1) The surviving spouse or child, or [33 FR 18555, Dec. 14, 1968. Redesignated at 40 executor, administrator, or other legal FR 16835, Apr. 15, 1975, and amended by T.D. representative of a deceased licensee; ATF–48, 44 FR 55842, Sept. 28, 1979; T.D. ATF– and 290, 54 FR 53055, Dec. 27, 1989] (2) A receiver or trustee in bankruptcy, or an assignee for benefit of § 478.54 Change of control. creditors. In the case of a corporation or asso- (b) In order to secure the right pro- ciation holding a license under this vided by this section, the person or per- part, if actual or legal control of the sons continuing the business shall fur- corporation or association changes, di- nish the license for that business for rectly or indirectly, whether by reason endorsement of such succession to the of change in stock ownership or control Chief, Federal Firearms Licensing Cen- (in the licensed corporation or in any ter , within 30 days from the date on other corporation), by operations of which the successor begins to carry on law, or in any other manner, the li- the business. censee shall, within 30 days of such change, give written notification there- [33 FR 18555, Dec. 14, 1968. Redesignated at 40 FR 16835, Apr. 15, 1975, and amended by T.D. of, executed under the penalties of per- ATF–48, 44 FR 55842, Sept. 28, 1979; T.D. ATF– jury, to the Chief, Federal Firearms Li- 290, 54 FR 53055, Dec. 27, 1989] censing Center. Upon expiration of the license, the corporation or association § 478.57 Discontinuance of business. must file a Form 7 (Firearms) as re- (a) Where a firearm or ammunition quired by § 478.44. business is either discontinued or suc- [33 FR 18555, Dec. 14, 1968, unless otherwise ceeded by a new owner, the owner of noted. Redesignated at 40 FR 16835, Apr. 15, the business discontinued or succeeded 1975, and amended by T.D. ATF–290, 54 FR shall within 30 days thereof furnish to 53054, Dec. 27, 1989] the Chief, Federal Firearms Licensing Center notification of the discontinu- § 478.55 Continuing partnerships. ance or succession. (See also § 478.127.) Where, under the laws of the par- (b) Since section 922(v), Title 18, ticular State, the partnership is not U.S.C., makes it unlawful to transfer terminated on death or insolvency of a or possess a semiautomatic assault partner, but continues until the wind- weapon, except as provided in the law, ing up of the partnership affairs is any licensed manufacturer, licensed completed, and the surviving partner importer, or licensed dealer intending has the exclusive right to the control to discontinue business shall, prior to and possession of the partnership as- going out of business, transfer in com- sets for the purpose of liquidation and pliance with the provisions of this part settlement, such surviving partner any semiautomatic assault weapon may continue to operate the business manufactured or imported after Sep- under the license of the partnership. If tember 13, 1994, to a person specified in such surviving partner acquires the § 478.40(b), or, subject to the provisions business on completion of the settle- of §§ 478.40(c) and 478.132, a licensed ment of the partnership, he shall ob- manufacturer, a licensed importer, or a tain a license in his own name from the licensed dealer.

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(c) Since section 922(w), Title 18, his operations while awaiting its re- U.S.C., makes it unlawful to transfer turn. or possess a large capacity ammunition [33 FR 18555, Dec. 14, 1968, unless otherwise feeding device, except as provided in noted. Redesignated at 40 FR 16835, Apr. 15, the law, any person who manufactures, 1975, and amended by T.D. ATF–290, 54 FR imports, or deals in such devices and 53054, Dec. 27, 1989] who intends to discontinue business shall, prior to going out of business, Subpart E—License Proceedings transfer in compliance with the provisions of this part any large capacity § 478.71 Denial of an application for li- ammunition feeding device manufac- cense. tured after September 13, 1994, to a per- Whenever the Director has reason to son specified in § 478.40a(b), or, subject believe that an applicant is not quali- to the provisions of §§ 478.40a(c) and fied to receive a license under the pro- 478.132, a person who manufactures, im- visions of § 478.47, he may issue a notice ports, or deals in such devices. of denial, on Form 4498, to the appli- [33 FR 18555, Dec. 14, 1968. Redesignated at 40 cant. The notice shall set forth the FR 16835, Apr. 15, 1975, and amended by T.D. matters of fact and law relied upon in ATF–48, 44 FR 55842, Sept. 28, 1979; T.D. ATF– determining that the application 290, 54 FR 53055, Dec. 27, 1989; T.D. ATF–363, should be denied, and shall afford the 60 FR 17453, Apr. 6, 1995; T.D. ATF–383, 61 FR applicant 15 days from the date of re- 39321, July 29, 1996] ceipt of the notice in which to request a hearing to review the denial. If no re- § 478.58 State or other law. quest for a hearing is filed within such A license issued under this part con- time, the application shall be dis- fers no right or privilege to conduct approved and a copy, so marked, shall business or activity contrary to State be returned to the applicant. or other law. The holder of such a li- [33 FR 18555, Dec. 14, 1968. Redesignated at 40 cense is not by reason of the rights and FR 16835, Apr. 15, 1975, and amended by T.D. privileges granted by that license im- ATF–270, 53 FR 10495, Mar. 31, 1988; ATF–27P, mune from punishment for operating a 74 FR 1878, Jan. 14, 2009] firearm or ammunition business or activity in violation of the provisions of § 478.72 Hearing after application de- any State or other law. Similarly, com- nial. pliance with the provisions of any If the applicant for an original or re- State or other law affords no immunity newal license desires a hearing to re- under Federal law or regulations. view the denial of his application, he shall file a request therefor, in dupli- § 478.59 Abandoned application. cate, with the Director of Industry Op- Upon receipt of an incomplete or im- erations within 15 days after receipt of properly executed application on ATF the notice of denial.The request should form 7 (5310.12), or ATF Form 8 (5310.11) include a statement of the reasons Part II, the applicant shall be notified therefor. On receipt of the request, the of the deficiency in the application. If Director of Industry Operations shall, the application is not corrected and reas expeditiously as possible, make the turned within 30 days following the necessary arrangements for the hear- date of notification, the application ing and advise the applicant of the shall be considered as having been date, time, location, and the name of abandoned and the license fee returned. the officer before whom the hearing will be held.Such notification shall be [T.D. ATF–135, 48 FR 24068, May 31, 1983] made not less than 10 days in advance of the date set for the hearing. On con- § 478.60 Certain continuances of busi- clusion of the hearing and consider- ness. ation of all relevant facts and cir- A licensee who furnishes his license cumstances presented by the applicant to the Chief, Federal Firearms Licens- or his representative, the Director ing Center for correction or endorse- shall render his decision confirming or ment in compliance with the provisions reversing the denial of the application. contained in this subpart may continue If the decision is that the denial should

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stand, a certified copy of the Director’s § 478.74 Request for hearing after no- findings and conclusions shall be fur- tice of suspension, revocation, or nished to the applicant with a final no- imposition of civil fine. tice of denial, Form 4501.A copy of the If a licensee desires a hearing after application, marked ‘‘Disapproved,’’ receipt of a notice of suspension or rev- will be returned to the applicant. If the ocation of a license, or imposition of a decision is that the license applied for civil fine, the licensee shall file a re- should be issued, the applicant shall be quest, in duplicate, with the Director so notified, in writing, and the license of Industry Operations within 15 days shall be issued as provided by § 478.47. after receipt of the notice of suspension [33 FR 18555, Dec. 14, 1968, as amended by or revocation of a license, or imposi- ATF–27P, 74 FR 1878, Jan. 14, 2009] tion of a civil fine. On receipt of such request, the Director of Industry Oper- § 478.73 Notice of revocation, suspen- ations shall, as expeditiously as pos- sion, or imposition of civil fine. sible, make necessary arrangements for (a) Basis for action. Whenever the Di- the hearing and advise the licensee of rector has reason to believe that a li- the date, time, location and the name censee has willfully violated any provi- of the officer before whom the hearing will be held. Such notification shall be sion of the Act or this part, a notice of made no less than 10 days in advance of revocation of the license, ATF Form the date set for the hearing. On conclu- 4500, may be issued. In addition, a no- sion of the hearing and consideration tice of revocation, suspension, or impo- of all the relevant presentations made sition of a civil fine may be issued on by the licensee or the licensee’s rep- ATF Form 4500 whenever the Director resentative, the Director shall render a has reason to believe that a licensee decision and shall prepare a brief sum- has knowingly transferred a firearm to mary of the findings and conclusions an unlicensed person and knowingly on which the decision is based. If the failed to comply with the requirements decision is that the license should be of 18 U.S.C. 922(t)(1) with respect to the revoked, or, in actions under 18 U.S.C. transfer and, at the time that the 922(t)(5), that the license should be re- transferee most recently proposed the voked or suspended, and/or that a civil transfer, the national instant criminal fine should be imposed, a certified copy background check system was oper- of the summary shall be furnished to ating and information was available to the licensee with the final notice of the system demonstrating that the revocation, suspension, or imposition transferee’s receipt of a firearm would of a civil fine on ATF Form 4501. If the violate 18 U.S.C. 922(g) or 922(n) or decision is that the license should not State law. be revoked, or in actions under 18 (b) Issuance of notice. The notice shall U.S.C. 922(t)(5), that the license should set forth the matters of fact consti- not be revoked or suspended, and a tuting the violations specified, dates, civil fine should not be imposed, the li- places, and the sections of law and reg- censee shall be notified in writing. ulations violated. The Director shall [T.D. ATF–415, 63 FR 58278, Oct. 29, 1998, as afford the licensee 15 days from the amended by ATF–27P, 74 FR 1878, Jan. 14, date of receipt of the notice in which to 2009] request a hearing prior to suspension or revocation of the license, or imposi- § 478.75 Service on applicant or li- tion of a civil fine. If the licensee does censee. not file a timely request for a hearing, All notices and other documents re- the Director shall issue a final notice quired to be served on an applicant or of suspension or revocation and/or im- licensee under this subpart shall be position of a civil fine on ATF Form served by certified mail or by personal 4501, as provided in § 478.74. delivery. Where service is by certified [T.D. ATF–415, 63 FR 58278, Oct. 29, 1998, as mail, a signed duplicate original copy amended by T.D. ATF–27P, 74 FR 1878, Jan. of the formal document shall be 14, 2009] mailed, with return receipt requested,

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to the applicant or licensee at the ad- on the licensee and he has filed timely dress stated in his application or li- request for a hearing, the license in the cense, or at his last known address. possession of the licensee shall remain Where service is by personal delivery, a in effect even though such license has signed duplicate original copy of the expired, or the suspension or revoca- formal document shall be delivered to tion date specified in the notice of rev- the applicant or licensee, or, in the ocation on Form 4500 served on the li- case of a corporation, partnership, or censee has passed: Provided, That with association, by delivering it to an offi- respect to a license that has expired, cer, manager, or general agent thereof, the licensee has timely filed an appli- or to its attorney of record. cation for the renewal of his license. If [33 FR 18555, Dec. 14, 1968. Redesignated at 40 a licensee is dissatisfied with a FR 16835, Apr. 15, 1975, and further redesig- posthearing decision revoking or sus- nated by T.D. ATF–241, 51 FR 39619, Oct. 29, pending the license or denying the ap- 1986; T.D. ATF–270, 53 FR 10496, Mar. 31, 1988] plication or imposing a civil fine, as the case may be, he may, pursuant to § 478.76 Representation at a hearing. 18 U.S.C. 923(f)(3), within 60 days after An applicant or licensee may be rep- receipt of the final notice denying the resented by an attorney, certified pub- application or revoking or suspending lic accountant, or other person recog- the license or imposing a civil fine, file nized to practice before the Bureau of a petition for judicial review of such Alcohol, Tobacco and Firearms as pro- action. Such petition should be filed vided in 31 CFR Part 8 (Practice Before with the U.S. district court for the dis- the Bureau of Alcohol, Tobacco and trict in which the applicant or licensee Firearms), if he has otherwise complied resides or has his principal place of with the applicable requirements of 26 business. In such case, when the Direc- CFR 601.521 through 601.527 (conference tor finds that justice so requires, he and practice requirements for alcohol, may postpone the effective date of sus- tobacco, and firearms activities) of this pension or revocation of a license or chapter. The Director may be rep- authorize continued operations under resented in proceedings by an attorney the expired license, as applicable, pend- in the office of the Assistant Chief ing judicial review. Counsel or Division Counsel who is authorized to execute and file motions, [T.D. ATF–415, 63 FR 58278, Oct. 29, 1998, as amended by ATF–27P, 74 FR 1878, Jan. 14, briefs and other papers in the pro- 2009] ceeding, on behalf of the Director , in his own name as ‘‘Attorney for the Government.’’ Subpart F—Conduct of Business [33 FR 18555, Dec. 14, 1968. Redesignated at 40 § 478.91 Posting of license. FR 16835, Apr. 15, 1975, and amended by T.D. Any license issued under this part ATF–48, 44 FR 55842, Sept. 28, 1979; T.D. ATF– shall be kept posted and kept available 92, 46 FR 46916, Sept. 23, 1981. Further redesignated by T.D. ATF–241, 51 FR 39619, Oct. 29, for inspection on the premises covered 1986; T.D. ATF–270, 53 FR 10496, Mar. 31, 1988; by the license. ATF–27P, 74 FR 1878, Jan. 14, 2009] § 478.92 How must licensed manufac- § 478.77 Designated place of hearing. turers and licensed importers identify firearms, armor piercing ammu- The designated place of the hearing nition, and large capacity ammuni- shall be a location convenient to the tion feeding devices? aggrieved party. (a)(1) Firearms. You, as a licensed [T.D. ATF–270, 53 FR 10496, Mar. 31, 1988] manufacturer or licensed importer of firearms, must legibly identify each § 478.78 Operations by licensee after firearm manufactured or imported as notice. follows: In any case where denial, suspension, (i) By engraving, casting, stamping or revocation proceedings are pending (impressing), or otherwise conspicu- before the Bureau of Alcohol, Tobacco ously placing or causing to be en- and Firearms, or notice of denial, sus- graved, cast, stamped (impressed) or pension, or revocation has been served placed on the frame or receiver thereof

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an individual serial number. The serial FORCEMENT/GOVERNMENT USE number must be placed in a manner ONLY’’ or, in the case of weapons man- not susceptible of being readily obliter- ufactured for export, ‘‘FOR EXPORT ated, altered, or removed, and must not ONLY,’’ in a manner not susceptible of duplicate any serial number placed by being readily obliterated, altered, or you on any other firearm. For firearms removed. For weapons manufactured or manufactured or imported on and after imported on and after January 30, 2002, January 30, 2002, the engraving, cast- the engraving, casting, or stamping ing, or stamping (impressing) of the se- (impressing) of the special markings rial number must be to a minimum prescribed in this paragraph (a)(3) must depth of .003 inch and in a print size no be to a minimum depth of .003 inch. smaller than 1⁄16 inch; and (4) Exceptions. (i) Alternate means of (ii) By engraving, casting, stamping identification. The Director may au- (impressing), or otherwise conspicu- thorize other means of identification ously placing or causing to be en- upon receipt of a letter application graved, cast, stamped (impressed) or from you, submitted in duplicate, placed on the frame, receiver, or barrel showing that such other identification thereof certain additional information. is reasonable and will not hinder the This information must be placed in a effective administration of this part. manner not susceptible of being readily (ii) Destructive devices. In the case of obliterated, altered, or removed. For a destructive device, the Director may firearms manufactured or imported on authorize other means of identifying and after January 30, 2002, the engrav- that weapon upon receipt of a letter ing, casting, or stamping (impressing) application from you, submitted in du- of this information must be to a min- plicate, showing that engraving, cast- imum depth of .003 inch. The additional ing, or stamping (impressing) such a information includes: weapon would be dangerous or imprac- (A) The model, if such designation ticable. has been made; (iii) Machine guns, silencers, and parts. (B) The caliber or gauge; (C) Your name (or recognized abbre- Any part defined as a machine gun, viation) and also, when applicable, the firearm muffler, or firearm silencer in name of the foreign manufacturer; § 478.11, that is not a component part of (D) In the case of a domestically a complete weapon at the time it is made firearm, the city and State (or sold, shipped, or otherwise disposed of recognized abbreviation thereof) where by you, must be identified as required you as the manufacturer maintain by this section. The Director may au- your place of business; and thorize other means of identification of (E) In the case of an imported fire- parts defined as machine guns other arm, the name of the country in which than frames or receivers and parts de- it was manufactured and the city and fined as mufflers or silencers upon re- State (or recognized abbreviation ceipt of a letter application from you, thereof) where you as the importer submitted in duplicate, showing that maintain your place of business. For such other identification is reasonable additional requirements relating to im- and will not hinder the effective ad- ported firearms, see Customs regula- ministration of this part. tions at 19 CFR part 134. (5) Measurement of height and depth of (2) Firearm frames or receivers. A fire- markings. The depth of all markings re- arm frame or receiver that is not a quired by this section will be measured component part of a complete weapon from the flat surface of the metal and at the time it is sold, shipped, or other- not the peaks or ridges. The height of wise disposed of by you must be identi- serial numbers required by paragraph fied as required by this section. (a)(1)(i) of this section will be measured (3) Special markings for semiautomatic as the distance between the latitudinal assault weapons, effective July 5, 1995. In ends of the character impression bot- the case of any semiautomatic assault toms (bases). weapon manufactured after September (b) Armor piercing ammunition—(1) 13, 1994, you must mark the frame or Marking of ammunition. Each licensed receiver ‘‘RESTRICTED LAW EN- manufacturer or licensed importer of

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armor piercing ammunition shall iden- FORCEMENT/GOVERNMENT USE tify such ammunition by means of ONLY’’ or, in the case of devices manu- painting, staining or dying the exterior factured or imported for export, effec- of the projectile with an opaque black tive July 5, 1995, ‘‘FOR EXPORT coloring. This coloring must com- ONLY.’’ pletely cover the point of the projectile (2) All markings required by this and at least 50 percent of that portion paragraph (c) shall be cast, stamped, or of the projectile which is visible when engraved on the exterior of the device. the projectile is loaded into a cartridge In the case of a magazine, the mark- case. ings shall be placed on the magazine (2) Labeling of packages. Each licensed body. manufacturer or licensed importer of (3) Exceptions—(i) Metallic links. Per- armor piercing ammunition shall sons who manufacture or import me- clearly and conspicuously label each tallic links for use in the assembly of package in which armor piercing am- belted ammunition are only required to munition is contained, e.g., each box, place the identification marks pre- carton, case, or other container. The scribed in paragraph (c)(1) of this sec- label shall include the words ‘‘ARMOR tion on the containers used for the PIERCING’’ in block letters at least 1⁄4 packaging of the links. inch in height. The lettering shall be (ii) Alternate means of identification. located on the exterior surface of the The Director may authorize other package which contains information means of identifying large capacity concerning the caliber or gauge of the ammunition feeding devices upon re- ammunition. There shall also be placed ceipt of a letter application, in dupli- on the same surface of the package in cate, from the manufacturer or im- block lettering at least 1⁄8 inch in porter showing that such other identi- height the words ‘‘FOR GOVERN- fication is reasonable and will not MENTAL ENTITIES OR EXPOR- hinder the effective administration of TATION ONLY.’’ The statements re- this part. quired by this subparagraph shall be on (Approved by the Office of Management and a contrasting background. Budget under control number 1140–0050) (c) Large capacity ammunition feeding devices manufactured after September 13, [T.D. ATF–270, 53 FR 10496, Mar. 31, 1988, as amended by T.D. ATF–363, 60 FR 17454, Apr. 1994. (1) Each person who manufactures 6, 1995; T.D. ATF–383, 61 FR 39321, July 29, or imports any large capacity ammuni- 1996; T.D. ATF–396, 63 FR 12646, Mar. 16, 1998; tion feeding device manufactured after T.D. ATF–461, 66 FR 40600, Aug. 3, 2001; ATF– September 13, 1994, shall legibly iden- 11F, 73 FR 57241, Oct. 2, 2008] tify each such device with a serial number. Such person may use the same § 478.93 Authorized operations by a li- serial number for all large capacity censed collector. ammunition feeding devices produced. The license issued to a collector of (i) Additionally, in the case of a do- curios or relics under the provisions of mestically made large capacity ammu- this part shall cover only transactions nition feeding device, such device shall by the licensed collector in curios and be marked with the name, city and relics. The collector’s license is of no State (or recognized abbreviation force or effect and a licensed collector thereof) of the manufacturer; is of the same status under the Act and (ii) And in the case of an imported this part as a nonlicensee with respect large capacity ammunition feeding de- to (a) any acquisition or disposition of vice, such device shall be marked: firearms other than curios or relics, or (A) With the name of the manufac- any transportation, shipment, or re- turer, country of origin, and, ceipt of firearms other than curios or (B) Effective July 5, 1995, the name, relics in interstate or foreign com- city and State (or recognized abbrevia- merce, and (b) any transaction with a tion thereof) of the importer. nonlicensee involving any firearm (iii) Further, large capacity ammuni- other than a curio or relic. (See also tion feeding devices manufactured § 478.50.) A collectors license is not nec- after September 13, 1994, shall be essary to receive or dispose of ammuni- marked ‘‘RESTRICTED LAW EN- tion, and a licensed collector is not

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precluded by law from receiving or dis- following the expiration date of the posing of armor piercing ammunition. transferee’s license. However, a licensed collector may not (Approved by the Office of Management and dispose of any ammunition to a person Budget under control number 1140–0032) prohibited from receiving or possessing ammunition (see § 478.99(c)). Any li- [T.D. ATF–270, 53 FR 10496, Mar. 31, 1988, as censed collector who disposes of armor amended by ATF–11F, 73 FR 57241, Oct. 2, piercing ammunition must record the 2008] disposition as required by § 478.125 (a) § 478.95 Certified copy of license. and (b). The license furnished to each person [T.D. ATF–270, 53 FR 10496, Mar. 31, 1988] licensed under the provisions of this part contains a purchasing certifi- § 478.94 Sales or deliveries between lication statement. This original license censees. may be reproduced and the reproduc- A licensed importer, licensed manu- tion then certified by the licensee for facturer, or licensed dealer selling or use pursuant to § 178.94. If the licensee otherwise disposing of firearms, and a desires an additional copy of the li- licensed collector selling or otherwise cense for certification (instead of mak- disposing of curios or relics, to another ing a reproduction of the original li- licensee shall verify the identity and cense), the licensee may submit a re- licensed status of the transferee prior quest, in writing, for a certified copy or to making the transaction. copies of the license to the Chief, Fed- Verification shall be established by the eral Firearms Licensing Center. The transferee furnishing to the transferor request must set forth the name, trade a certified copy of the transferee’s li- name (if any) and address of the license and by such other means as the censee, and the number of license cop- transferor deems necessary: Provided, ies desired. There is a charge of $1 for That it shall not be required (a) for a each copy. The fee paid for copies of transferee who has furnished a certified the license must accompany the re- copy of its license to a transferor to quest for copies. The fee may be paid again furnish such certified copy to by (a) cash, or (b) money order or that transferor during the term of the check made payable to the Bureau of transferee’s current license, (b) for a li- Alcohol, Tobacco, Firearms, and Explo- censee to furnish a certified copy of its sives. license to another licensee if a firearm is being returned either directly or (Approved by the Office of Management and through another licensee to such li- Budget under control number 1140–0032) censee and (c) for licensees of multi- [T.D. ATF–270, 53 FR 10497, Mar. 31, 1988, as licensed business organizations to fur- amended by T.D. ATF–290, 54 FR 53055, Dec. nish certified copies of their licenses to 27, 1989; ATF–11F, 73 FR 57241, Oct. 2, 2008] other licensed locations operated by such organization: Provided further, § 478.96 Out-of-State and mail order That a multilicensed business organi- sales. zation may furnish to a transferor, in (a) The provisions of this section lieu of a certified copy of each license, shall apply when a firearm is purchased a list, certified to be true, correct and by or delivered to a person not other- complete, containing the name, ad- wise prohibited by the Act from pur- dress, license number, and the date of chasing or receiving it. license expiration of each licensed lo- (b) A licensed importer, licensed cation operated by such organization, manufacturer, or licensed dealer may and the transferor may sell or other- sell a firearm that is not subject to the wise dispose of firearms as provided by provisions of § 478.102(a) to a non- this section to any licensee appearing licensee who does not appear in person on such list without requiring a cer- at the licensee’s business premises if tified copy of a license therefrom. A the nonlicensee is a resident of the transferor licensee who has the cer- same State in which the licensee’s tified information required by this sec- business premises are located, and the tion may sell or dispose of firearms to nonlicensee furnishes to the licensee a licensee for not more than 45 days the firearms transaction record, Form

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4473, required by § 478.124. The non- actual knowledge of the State laws and licensee shall attach to such record a published ordinances of both such true copy of any permit or other infor- States. mation required pursuant to any statute of the State and published ordi- (Approved by the Office of Management and Budget under control number 1140–0021) nance applicable to the locality in which he resides. The licensee shall [33 FR 18555, Dec. 14, 1968. Redesignated at 40 prior to shipment or delivery of the FR 16835, Apr. 15, 1975, and amended by T.D. firearm, forward by registered or cer- ATF–48, 44 FR 55842, Sept. 28, 1979; T.D. ATF– 241, 51 FR 39620, Oct. 29, 1986; T.D. ATF–270, tified mail (return receipt requested) a 53 FR 10497, Mar. 31, 1988; T.D. ATF–354, 59 copy of the record, Form 4473, to the FR 7112, Feb. 14, 1994; T.D. ATF–415, 63 FR chief law enforcement officer named on 58278, Oct. 29, 1998; ATF–11F, 73 FR 57241, Oct. such record, and delay shipment or de- 2, 2008] livery of the firearm for a period of at least 7 days following receipt by the li- § 478.97 Loan or rental of firearms. censee of the return receipt evidencing (a) A licensee may lend or rent a fire- delivery of the copy of the record to arm to any person for temporary use such chief law enforcement officer, or off the premises of the licensee for law- the return of the copy of the record to ful sporting purposes: Provided, That him due to the refusal of such chief law the delivery of the firearm to such per- enforcement officer to accept same in son is not prohibited by § 478.99(b) or accordance with U.S. Postal Service § 478.99(c), the licensee complies with regulations. The original Form 4473, the requirements of § 478.102, and the li- and evidence of receipt or rejection of censee records such loan or rental in delivery of the copy of the Form 4473 the records required to be kept by him sent to the chief law enforcement offi- under Subpart H of this part. cer shall be retained by the licensee as (b) A club, association, or similar or- a part of the records required of him to ganization temporarily furnishing fire- be kept under the provisions of subpart arms (whether by loan, rental, or oth- H of this part. erwise) to participants in a skeet, trap, (c)(1) A licensed importer, licensed target, or similar shooting activity for manufacturer, or licensed dealer may use at the time and place such activity sell or deliver a rifle or shotgun, and a is held does not, unattended by other licensed collector may sell or deliver a circumstances, cause such club, asso- rifle or shotgun that is a curio or relic ciation, or similar organization to be to a nonlicensed resident of a State engaged in the business of a dealer in other than the State in which the li- firearms or as engaging in firearms censee’s place of business is located if— transactions. Therefore, licensing and (i) The purchaser meets with the li- recordkeeping requirements contained censee in person at the licensee’s prem- in this part pertaining to firearms ises to accomplish the transfer, sale, transactions would not apply to this and delivery of the rifle or shotgun; temporary furnishing of firearms for (ii) The licensed importer, licensed use on premises on which such an ac- manufacturer, or licensed dealer com- tivity is conducted. plies with the provisions of § 478.102; (iii) The purchaser furnishes to the [T.D. ATF–415, 63 FR 58278, Oct. 29, 1998] licensed importer, licensed manufacturer, or licensed dealer the firearms § 478.98 Sales or deliveries of destruc- transaction record, Form 4473, required tive devices and certain firearms. by § 478.124; and The sale or delivery by a licensee of (iv) The sale, delivery, and receipt of any destructive device, machine gun, the rifle or shotgun fully comply with short-barreled shotgun, or short-bar- the legal conditions of sale in both reled rifle, to any person other than such States. another licensee who is licensed under (2) For purposes of paragraph (c) of this part to deal in such device or fire- this section, any licensed manufac- arm, is prohibited unless the person to turer, licensed importer, or licensed receive such device or firearm fur- dealer is presumed, in the absence of nishes to the licensee a sworn state- evidence to the contrary, to have had ment setting forth

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(a) The reasons why there is a rea- cause to believe is less than 21 years of sonable necessity for such person to age, or (2) any firearm to any person in purchase or otherwise acquire the de- any State where the purchase or pos- vice or weapon; and session by such person of such firearm (b) That such person’s receipt or pos- would be in violation of any State law session of the device or weapon would or any published ordinance applicable be consistent with public safety. Such at the place of sale, delivery, or other sworn statement shall be made on the disposition, unless the importer, manu- application to transfer and register the facturer, dealer, or collector knows or firearm required by Part 479 of this has reasonable cause to believe that chapter. The sale or delivery of the de- the purchase or possession would not vice or weapon shall not be made until be in violation of such State law or the application for transfer is approved such published ordinance. by the Director and returned to the li- (c) Sales or deliveries to prohibited cat- censee (transferor) as provided in Part egories of persons. A licensed manufac- 479 of this chapter. turer, licensed importer, licensed deal- [T.D. ATF–270, 53 FR 10497, Mar. 31, 1988] er, or licensed collector shall not sell or otherwise dispose of any firearm or § 478.99 Certain prohibited sales or de- ammunition to any person knowing or liveries. having reasonable cause to believe that (a) Interstate sales or deliveries. A li- such person: censed importer, licensed manufac- (1) Is, except as provided by § 478.143, turer, licensed dealer, or licensed col- under indictment for, or, except as pro- lector shall not sell or deliver any fire- vided by § 478.144, has been convicted in arm to any person not licensed under any court of a crime punishable by im- this part and who the licensee knows prisonment for a term exceeding 1 or has reasonable cause to believe does year; not reside in (or if a corporation or (2) Is a fugitive from justice; other business entity, does not main- (3) Is an unlawful user of or addicted tain a place of business in) the State in to any controlled substance (as defined which the licensee’s place of business in section 102 of the Controlled Sub- or activity is located: Provided, That stance Act, 21 U.S.C. 802); the foregoing provisions of this para- (4) Has been adjudicated as a mental graph (1) shall not apply to the sale or defective or has been committed to any delivery of a rifle or shotgun (curio or mental institution; relic, in the case of a licensed col- (5) Is an alien illegally or unlawfully lector) to a resident of a State other in the United States or, except as pro- than the State in which the licensee’s vided in § 478.32(f), is a nonimmigrant place of business or collection premises alien: Provided, That the provisions of is located if the requirements of this paragraph (c)(5) do not apply to § 478.96(c) are fully met, and (2) shall any nonimmigrant alien if that alien not apply to the loan or rental of a is— firearm to any person for temporary (i) Admitted to the United States for use for lawful sporting purposes (see lawful hunting or sporting purposes or § 478.97). is in possession of a hunting license or (b) Sales or deliveries to underaged per- permit lawfully issued in the United sons. A licensed importer, licensed States; manufacturer, licensed dealer, or li- (ii) An official representative of a censed collector shall not sell or de- foreign government who is either ac- liver (1) any firearm or ammunition to credited to the United States Govern- any individual who the importer, man- ment or the Government’s mission to ufacturer, dealer, or collector knows or an international organization having has reasonable cause to believe is less its headquarters in the United States than 18 years of age, and, if the fire- or en route to or from another country arm, or ammunition, is other than a to which that alien is accredited. This shotgun or rifle, or ammunition for a exception only applies if the firearm or shotgun or rifle, to any individual who ammunition is shipped, transported, the importer, manufacturer, dealer, or possessed, or received in the represent- collector knows or has reasonable ative’s official capacity;

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(iii) An official of a foreign govern- (3) For the purpose of testing or ex- ment or a distinguished foreign visitor perimentation authorized by the Direc- who has been so designated by the De- tor under the provisions of § 478.149. partment of State. This exception only (e) Transfer of armor piercing ammuni- applies if the firearm or ammunition is tion by licensed dealers. A licensed deal- shipped, transported, possessed, or re- er shall not willfully transfer armor ceived in the official’s or visitor’s offi- piercing ammunition: Provided, That cial capacity, except if the visitor is a armor piercing ammunition received private individual who does not have and maintained by the licensed dealer an official capacity; or as business inventory prior to August (iv) A foreign law enforcement officer 28, 1986, may be transferred to any de- of a friendly foreign government enter- partment or agency of the United ing the United States on official law States or any State or political sub- enforcement business; division thereof if a record of such am- (6) Has been discharged from the munition is maintained in the form Armed Forces under dishonorable con- and manner prescribed by § 478.125(c). ditions; Any licensed dealer who violates this (7) Who, having been a citizen of the paragraph is subject to license revoca- United States, has renounced citizen- tion. See subpart E of this part. For ship; purposes of this paragraph, the Direc- (8) Is subject to a court order that re- tor shall furnish each licensed dealer strains such person from harassing, information defining which projectiles stalking, or threatening an intimate are considered armor piercing. Such in- partner of such person or child of such formation may not be all-inclusive for intimate partner or person, or engag- purposes of the prohibition on manu- ing in other conduct that would place facture, importation, or sale or deliv- an intimate partner in reasonable fear ery by a manufacturer or importer of of bodily injury to the partner or child, such ammunition or 18 U.S.C. 929 relat- except that this paragraph shall only ing to criminal misuse of such ammu- apply to a court order that— nition. (i) Was issued after a hearing of [T.D. ATF–270, 53 FR 10497, Mar. 31, 1988, as which such person received actual no- amended by T.D. ATF–363, 60 FR 17454, Apr. tice, and at which such person had the 6, 1995; T.D. ATF–401, 63 FR 35523, June 30, opportunity to participate; and 1998; T.D. ATF–471, 67 FR 5426, Feb. 5, 2002] (ii)(A) Includes a finding that such person represents a credible threat to § 478.100 Conduct of business away the physical safety of such intimate from licensed premises. partner or child; or (a)(1) A licensee may conduct busi- (B) By its terms explicitly prohibits ness temporarily at a gun show or the use, attempted use, or threatened event as defined in paragraph (b) if the use of physical force against such inti- gun show or event is located in the mate partner or child that would rea- same State specified on the license: sonably be expected to cause bodily in- Provided, That such business shall not jury, or be conducted from any motorized or (9) Has been convicted of a mis- towed vehicle. The premises of the gun demeanor crime of domestic violence. show or event at which the licensee (d) Manufacture, importation, and sale conducts business shall be considered of armor piercing ammunition by licensed part of the licensed premises. Accord- importers and licensed manufacturers. A ingly, no separate fee or license is re- licensed importer or licensed manufac- quired for the gun show or event loca- turer shall not import or manufacture tions. However, licensees shall comply armor piercing ammunition or sell or with the provisions of § 478.91 relating deliver such ammunition, except: to posting of licenses (or a copy there- (1) For use of the United States or of) while conducting business at the any department or agency thereof or gun show or event. any State or any department, agency, (2) A licensed importer, manufac- or political subdivision thereof; turer, or dealer may engage in the (2) For the purpose of exportation; or business of dealing in curio or relic

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firearms with another licensee at any have elapsed from the date the licensee location. contacted NICS and NICS has not noti- (b) A gun show or an event is a func- fied the licensee that receipt of the tion sponsored by any national, State, firearm by the transferee would be in or local organization, devoted to the violation of law; and collection, competitive use, or other (3) The licensee verifies the identity sporting use of firearms, or an organi- of the transferee by examining the zation or association that sponsors identification document presented in functions devoted to the collection, accordance with the provisions of competitive use, or other sporting use § 478.124(c). of firearms in the community. (c) Licensees conducting business at Example for paragraph (a). A licensee con- locations other than the premises spec- tacts NICS on Thursday, and gets a ‘‘de- ified on their license under the provi- layed’’ response. The licensee does not get a sions of paragraph (a) of this section further response from NICS. If State offices are not open on Saturday and Sunday, 3 busi- shall maintain firearms records in the ness days would have elapsed on the fol- form and manner prescribed by subpart lowing Tuesday. The licensee may transfer H of this part. In addition, records of the firearm on the next day, Wednesday. firearms transactions conducted at such locations shall include the loca- (b) Transaction number. In any trans- tion of the sale or other disposition, be action for which a licensee receives a entered in the acquisition and disposi- transaction number from NICS (which tion records of the licensee, and re- shall include either a NICS transaction tained on the premises specified on the number or, in States where the State is license. recognized as a point of contact for NICS checks, a State transaction num- [T.D. ATF–270, 53 FR 10498, Mar. 31, 1988, as amended by T.D. ATF–401, 63 FR 35523, June ber), such number shall be recorded on 30, 1998] a firearms transaction record, Form 4473, which shall be retained in the § 478.101 Record of transactions. records of the licensee in accordance Every licensee shall maintain fire- with the provisions of § 478.129. This ap- arms and armor piercing ammunition plies regardless of whether the trans- records in such form and manner as is action is approved or denied by NICS, prescribed by subpart H of this part. and regardless of whether the firearm is actually transferred. [T.D. ATF–270, 53 FR 10498, Mar. 31, 1988] (c) Time limitation on NICS checks. A § 478.102 Sales or deliveries of fire- NICS check conducted in accordance arms on and after November 30, with paragraph (a) of this section may 1998. be relied upon by the licensee only for (a) Background check. Except as pro- use in a single transaction, and for a vided in paragraph (d) of this section, a period not to exceed 30 calendar days licensed importer, licensed manufac- from the date that NICS was initially turer, or licensed dealer (the licensee) contacted. If the transaction is not shall not sell, deliver, or transfer a completed within the 30-day period, the firearm to any other person who is not licensee shall initiate a new NICS licensed under this part unless the li- check prior to completion of the trans- censee meets the following require- fer. ments: Example 1 for paragraph (c). A purchaser (1) Before the completion of the completes the Form 4473 on December 15, transfer, the licensee has contacted 1998, and a NICS check is initiated by the li- NICS; censee on that date. The licensee is informed (2)(i) NICS informs the licensee that by NICS that the information available to it has no information that receipt of the system does not indicate that receipt of the firearm by the transferee would be the firearm by the transferee would be in in violation of Federal or State law and violation of law, and a unique identification number is provided. However, the State im- provides the licensee with a unique poses a 7-day waiting period on all firearms identification number; or transactions, and the purchaser does not re- (ii) Three business days (meaning turn to pick up the firearm until January 22, days on which State offices are open) 1999. The licensee must conduct another

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NICS check before transferring the firearm compliance with paragraph (a)(1) of to the purchaser. this section is impracticable. Example 2 for paragraph (c). A purchaser (e) The document referred to in para- completes the Form 4473 on January 25, 1999, and arranges for the purchase of a single graph (d)(1) of this section (or a copy firearm. A NICS check is initiated by the li- thereof) shall be retained or the re- censee on that date. The licensee is informed quired information from the document by NICS that the information available to shall be recorded on the firearms trans- the system does not indicate that receipt of action record in accordance with the the firearm by the transferee would be in provisions of § 478.131. violation of law, and a unique identification number is provided. The State imposes a 7- (Approved by the Office of Management and day waiting period on all firearms trans- Budget under control number 1140–0045) actions, and the purchaser returns to pick up [T.D. ATF–415, 63 FR 58279, Oct. 29, 1998, as the firearm on February 15, 1999. Before the amended by ATF–11F, 73 FR 57241, Oct. 2, licensee executes the Form 4473, and the fire- 2008] arm is transferred, the purchaser decides to purchase an additional firearm. The transfer of these two firearms is considered a single § 478.103 Posting of signs and written transaction; accordingly, the licensee may notification to purchasers of hand- add the second firearm to the Form 4473, and guns. transfer that firearm without conducting an- (a) Each licensed importer, manufac- other NICS check. turer, dealer, or collector who delivers Example 3 for paragraph (c). A purchaser a handgun to a nonlicensee shall pro- completes a Form 4473 on February 15, 1999. The licensee receives a unique identification vide such nonlicensee with written no- number from NICS on that date, the Form tification as described in paragraph (b) 4473 is executed by the licensee, and the fire- of this section. arm is transferred. On February 20, 1999, the (b) The written notification (ATF I purchaser returns to the licensee’s premises 5300.2) required by paragraph (a) of this and wishes to purchase a second firearm. The section shall state as follows: purchase of the second firearm is a separate (1) The misuse of handguns is a lead- transaction; thus, a new NICS check must be initiated by the licensee. ing contributor to juvenile violence and fatalities. (d) Exceptions to NICS check. The pro- (2) Safely storing and securing fire- visions of paragraph (a) of this section arms away from children will help pre- shall not apply if— vent the unlawful possession of hand- (1) The transferee has presented to guns by juveniles, stop accidents, and the licensee a valid permit or license save lives. that— (3) Federal law prohibits, except in (i) Allows the transferee to possess, certain limited circumstances, anyone acquire, or carry a firearm; under 18 years of age from knowingly (ii) Was issued not more than 5 years possessing a handgun, or any person earlier by the State in which the trans- from transferring a handgun to a per- fer is to take place; and son under 18. (iii) The law of the State provides (4) A knowing violation of the prohi- that such a permit or license is to be bition against selling, delivering, or issued only after an authorized govern- otherwise transferring a handgun to a ment official has verified that the in- person under the age of 18 is, under cer- formation available to such official tain circumstances, punishable by up does not indicate that possession of a to 10 years in prison. firearm by the transferee would be in violation of Federal, State, or local FEDERAL LAW law: Provided, That on and after No- The Gun Control Act of 1968, 18 U.S.C. vember 30, 1998, the information avail- Chapter 44, provides in pertinent part as fol- able to such official includes the NICS; lows: (2) The firearm is subject to the provisions of the National Firearms Act 18 U.S.C. 922(x) and has been approved for transfer (x)(1) It shall be unlawful for a person to under 27 CFR part 479; or sell, deliver, or otherwise transfer to a per- (3) On application of the licensee, in son who the transferor knows or has reason- accordance with the provisions of able cause to believe is a juvenile— § 478.150, the Director has certified that (A) a handgun; or

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(B) ammunition that is suitable for use Government if its possession by the juvenile only in a handgun. subsequently becomes unlawful because of (2) It shall be unlawful for any person who the conduct of the juvenile, but shall be re- is a juvenile to knowingly possess— turned to the lawful owner when such hand- (A) a handgun; or gun or ammunition is no longer required by (B) ammunition that is suitable for use the Government for the purposes of inves- only in a handgun. tigation or prosecution. (3) This subsection does not apply to— (5) For purposes of this subsection, the (A) a temporary transfer of a handgun or term ‘‘juvenile’’ means a person who is less ammunition to a juvenile or to the posses- than 18 years of age. sion or use of a handgun or ammunition by (6)(A) In a prosecution of a violation of this a juvenile if the handgun and ammunition subsection, the court shall require the pres- are possessed and used by the juvenile— (i) in the course of employment, in the ence of a juvenile defendant’s parent or legal course of ranching or farming related to ac- guardian at all proceedings. tivities at the residence of the juvenile (or (B) The court may use the contempt power on property used for ranching or farming at to enforce subparagraph (A). which the juvenile, with the permission of (C) The court may excuse attendance of a the property owner or lessee, is performing parent or legal guardian of a juvenile defend- activities related to the operation of the ant at a proceeding in a prosecution of a vio- farm or ranch), target practice, hunting, or a lation of this subsection for good cause course of instruction in the safe and lawful shown. use of a handgun; (ii) with the prior written consent of the 18 U.S.C. 924(a)(6) juvenile’s parent or guardian who is not pro- (6)(A)(i) A juvenile who violates section hibited by Federal, State, or local law from 922(x) shall be fined under this title, impris- possessing a firearm, except— oned not more than 1 year, or both, except (I) during transportation by the juvenile of that a juvenile described in clause (ii) shall an unloaded handgun in a locked container be sentenced to probation on appropriate directly from the place of transfer to a place at which an activity described in clause (i) is conditions and shall not be incarcerated un- to take place and transportation by the juve- less the juvenile fails to comply with a con- nile of that handgun, unloaded and in a dition of probation. locked container, directly from the place at (ii) A juvenile is described in this clause which such an activity took place to the if— transferor; or (I) the offense of which the juvenile is (II) with respect to ranching or farming ac- charged is possession of a handgun or ammu- tivities as described in clause (i) a juvenile nition in violation of section 922(x)(2); and may possess and use a handgun or ammuni- (II) the juvenile has not been convicted in tion with the prior written approval of the any court of an offense (including an offense juvenile’s parent or legal guardian and at the under section 922(x) or a similar State law, direction of an adult who is not prohibited but not including any other offense con- by Federal, State, or local law from pos- sisting of conduct that if engaged in by an sessing a firearm; adult would not constitute an offense) or ad- (iii) the juvenile has the prior written con- judicated as a juvenile delinquent for consent in the juvenile’s possession at all times duct that if engaged in by an adult would when a handgun is in the possession of the constitute an offense. juvenile; and (B) A person other than a juvenile who (iv) in accordance with State and local law; knowingly violates section 922(x)— (B) a juvenile who is a member of the Armed Forces of the United States or the (i) shall be fined under this title, impris- National Guard who possesses or is armed oned not more than 1 year, or both; and with a handgun in the line of duty; (ii) if the person sold, delivered, or other- (C) a transfer by inheritance of title (but wise transferred a handgun or ammunition not possession) of a handgun or ammunition to a juvenile knowing or having reasonable to a juvenile; or cause to know that the juvenile intended to (D) the possession of a handgun or ammu- carry or otherwise possess or discharge or nition by a juvenile taken in defense of the otherwise use the handgun or ammunition in juvenile or other persons against an intruder the commission of a crime of violence, shall into the residence of the juvenile or a resi- be fined under this title, imprisoned not dence in which the juvenile is an invited more than 10 years, or both. guest. (c) This written notification shall be (4) A handgun or ammunition, the possession of which is transferred to a juvenile in delivered to the nonlicensee on ATF I circumstances in which the transferor is not 5300.2, or in the alternative, the same in violation of this subsection shall not be written notification may be delivered subject to permanent confiscation by the to the nonlicensee on another type of

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written notification, such as a manu- (f) The sign required by paragraph (d) facturer’s or importer’s brochure ac- of this section need not be posted on companying the handgun; a manufac- the premises of any licensed importer, turer’s or importer’s operational man- manufacturer, or dealer whose only ual accompanying the handgun; or a dispositions of handguns to non- sales receipt or invoice applied to the licensees are to nonlicensees who do handgun package or container deliv- not appear at the licensed premises and ered to a nonlicensee. Any written no- the dispositions otherwise comply with tification delivered to a nonlicensee the provisions of this part. other than on ATF I 5300.2 shall include the language set forth in paragraph (b) [T.D. ATF–402, 63 FR 37742, July 13, 1998] of this section in its entirety. Any written notification other than ATF I Subpart G—Importation 5300.2 shall be legible, clear, and con- spicuous, and the required language § 478.111 General. shall appear in type size no smaller (a) Section 922(a)(3) of the Act makes than 10-point type. it unlawful, with certain exceptions (d) Except as provided in paragraph (f) of this section, each licensed im- not pertinent here, for any person porter, manufacturer, or dealer who de- other than a licensee to transport into livers a handgun to a nonlicensee shall or receive in the State where the per- display at its licensed premises (includ- son resides any firearm purchased or ing temporary business locations at otherwise obtained by the person out- gun shows) a sign as described in para- side of that State. However, section graph (e) of this section. The sign shall 925(a)(4) provides a limited exception be displayed where customers can read- for the transportation, shipment, re- ily see it. Licensed importers, manu- ceipt or importation of certain fire- facturers, and dealers will be provided arms and ammunition by certain mem- with such signs by ATF. Replacement bers of the United States Armed signs may be requested from the ATF Forces. Section 922(1) of the Act makes Distribution Center. it unlawful for any person knowingly (e) The sign (ATF I 5300.1) required to import or bring into the United by paragraph (d) of this section shall States or any possession thereof any state as follows: firearm or ammunition except as pro- (1) The misuse of handguns is a leading vided by section 925(d) of the Act, contributor to juvenile violence and fatali- which section provides standards for ties. importing or bringing firearms or am- (2) Safely storing and securing firearms munition into the United States. Sec- away from children will help prevent the un- tion 925(d) also provides standards for lawful possession of handguns by juveniles, importing or bringing firearm barrels stop accidents, and save lives. (3) Federal law prohibits, except in certain into the United States. Accordingly, no limited circumstances, anyone under 18 firearm, firearm barrel, or ammunition years of age from knowingly possessing a may be imported or brought into the handgun, or any person from transferring a United States except as provided by handgun to a person under 18. this part. (4) A knowing violation of the prohibition (b) Where a firearm, firearm barrel, against selling, delivering, or otherwise transferring a handgun to a person under the or ammunition is imported and the au- age of 18 is, under certain circumstances, thorization for importation required by punishable by up to 10 years in prison. this subpart has not been obtained by

NOTE: ATF I 5300.2 provides the complete the person importing same, such per- language of the statutory prohibitions and son shall: exceptions provided in 18 U.S.C. 922(x) and (1) Store, at the person’s expense, the penalty provisions of 18 U.S.C. 924(a)(6). such firearm, firearm barrel, or ammu- The Federal firearms licensee posting this nition at a facility designated by U.S sign will provide you with a copy of this pub- Customs or the Director of Industry lication upon request. Requests for additional copies of ATF I 5300.2 should be mailed Operations to await the issuance of the to the ATF Distribution Center, P.O. Box required authorization or other disposi- 5950, Springfield, Virginia 22150–5950. tion; or

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(2) Abandon such firearm, firearm (I) The quantity; barrel, or ammunition to the U.S. Gov- (J) The unit cost of the firearm, fire- ernment; or arm barrel, or ammunition to be im- (3) Export such firearm, firearm bar- ported; rel, or ammunition. (v) The specific purpose of importa- (c) Any inquiry relative to the provi- tion, including final recipient informa- sions or procedures under this subpart, tion if different from the importer; other than that pertaining to the pay- (vi) Verification that if a firearm, it ment of customs duties or the release will be identified as required by this from Customs custody of firearms, fire- part; and arm barrels, or ammunition authorized (vii)(A) If a firearm or ammunition by the Director to be imported, shall be imported or brought in for scientific or directed to the Director of Industry Op- research purposes, a statement describ- erations for reply. ing such purpose; or [T.D. ATF–270, 53 FR 10498, Mar. 31, 1988] (B) If a firearm or ammunition for use in connection with competition or § 478.112 Importation by a licensed im- training pursuant to Chapter 401 of porter. Title 10, U.S.C., a statement describing (a) No firearm, firearm barrel, or am- such intended use; or munition shall be imported or brought (C) If an unserviceable firearm (other into the United States by a licensed than a machine gun) being imported as importer (as defined in § 478.11) unless a curio or museum piece, a description the Director has authorized the impor- of how it was rendered unserviceable tation of the firearm, firearm barrel, or and an explanation of why it is a curio ammunition. or museum piece; or (b)(1) An application for a permit, (D) If a firearm other than a surplus ATF Form 6—Part I, to import or bring military firearm, of a type that does a firearm, firearm barrel, or ammuni- not fall within the definition of a fire- tion into the United States or a posses- arm under section 5845(a) of the Inter- sion thereof under this section must be nal Revenue Code of 1986, and is for filed, in triplicate, with the Director. sporting purposes, an explanation of The application must be signed and why the firearm is generally recognized dated and must contain the informa- as particularly suitable for or readily tion requested on the form, including: adaptable to sporting purposes; or (i) The name, address, telephone number, and license number (including (E) If ammunition being imported for expiration date) of the importer; sporting purposes, a statement why the (ii) The country from which the fire- ammunition is particularly suitable for arm, firearm barrel, or ammunition is or readily adaptable to sporting pur- to be imported; poses; or (iii) The name and address of the for- (F) If a firearm barrel for a handgun, eign seller and foreign shipper; an explanation why the handgun is (iv) A description of the firearm, fire- generally recognized as particularly arm barrel, or ammunition to be im- suitable for or readily adaptable to ported, including: sporting purposes. (A) The name and address of the (2)(i) If the Director approves the ap- manufacturer; plication, such approved application (B) The type (e.g., rifle, shotgun, pis- will serve as the permit to import the tol, revolver and, in the case of ammu- firearm, firearm barrel, or ammunition nition only, ball, wadcutter, shot, etc.); described therein, and importation of (C) The caliber, gauge, or size; such firearms, firearm barrels, or am- (D) The model; munition may continue to be made by (E) The barrel length, if a firearm or the licensed importer under the ap- firearm barrel (in inches); proved application (permit) during the (F) The overall length, if a firearm period specified thereon. The Director (in inches); will furnish the approved application (G) The serial number, if known; (permit) to the applicant and retain (H) Whether the firearm is new or two copies thereof for administrative used; use.

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(ii) If the Director disapproves the Form 6A certified by Customs and se- application, the licensed importer will rial numbers if not previously provided be notified of the basis for the dis- on ATF Form 6A; approval. (2) Pursuant to § 478.92, place all re- (c) A firearm, firearm barrel, or am- quired identification data on each im- munition imported or brought into the ported firearm if same did not bear United States or a possession thereof such identification data at the time of under the provisions of this section by its release from Customs custody; and a licensed importer may be released (3) Post in the records required to be from Customs custody to the licensed maintained by the importer under sub- importer upon showing that the im- part H of this part all required infor- porter has obtained a permit from the mation regarding the importation. Director for the importation of the (Paragraph (b) approved by the Office of firearm, firearm barrel, or ammunition Management and Budget under control num- to be released. The importer will also ber 1140–0005; paragraphs (c) and (d) approved submit to Customs a copy of the export by the Office of Management and Budget license authorizing the export of the under control number 1140–0007) firearm, firearm barrel, or ammunition [T.D. ATF–270, 53 FR 10498, Mar. 31, 1988, as from the exporting country. If the ex- amended by T.D. ATF–426, 65 FR 38198, June porting country does not require 20, 2000; ATF–11F, 73 FR 57241, Oct. 2, 2008] issuance of an export license, the importer must submit a certification, § 478.113 Importation by other licens- under penalty of perjury, to that effect. ees. (1) In obtaining the release from Cus- (a) No person other than a licensed toms custody of a firearm, firearm bar- importer (as defined in § 478.11) shall rel, or ammunition authorized by this engage in the business of importing section to be imported through the use firearms or ammunition. Therefore, no of a permit, the licensed importer will firearm or ammunition shall be im- prepare ATF Form 6A, in duplicate, ported or brought into the United and furnish the original ATF Form 6A States or a possession thereof by any to the Customs officer releasing the licensee other than a licensed importer firearm, firearm barrel, or ammuni- unless the Director issues a permit au- tion. The Customs officer will, after thorizing the importation of the fire- certification, forward the ATF Form arm or ammunition. No barrel for a 6A to the address specified on the form. handgun not generally recognized as (2) The ATF Form 6A must contain particularly suitable for or readily the information requested on the form, adaptable to sporting purposes shall be including: imported or brought into the United (i) The name, address, and license States or a possession thereof by any number of the importer; person. Therefore, no firearm barrel (ii) The name of the manufacturer of shall be imported or brought into the the firearm, firearm barrel, or ammu- United States or possession thereof by nition; any licensee other than a licensed im- (iii) The country of manufacture; porter unless the Director issues a per- (iv) The type; mit authorizing the importation of the (v) The model; firearm barrel. (vi) The caliber, gauge, or size; (b)(1) An application for a permit, (vii) The serial number in the case of ATF Form 6—Part I, to import or bring firearms, if known; and a firearm, firearm barrel, or ammuni- (viii) The number of firearms, fire- tion into the United States or a posses- arm barrels, or rounds of ammunition sion thereof by a licensee, other than a released. licensed importer, must be filed, in (d) Within 15 days of the date of re- triplicate, with the Director. The appli- lease from Customs custody, the lication must be signed and dated and censed importer must: must contain the information re- (1) Forward to the address specified quested on the form, including: on the form a copy of ATF Form 6A on (i) The name, address, telephone which must be reported any error or number, and license number (including discrepancy appearing on the ATF expiration date) of the applicant;

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(ii) The country from which the fire- (F) If a firearm barrel for a handgun, arm, firearm barrel, or ammunition is an explanation why the handgun is to be imported; generally recognized as particularly (iii) The name and address of the for- suitable for or readily adaptable to eign seller and foreign shipper; sporting purposes. (iv) A description of the firearm, fire- (2)(i) If the Director approves the ap- arm barrel, or ammunition to be im- plication, such approved application ported, including: will serve as the permit to import the (A) The name and address of the firearm, firearm barrel, or ammunition manufacturer; described therein, and importation of (B) The type (e.g., rifle, shotgun, pis- such firearms, firearm barrels, or am- tol, revolver and, in the case of ammu- munition may continue to be made by nition only, ball, wadcutter, shot, etc.); the applicant under the approved appli- (C) The caliber, gauge, or size; cation (permit) during the period speci- (D) The model; fied thereon. The Director will furnish (E) The barrel length, if a firearm or the approved application (permit) to firearm barrel (in inches); the applicant and retain two copies (F) The overall length, if a firearm thereof for administrative use. (in inches); (ii) If the Director disapproves the (G) The serial number, if known; application, the applicant will be noti- (H) Whether the firearm is new or used; fied of the basis for the disapproval. (I) The quantity; (c) A firearm, firearm barrel, or am- (J) The unit cost of the firearm, fire- munition imported or brought into the arm barrel, or ammunition to be im- United States or a possession thereof ported; under the provisions of this section (v) The specific purpose of importa- may be released from Customs custody tion, including final recipient informa- to the licensee upon showing that the tion if different from the applicant; licensee has obtained a permit from and the Director for the importation of the (vi)(A) If a firearm or ammunition firearm, firearm barrel, or ammunition imported or brought in for scientific or to be released. research purposes, a statement describ- (1) In obtaining the release from Cus- ing such purpose; or toms custody of a firearm, firearm bar- (B) If a firearm or ammunition for rel, or ammunition authorized by this use in connection with competition or section to be imported through the use training pursuant to Chapter 401 of of a permit, the licensee will prepare Title 10, U.S.C., a statement describing ATF Form 6A, in duplicate, and furnish such intended use; or the original ATF Form 6A to the Cus- (C) If an unserviceable firearm (other toms officer releasing the firearm, fire- than a machine gun) being imported as arm barrel, or ammunition. The Cus- a curio or museum piece, a description toms officer will, after certification, of how it was rendered unserviceable forward the ATF Form 6A to the ad- and an explanation of why it is a curio dress specified on the form. or museum piece; or (2) The ATF Form 6A must contain (D) If a firearm other than a surplus the information requested on the form, military firearm, of a type that does including: not fall within the definition of a fire- (i) The name, address, and license arm under section 5845(a) of the Inter- number of the licensee; nal Revenue Code of 1986, and is for (ii) The name of the manufacturer of sporting purposes, an explanation of the firearm, firearm barrel, or ammu- why the firearm is generally recognized nition; as particularly suitable for or readily adaptable to sporting purposes; or (iii) The country of manufacture; (E) If ammunition being imported for (iv) The type; sporting purposes, a statement why the (v) The model; ammunition is particularly suitable for (vi) The caliber, gauge, or size; or readily adaptable to sporting pur- (vii) The serial number in the case of poses; or firearms; and

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(viii) The number of firearms, fire- (2)(i) If the Director approves the ap- arm barrels, or rounds of ammunition plication, such approved application released. will serve as the permit to import the firearm barrel, and importation of such (Paragraph (b) approved by the Office of Management and Budget under control num- firearm barrels may continue to be ber 1140–0005; paragraph (c) approved by the made by the applicant under the ap- Office of Management and Budget under con- proved application (permit) during the trol number 1140–0007) period specified thereon. The Director [T.D. ATF–270, 53 FR 10499, Mar. 31, 1988, as will furnish the approved application amended by T.D. ATF–426, 65 FR 38199, June (permit) to the applicant and retain 20, 2000; ATF–11F, 73 FR 57241, Oct. 2, 2008] two copies thereof for administrative use. § 478.113a Importation of firearm bar- (ii) If the Director disapproves the rels by nonlicensees. application, the applicant will be noti- (a) A permit will not be issued for a fied of the basis for the disapproval. firearm barrel for a handgun not gen- (c) A firearm barrel imported or erally recognized as particularly suit- brought into the United States or a able for or readily adaptable to sport- possession thereof under the provisions ing purposes. No firearm barrel shall be of this section may be released from imported or brought into the United Customs custody to the person import- States or possession thereof by any ing the firearm barrel upon showing nonlicensee unless the Director issues that the person has obtained a permit a permit authorizing the importation from the Director for the importation of the firearm barrel. of the firearm barrel to be released. (b)(1) An application for a permit, (1) In obtaining the release from Cus- ATF Form 6—Part I, to import or bring toms custody of a firearm barrel au- a firearm barrel into the United States thorized by this section to be imported or a possession thereof under this sec- through the use of a permit, the person tion must be filed, in triplicate, with importing the firearm barrel will pre- the Director. The application must be pare ATF Form 6A, in duplicate, and signed and dated and must contain the furnish the original ATF Form 6A to information requested on the form, in- the Customs officer releasing the fire- cluding: arm barrel. The Customs officer will, (i) The name, address, and telephone after certification, forward the ATF number of the applicant; Form 6A to the address specified on the (ii) The country from which the fire- form. arm barrel is to be imported; (2) The ATF Form 6A must contain (iii) The name and address of the for- the information requested on the form, eign seller and foreign shipper; including: (iv) A description of the firearm bar- (i) The name and address of the per- rel to be imported, including: son importing the firearm barrel; (A) The name and address of the (ii) The name of the manufacturer of manufacturer; the firearm barrel; (B) The type (e.g., rifle, shotgun, pis- (iii) The country of manufacture; tol, revolver); (C) The caliber, gauge, or size; (iv) The type; (D) The model; (v) The model; (E) The barrel length (in inches); (vi) The caliber or gauge of the fire- (F) The quantity; arm barrel so released; and (G) The unit cost of the firearm bar- (vii) The number of firearm barrels rel; released. (v) The specific purpose of importa- (Paragraph (b) approved by the Office of tion, including final recipient informa- Management and Budget under control num- tion if different from the importer; and ber 1140–0005; paragraph (c) approved by the (vi) If a handgun barrel, an expla- Office of Management and Budget under con- nation of why the barrel is for a hand- trol number 1140–0007) gun that is generally recognized as par- [T.D. ATF–270, 53 FR 10499, Mar. 31, 1988, as ticularly suitable for or readily adapt- amended by T.D. ATF–426, 65 FR 38200, June able to sporting purposes. 20, 2000; ATF–11F, 73 FR 57241, Oct. 2, 2008]

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§ 478.114 Importation by members of (vi) The specific purpose of importa- the U.S. Armed Forces. tion, that is— (a) The Director may issue a permit (A) That the firearm or ammunition authorizing the importation of a fire- being imported is for the personal use arm or ammunition into the United of the applicant; and States to the place of residence of any (B) If a firearm, a statement that it military member of the U.S. Armed is not a surplus military firearm, that Forces who is on active duty outside it does not fall within the definition of the United States, or who has been on a firearm under section 5845(a) of the active duty outside the United States Internal Revenue Code of 1986, and an within the 60-day period immediately explanation of why the firearm is gen- preceding the intended importation: erally recognized as particularly suit- Provided, That such firearm or ammu- able for or readily adaptable to sport- nition is generally recognized as par- ing purposes; or ticularly suitable for or readily adapt- (C) If ammunition, a statement why able to sporting purposes and is in- it is generally recognized as particu- tended for the personal use of such larly suitable for or readily adaptable member. to sporting purposes; and (1) An application for a permit, ATF (vii) The applicant’s date of birth; Form 6—Part II, to import a firearm or (viii) The applicant’s rank or grade; ammunition into the United States (ix) The applicant’s place of resi- under this section must be filed, in dence; triplicate, with the Director. The appli- (x) The applicant’s present foreign cation must be signed and dated and duty station or last foreign duty sta- must contain the information re- tion, as the case may be; quested on the form, including: (xi) The date of the applicant’s reas- signment to a duty station within the (i) The name, current address, and United States, if applicable; and telephone number of the applicant; (xii) The military branch of which (ii) Certification that the transpor- the applicant is a member. tation, receipt, or possession of the (2)(i) If the Director approves the ap- firearm or ammunition to be imported plication, such approved application would not constitute a violation of any will serve as the permit to import the provision of the Act or of any State firearm or ammunition described law or local ordinance at the place of therein. The Director will furnish the the applicant’s residence; approved application (permit) to the (iii) The country from which the fire- applicant and retain two copies thereof arm or ammunition is to be imported; for administrative use. (iv) The name and address of the for- (ii) If the Director disapproves the eign seller and foreign shipper; application, the applicant will be noti- (v) A description of the firearm or fied of the basis for the disapproval. ammunition to be imported, including: (b) Except as provided in paragraph (A) The name and address of the (b)(3) of this section, a firearm or am- manufacturer; munition imported into the United (B) The type (e.g., rifle, shotgun, pis- States under the provisions of this sec- tol, revolver and, in the case of ammu- tion by the applicant may be released nition only, ball, wadcutter, shot, etc.); from Customs custody to the applicant (C) The caliber, gauge, or size; upon showing that the applicant has (D) The model; obtained a permit from the Director for (E) The barrel length, if a firearm (in the importation of the firearm or am- inches); munition to be released. (F) The overall length, if a firearm (1) In obtaining the release from Cus- (in inches); toms custody of a firearm or ammuni- (G) The serial number; tion authorized by this section to be (H) Whether the firearm is new or imported through the use of a permit, used; the military member of the U.S. Armed (I) The quantity; Forces will prepare ATF Form 6A and (J) The unit cost of the firearm or furnish the completed form to the Cus- ammunition to imported; toms officer releasing the firearm or

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ammunition. The Customs officer will, may be completed before departure after certification, forward the ATF from the United States at any U.S. cus- Form 6A to the address specified on the tomhouse or any office of an Director form. of Industry Operations. A bill of sale or (2) The ATF Form 6A must contain other commercial document showing the information requested on the form, transfer of the firearm or ammunition including: in the United States to such person (i) The name and address of the mili- also may be used to establish proof tary member; that the firearm or ammunition was (ii) The name of the manufacturer of taken out of the United States by such the firearm or ammunition; person. Firearms and ammunition fur- (iii) The country of manufacture; nished under the provisions of section (iv) The type; 925(a)(3) of the Act to military mem- (v) The model; bers of the U.S. Armed Forces on ac- (vi) The caliber, gauge, or size; tive duty outside of the United States (vii) The serial number in the case of also may be imported into the United firearms; and States or any possession thereof by (viii) If applicable, the number of such military members upon estab- firearms or rounds of ammunition re- lishing to the satisfaction of Customs leased. that such firearms and ammunition (3) When such military member is on were so obtained. active duty outside the United States, (b) Firearms, firearm barrels, and the military member may appoint, in ammunition may be imported or writing, an agent to obtain the release brought into the United States by or of the firearm or ammunition from for the United States or any depart- Customs custody for such member. ment or agency thereof, or any State Such agent will present sufficient iden- or any department, agency, or political tification of the agent and the written subdivision thereof. A firearm, firearm authorization to act on behalf of such barrel or ammunition imported or military member to the Customs offi- brought into the United States under cer who is to release the firearm or am- this paragraph may be released from munition. Customs custody upon a showing that (c) Firearms determined by the De- the firearm, firearm barrel or ammuni- partment of Defense to be war sou- tion is being imported or brought into venirs may be imported into the United the United States by or for such a gov- States by the military members of the ernmental entity. U.S. Armed Forces under such provi- (c) The provisions of this subpart sions and procedures as the Depart- shall not apply with respect to the im- ment of Defense may issue. portation into the United States of any (Paragraph (a) approved by the Office of antique firearm. Management and Budget under control num- (d) Firearms and ammunition are not ber 1140–0006; paragraph (b) approved by the imported into the United States, and Office of Management and Budget under con- the provisions of this subpart shall not trol number 1140–0007) apply, when such firearms and ammu- [T.D. ATF–270, 53 FR 10500, Mar. 31, 1988, as nition are brought into the United amended by T.D. ATF–426, 65 FR 38200, June States by: 20, 2000; ATF–11F, 73 FR 57241, Oct. 2, 2008] (1) A nonresident of the United States for legitimate hunting or lawful § 478.115 Exempt importation. sporting purposes, and such firearms (a) Firearms and ammunition may be and such ammunition as remains fol- brought into the United States or any lowing such shooting activity are to be possession thereof by any person who taken back out of the territorial limits can establish to the satisfaction of Cus- of the United States by such person toms that such firearm or ammunition upon conclusion of the shooting activ- was previously taken out of the United ity; States or any possession thereof by (2) Foreign military personnel on of- such person. Registration on Customs ficial assignment to the United States Form 4457 or on any other registration who bring such firearms or ammuni- document available for this purpose tion into the United States for their

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exclusive use while on official duty in nition feeding device in connection the United States, and such firearms with making a determination as to and unexpended ammunition are taken whether the importation or bringing in back out of the territorial limits of the of such firearm, firearm barrel, ammu- United States by such foreign military nition, or ammunition feeding device personnel when they leave the United will be authorized under this part. An States; application on ATF Form 6 for such (3) Official representatives of foreign conditional importation shall be filed, governments who are accredited to the in duplicate, with the Director. The Di- U.S. Government or are en route to or rector may impose conditions upon any from other countries to which accred- importation under this section includ- ited, and such firearms and unexpended ing a requirement that the firearm, ammunition are taken back out of the firearm barrel, ammunition, or ammu- territorial limits of the United States nition feeding device be shipped di- by such official representatives of for- rectly from Customs custody to the Di- eign governments when they leave the rector and that the person importing United States; or bringing in the firearm, firearm bar- (4) Officials of foreign governments rel, ammunition, or ammunition feed- and distinguished foreign visitors who ing device must agree to either export have been so designated by the Depart- the firearm, firearm barrel, ammuni- ment of State, and such firearms and tion, or ammunition feeding device or unexpended ammunition are taken destroy same if a determination is back out of the territorial limits of the made that the firearm, firearm barrel, United States by such officials of for- ammunition, or ammunition feeding eign governments and distinguished device may not be imported or brought foreign visitors when they leave the in under this part. A firearm, firearm United States; and barrel, ammunition, or ammunition (5) Foreign law enforcement officers feeding device imported or brought of friendly foreign governments enter- into the United States or any posses- ing the United States on official law sion thereof under the provisions of enforcement business, and such fire- this section shall be released from Cus- arms and unexpended ammunition are toms custody upon the payment of cus- taken back out of the territorial limits toms duties, if applicable, and in the of the United States by such foreign manner prescribed in the conditional law enforcement officers when they authorization issued by the Director. leave the United States. (e) Notwithstanding the provisions of [T.D. ATF–383, 61 FR 39321, July 29, 1996] paragraphs (d) (1), (2), (3), (4) and (5) of this section, the Secretary of the § 478.117 Function outside a customs territory. Treasury or his delegate may in the interest of public safety and necessity re- In the insular possessions of the quire a permit for the importation or United States outside customs terri- bringing into the United States of any tory, the functions performed by U.S. firearms or ammunition. Customs officers under this subpart within a customs territory may be per- [33 FR 18555, Dec. 14, 1968. Redesignated at 40 formed by the appropriate authorities FR 16835, Apr. 15, 1975, and amended by T.D. ATF–58, 44 FR 32367, June 6, 1979; T.D. ATF– of a territorial government or other of- 270, 53 FR 10500, Mar. 31, 1988; T.D. ATF–471, ficers of the United States who have 67 FR 5426, Feb. 5, 2002] been designated to perform such functions. For the purpose of this subpart, § 478.116 Conditional importation. the term customs territory means the The Director shall permit the condi- United States, the District of Colum- tional importation or bringing into the bia, and the Commonwealth of Puerto United States or any possession thereof Rico. of any firearm, firearm barrel, ammunition, or ammunition feeding device § 478.118 Importation of certain fire- as defined in § 478.119(b) for the purpose arms classified as curios or relics. of examining and testing the firearm, Notwithstanding any other provision firearm barrel, ammunition, or ammu- of this part, a licensed importer may

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import all rifles and shotguns classi- (5) The name and address of the for- fied by the Director as curios or relics, eign seller and the foreign shipper, and all handguns classified by the Di- (6) Verification that such device will rector as curios or relics that are de- be marked as required by this part, and termined to be generally recognized as (7) A statement by the importer that particularly suitable for or readily the device is being imported for sale to adaptable to sporting purposes. The purchasers specified in § 478.40a(b) or importation of such curio or relic fire- physical or reasonable documentary arms must be in accordance with the evidence establishing that the maga- applicable importation provisions of zine was manufactured on or before this part and the importation provi- September 13, 1994. Any one of the fol- sions of 27 CFR part 447. Curios or rel- lowing examples, which are not meant ics which fall within the definition of to be exhaustive, may be sufficient to ‘‘firearm’’ under 26 U.S.C. 5845(a) must establish the time of manufacture: also meet the importation provisions of (i) Permanent markings or physical 27 CFR part 479 before they may be imported. characteristics which establish that the magazine was manufactured on or [T.D. ATF–202, 50 FR 14383, Apr. 12, 1985] before September 13, 1994; (ii) A certification from the im- § 478.119 Importation of ammunition feeding devices. porter, under penalty of perjury, that the importer maintained continuous (a) No ammunition feeding device custody beginning on a date prior to shall be imported or brought into the September 14, 1994, and continuing United States unless the Director has until the date of the certification. Such authorized the importation of such de- certification shall also be supported by vice. reasonable documentary evidence, such (b) For purposes of this section, an as commercial records; ‘‘ammunition feeding device’’ is a magazine, belt, drum, feed strip, or similar (iii) A certification from the im- device for a firearm that has a capacity porter, under penalty of perjury, that of, or that can be readily restored or the magazines sought to be imported converted to accept, more than 10 were in the custody and control of a rounds of ammunition. The term does foreign Government on or before Sep- not include an attached tubular device tember 13, 1994, along with reasonable designed to accept, and capable of oper- documentary evidence to support the ating only with, .22 caliber rimfire am- certification; or munition, or a fixed device for a manu- (iv) A certification from the im- ally operated firearm, or a fixed device porter, under penalty of perjury, that for a firearm listed in 18 U.S.C. 922, Ap- the magazine was in the possession of a pendix A. foreign arms supplier on or before Sep- (c) An application for a permit, ATF tember 13, 1994, along with reasonable Form 6, to import or bring an ammuni- documentary evidence to support the tion feeding device into the United certification. States or a possession thereof under (d) The Director shall act upon appli- this section shall be filed, in triplicate, cations to import ammunition feeding with the Director. The application devices as expeditiously as possible. If shall contain: the Director approves the application, (1) The name and address of the per- such approved application shall serve son importing the device, as the permit to import the device de- (2) A description of the device to be scribed therein, and importation of imported, including type and cartridge such devices may continue to be made capacity, model and caliber of firearm by the person importing such devices for which the device was made, country under the approved application (per- of manufacture, and name of the manu- mit) during the period specified there- facturer if known, on. The Director shall furnish the ap- (3) The unit cost of the device to be proved application (permit) to the ap- imported, plicant and retain two copies thereof (4) The country from which to be im- for administrative use. If the Director ported, disapproves the application, the person

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importing such devices shall be noti- § 478.120 Firearms or ammunition im- fied of the basis for the disapproval. ported by or for a nonimmigrant (e) An ammunition feeding device im- alien. ported or brought into the United (a) Any nonimmigrant alien who States by a person importing such a de- completes an ATF Form 6 to import vice may be released from Customs firearms or ammunition into the custody to the person importing such a United States, or any licensee who device upon showing that such person completes an ATF Form 6 to import has obtained a permit from the Direc- firearms or ammunition for a non- tor for the importation of the device to immigrant alien, must attach applica- be released. In obtaining the release ble documentation to the Form 6 (e.g., from Customs custody of such a device a hunting license or permit lawfully authorized by this section to be im- issued in the United States; waiver) es- ported through use of a permit, the tablishing the nonimmigrant alien person importing such a device shall falls within an exception to or has obtained a waiver from the non- prepare ATF Form 6A, in duplicate, immigrant alien prohibition. and furnish the original ATF Form 6A (b) Nonimmigrant aliens importing to the Customs officer releasing the de- or bringing firearms or ammunition vice. The Customs officer shall, after into the United States must provide certification, forward the ATF Form the United States Customs Service 6A to the address specified on the form. with applicable documentation (e.g., a The ATF Form 6A shall show the name hunting license or permit lawfully and address of the person importing issued in the United States; waiver) es- the device, the name of the manufac- tablishing the nonimmigrant alien turer of the device, the country of falls within an exception to or has ob- manufacture, the type, model, caliber, tained a waiver from the non- size, and the number of devices re- immigrant alien prohibition before the leased. firearm or ammunition may be im- (f) Within 15 days of the date of reported. This provision applies in all lease from Customs custody, the person cases, whether or not a Form 6 is need- importing such a device shall: ed to bring the firearms or ammunition (1) Forward to the address specified into the United States. on the form a copy of ATF Form 6A on (Approved by the Office of Management and which shall be reported any error or Budget under control number 1140–0060) discrepancy appearing on the ATF [T.D. ATF–471, 67 FR 5426, Feb. 5, 2002, as Form 6A certified by Customs, and amended by ATF–11F, 73 FR 57241, Oct. 2, (2) Pursuant to § 478.92, place all re- 2008] quired identification data on each imported device manufactured after Sep- Subpart H—Records tember 13, 1994, if same did not bear such identification data at the time of § 478.121 General. its release from Customs custody. (a) The records pertaining to fire- (g) The Director may authorize the arms transactions prescribed by this conditional importation of an ammuni- part shall be retained on the licensed tion feeding device as provided in premises in the manner prescribed by § 478.116. this subpart and for the length of time prescribed by § 478.129. The records per- (Paragraphs (a), (c), and (d) approved by the taining to ammunition prescribed by Office of Management and Budget under con- this part shall be retained on the li- trol numbers 1140–0005 and 1140–0006; para- censed premises in the manner pre- graphs (e) and (f) approved by the Office of scribed by § 478.125. Management and Budget under control num- (b) ATF officers may, for the pur- ber 1140–0007) poses and under the conditions pre- [T.D. ATF–383, 61 FR 39322, July 29, 1996, as scribed in § 478.23, enter the premises of amended by ATF–11F, 73 FR 57241, Oct. 2, any licensed importer, licensed manu- 2008] facturer, licensed dealer, or licensed collector for the purpose of examining

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or inspecting any record or document § 478.122 Records maintained by im- required by or obtained under this porters. part. Section 923(g) of the Act requires (a) Each licensed importer shall, licensed importers, licensed manufacturers, licensed dealers, and licensed within 15 days of the date of importa- collectors to make such records avail- tion or other acquisition, record the able for such examination or inspection type, model, caliber or gauge, manufac- during business hours or, in the case of turer, country of manufacture, and the licensed collectors, hours of operation, serial number of each firearm imported as provided in § 478.23. or otherwise acquired, and the date (c) Each licensed importer, licensed such importation or other acquisition manufacturer, licensed dealer, and li- was made. censed collector shall maintain such (b) A record of firearms disposed of records of importation, production, by a licensed importer to another li- shipment, receipt, sale, or other dis- censee and a separate record of armor position, whether temporary or perma- piercing ammunition dispositions to nent, of firearms and such records of governmental entities, for exportation, the disposition of ammunition as the or for testing or experimentation au- regulations contained in this part pre- thorized under the provisions of scribe. Section 922(m) of the Act makes § 478.149 shall be maintained by the li- it unlawful for any licensed importer, censed importer on the licensed prem- licensed manufacturer, licensed dealer, or licensed collector knowingly to ises. For firearms, the record shall make any false entry in, to fail to show the quantity, type, manufacturer, make appropriate entry in, or to fail to country of manufacture, caliber or properly maintain any such record. gauge, model, serial number of the fire- (d) For recordkeeping requirements arms so transferred, the name and li- for sales by licensees at gun shows see cense number of the licensee to whom § 478.100(c). the firearms were transferred, and the date of the transaction. For armor (Information collection requirements in paragraph (a) approved by the Office of Man- piercing ammunition, the record shall agement and Budget under control number show the date of the transaction, man- 1140–0020; information collection require- ufacturer, caliber or gauge, quantity of ments in paragraphs (b) and (c) approved by projectiles, and the name and address the Office of Management and Budget under of the purchaser. The information re- control number 1140–0032) quired by this paragraph shall be en- [33 FR 18555, Dec. 14, 1968. Redesignated at 40 tered in the proper record book not FR 16835, Apr. 15, 1975, and amended by T.D. later than the seventh day following ATF–191, 49 FR 46891, Nov. 29, 1984; T.D. ATF–208, 50 FR 26703, June 28, 1985; T.D. the date of the transaction, and such ATF–270, 53 FR 10501, Mar. 31, 1988; ATF–11F, information shall be recorded under 73 FR 57241, Oct. 2, 2008] the following formats:

IMPORTER’S FIREARMS DISPOSITION RECORD

Name and license Quantity Type Manufacturer Country of Caliber or Model Serial No. of licensee to Date of the manufacture gauge No. whom transferred transaction

IMPORTER’S ARMOR PIERCING AMMUNITION DISPOSITION RECORD

Date Manufacturer Calibur or gauge Quantity of projectiles Purchaser—Name and address

(c) Notwithstanding the provisions of ammunition when it is shown by the li- paragraph (b) of this section, the Direc- censed importer that such alternate tor of Industry Operations may author- records will accurately and readily dis- ize alternate records to be maintained close the information required by para- by a licensed importer to record the graph (b) of this section. A licensed im- disposal of firearms and armor piercing porter who proposes to use alternate

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records shall submit a letter applica- formation required by this paragraph tion, in duplicate, to the Director of In- shall be entered in the proper record dustry Operations and shall describe book not later than the seventh day the proposed alternate records and the following the date of the transaction, need therefor. Such alternate records and such information shall be recorded shall not be employed by the licensed under the format prescribed by importer until approval in such regard § 478.122, except that the name of the is received from the Director of Indus- manufacturer of a firearm or armor try Operations. piercing ammunition need not be re- (d) Each licensed importer shall corded if the firearm or armor piercing maintain separate records of the sales ammunition is of the manufacturer’s or other dispositions made of firearms own manufacture. to nonlicensees. Such records shall be (c) Notwithstanding the provisions of maintained in the form and manner as paragraph (b) of this section, the Direc- prescribed by §§ 478.124 and 478.125 in re- tor of Industry Operations may author- gard to firearms transaction records ize alternate records to be maintained and records of acquisition and disposi- by a licensed manufacturer to record tion of firearms. the disposal of firearms and armor (Approved by the Office of Management and piercing ammunition when it is shown Budget under control number 1140–0032) by the licensed manufacturer that such [T.D. ATF–270, 53 FR 10501, Mar. 31, 1988, as alternate records will accurately and amended by ATF–11F, 73 FR 57241, Oct. 2, readily disclose the information re- 2008] quired by paragraph (b) of this section. A licensed manufacturer who proposes § 478.123 Records maintained by man- to use alternate records shall submit a ufacturers. letter application, in duplicate, to the (a) Each licensed manufacturer shall Director of Industry Operations and record the type, model, caliber or shall describe the proposed alternate gauge, and serial number of each com- record and the need therefor. Such al- plete firearm manufactured or other- ternate records shall not be employed wise acquired, and the date such manu- by the licensed manufacturer until ap- facture or other acquisition was made. proval in such regard is received from The information required by this para- the Director of Industry Operations. graph shall be recorded not later than (d) Each licensed manufacturer shall the seventh day following the date maintain separate records of the sales such manufacture or other acquisition or other dispositions made of firearms was made. to nonlicensees. Such records shall be (b) A record of firearms disposed of maintained in the form and manner as by a manufacturer to another licensee prescribed by §§ 478.124 and 478.125 in re- and a separate record of armor piercing gard to firearms transaction records ammunition dispositions to govern- and records of acquisition and disposi- mental entities, for exportation, or for tion of firearms. testing or experimentation authorized under the provision of § 478.149 shall be (Approved by the Office of Management and maintained by the licensed manufac- Budget under control number 1140–0067) turer on the licensed premises. For [T.D. ATF–270, 53 FR 10501, Mar. 31, 1988, as firearms, the record shall show the amended by ATF–11F, 73 FR 57241, Oct. 2, quantity, type, model, manufacturer, 2008] caliber, size or gauge, serial number of the firearms so transferred, the name § 478.124 Firearms transaction record. and license number of the licensee to (a) A licensed importer, licensed whom the firearms were transferred, manufacturer, or licensed dealer shall and the date of the transaction. For not sell or otherwise dispose, tempo- armor piercing ammunition, the record rarily or permanently, of any firearm shall show the manufacturer, caliber or to any person, other than another li- gauge, quantity, the name and address censee, unless the licensee records the of the transferee to whom the armor transaction on a firearms transaction piercing ammunition was transferred, record, Form 4473: Provided, That a and the date of the transaction. The in- firearms transaction record, Form 4473,

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shall not be required to record the dis- States, cause the transferee to present position made of a firearm delivered to documentation establishing that the a licensee for the sole purpose of repair transferee is a resident of the State (as or customizing when such firearm or a defined in § 478.11) in which the licens- replacement firearm is returned to the ee’s business premises is located, and person from whom received. shall note on the form the documenta- (b) A licensed manufacturer, licensed tion used. Examples of acceptable doc- importer, or licensed dealer shall re- umentation include utility bills or a tain in alphabetical (by name of pur- lease agreement which show that the chaser), chronological (by date of dis- transferee has resided in the State con- position), or numerical (by transaction tinuously for at least 90 days prior to serial number) order, and as a part of the transfer of the firearm; and the required records, each Form 4473 (iii) Must, in the case of a transferee obtained in the course of transferring who is a nonimmigrant alien who custody of the firearms. states that he or she falls within an ex- (c)(1) Prior to making an over-the- ception to, or has a waiver from, the counter transfer of a firearm to a non- nonimmigrant alien prohibition, have licensee who is a resident of the State the transferee present applicable docu- in which the licensee’s business prem- mentation establishing the exception ises is located, the licensed importer, or waiver, note on the Form 4473 the licensed manufacturer, or licensed type of documentation provided, and dealer so transferring the firearm shall attach a copy of the documentation to obtain a Form 4473 from the transferee the Form 4473. showing the transferee’s name, sex, (iv) Shall comply with the require- residence address (including county or ments of § 478.102 and record on the similar political subdivision), date and form the date on which the licensee place of birth; height, weight and race contacted the NICS, as well as any re- of the transferee; the transferee’s coun- sponse provided by the system, includ- try of citizenship; the transferee’s INS- ing any identification number provided issued alien number or admission num- by the system. ber; the transferee’s State of residence; (4) The licensee shall identify the and certification by the transferee that firearm to be transferred by listing on the transferee is not prohibited by the the Form 4473 the name of the manu- Act from transporting or shipping a facturer, the name of the importer (if firearm in interstate or foreign com- any), the type, model, caliber or gauge, merce or receiving a firearm which has and the serial number of the firearm. been shipped or transported in inter- (5) The licensee shall sign and date state or foreign commerce or pos- the form if the licensee does not know sessing a firearm in or affecting com- or have reasonable cause to believe merce. that the transferee is disqualified by (2) In order to facilitate the transfer law from receiving the firearm and of a firearm and enable NICS to verify transfer the firearm described on the the identity of the person acquiring the Form 4473. firearm, ATF Form 4473 also requests (d) Prior to making an over-the- certain optional information. This in- counter transfer of a shotgun or rifle formation includes the transferee’s so- under the provisions contained in cial security number. Such information § 478.96(c) to a nonlicensee who is not a may help avoid the possibility of the resident of the State in which the li- transferee being misidentified as a censee’s business premises is located, felon or other prohibited person. the licensee so transferring the shot- (3) After the transferee has executed gun or rifle, and such transferee, shall the Form 4473, the licensee: comply with the requirements of para- (i) Shall verify the identity of the graph (c) of this section: Provided, That transferee by examining the identifica- in the case of a transferee who is an tion document (as defined in § 478.11) alien legally in the United States, the presented, and shall note on the Form documentation required by paragraph 4473 the type of identification used; (c)(3)(ii) of this section need only es- (ii) Shall, in the case of a transferee tablish that the transferee is a resident who is an alien legally in the United of any State and has resided in such

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State continuously for at least 90 days merce; and the transferee’s receipt of prior to the transfer of the firearm. Ex- the firearm would not be in violation of amples of acceptable documentation any statute of the State or published include utility bills or a lease agree- ordinance applicable to the locality in ment. The licensee shall note on the which the transferee resides. Upon re- form the documentation used. ceipt of such Forms 4473, the licensee (e) Prior to making a transfer of a shall identify the firearm to be trans- firearm to any nonlicensee who is not a ferred by listing in the Forms 4473 the resident of the State in which the li- name of the manufacturer, the name of censee’s business premises is located, the importer (if any), the type, model, and such nonlicensee is acquiring the caliber or gauge, and the serial number firearm by loan or rental from the li- of the firearm to be transferred. The licensee for temporary use for lawful censee shall prior to shipment or deliv- sporting purposes, the licensed im- ery of the firearm to such transferee, porter, licensed manufacturer, or li- forward by registered or certified mail censed dealer so furnishing the firearm, (return receipt requested) a copy of the and such transferee, shall comply with Form 4473 to the principal law enforce- the provisions of paragraph (c) of this ment officer named in the Form 4473 by section, except for the provisions of the transferee, and shall delay ship- paragraph (c)(3)(ii). ment or delivery of the firearm to the (f) Form 4473 shall be submitted, in transferee for a period of at least 7 duplicate, to a licensed importer, li- days following receipt by the licensee censed manufacturer, or licensed deal- of the return receipt evidencing deliver by a transferee who is purchasing or ery of the copy of the Form 4473 to otherwise acquiring a firearm by other such principal law enforcement officer, than an over-the-counter transaction, or the return of the copy of the Form who is not subject to the provisions of 4473 to the licensee due to the refusal § 478.102(a), and who is a resident of the of such principal law enforcement offi- State in which the licensee’s business cer to accept same in accordance with premises are located. The Form 4473 U.S. Postal Service regulations. The shall show the name, address, date and original Form 4473, and evidence of re- place of birth, height, weight, and race ceipt or rejection of delivery of the of the transferee; and the title, name, copy of the Form 4473 sent to the prin- and address of the principal law en- cipal law enforcement officer, shall be forcement officer of the locality to retained by the licensee as a part of the which the firearm will be delivered. records required to be kept under this The transferee also must date and exe- subpart. cute the sworn statement contained on the form showing, in case the firearm (g) A licensee who sells or otherwise to be transferred is a firearm other disposes of a firearm to a nonlicensee than a shotgun or rifle, the transferee who is other than an individual, shall is 21 years or more of age; in case the obtain from the transferee the informa- firearm to be transferred is a shotgun tion required by this section from an or rifle, the transferee is 18 years or individual authorized to act on behalf more of age; whether the transferee is of the transferee. In addition, the li- a citizen of the United States; the censee shall obtain from the individual transferee’s State of residence, and in acting on behalf of the transferee a the case of a transferee who is an alien written statement, executed under the legally in the United States, the trans- penalties of perjury, that the firearm is feree has resided in that State continu- being acquired for the use of and will ously for at least 90 days prior to the be the property of the transferee, and transfer of the firearm; the transferee showing the name and address of that is not prohibited by the provisions of transferee. the Act from shipping or transporting (h) The requirements of this section a firearm in interstate or foreign com- shall be in addition to any other rec- merce or receiving a firearm which has ordkeeping requirement contained in been shipped or transported in inter- this part. state or foreign commerce or pos- (i) A licensee may obtain, upon re- sessing a firearm in or affecting com- quest, an emergency supply of Forms

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4473 from any Director of Industry Op- required acquisition information re- erations. For normal usage, a licensee garding the firearm on the Form should request a year’s supply from the 4473(LV) at the time such transfer or ATF Distribution Center (See § 478.21). disposition is made. The record on (Paragraph (c) approved by the Office of Form 4473(LV) shall show the date of Management and Budget under control num- receipt, the name and address or the bers 1140–0045, 1140–0020, and 1140–0060; para- name and license number of the person graph (f) approved by the Office of Manage- from whom received, the name of the ment and Budget under control number 1140– manufacturer and importer (if any), 0021; all other recordkeeping approved by the the model, serial number, type, and Office of Management and Budget under con- caliber or gauge of the firearm. trol number 1140–0020) (c) Each licensed dealer maintaining [33 FR 18555, Dec. 14, 1968, as amended by firearms acquisition and disposition T.D. ATF–172, 49 FR 14942, Apr. 16, 1984; T.D. records pursuant to this section shall ATF–241, 51 FR 39625, Oct. 29, 1986; T.D. ATF– 270, 53 FR 10502, Mar. 31, 1988; T.D. ATF–389, retain Form 4473(LV), Part I or II, re- 62 FR 19444, Apr. 21, 1997; T.D. ATF–415, 63 FR flecting firearms possessed by such 58279, Oct. 29, 1998; T.D. ATF–471, 67 FR 5426, business in chronological (by date of Feb. 5, 2002; ATF–11F, 73 FR 57241, Oct. 2, receipt) or numerical (by transaction 2008] serial number) order. Forms 4473(LV) reflecting the licensee’s sale or disposi- § 478.124a Firearms transaction record tion of firearms shall be retained in al- in lieu of record of receipt and dis- phabetical (by name of purchaser), position. chronological (by date of disposition) (a) A licensed dealer acquiring fire- or numerical (by transaction serial arms after August 1, 1988 and contem- number) order. plating the disposition of not more (d) A licensed dealer maintaining than 50 firearms within a succeeding records pursuant to this section shall 12-month period to licensees or non- record the sale or other disposition of a licensees may maintain a record of the firearm to another licensee by entering acquisition and disposition of such fire- on the Form 4473(LV), Part I, associ- arms on a firearms transaction record, ated with such firearm, the name and Form 4473(LV), Part I or II, in lieu of license number of the person to whom the records prescribed by § 478.125. Such transferred and by signing and dating 12-month period shall commence from the form. the date the licensed dealer first records the purchase or other acquisi- (e) A licensed dealer shall obtain the tion of a firearm on Form 4473(LV) pur- Form 4473(LV), Part I, associated with suant to this section. A licensed dealer the firearm in lieu of a Form 4473 and who maintains records pursuant to this comply with the requirements specified section, but whose firearms disposi- in § 478.124(c) prior to making an over- tions exceed 50 firearms within such 12- the-counter transfer of a firearm to a month period, shall make and maintain nonlicensee: the acquisition and disposition records (1) Who is a resident of the State in required by § 478.125 with respect to which the licensee’s business premises each firearm exceeding 50. is located, (b) Each licensed dealer maintaining (2) Who is not a resident of the State firearms acquisition and disposition in which the licensee’s business prem- records pursuant to this section shall ises is located and the firearm is a record the purchase or other acquisi- shotgun or rifle and the transfer is tion of a firearm on Form 4473(LV), under the provisions of § 478.96(c), or Part I or II, in accordance with the in- (3) Who is not a resident of the State structions on the form not later than in which the licensee’s business prem- the close of the next business day fol- ises is located and who is acquiring the lowing the date of such purchase or ac- firearm by loan or rental for temporary quisition. However, when disposition is use for lawful sporting purposes. made of a firearm before the close of (f) A licensed dealer shall obtain the the next business day after the receipt Form 4473(LV), Part II, associated with of that firearm, the licensed dealer the firearm in lieu of a Form 4473 and making such disposition shall enter all comply with the requirements specified

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in § 478.124(f) prior to making a disposi- sale or other disposition of armor tion of a firearm to a nonlicensee who piercing ammunition by licensed col- is purchasing or otherwise acquiring a lectors shall be recorded in a bound firearm by other than an over-the- record at the time a transaction is counter transaction and who is a resi- made. The bound record shall be main- dent of the State in which the licens- tained in chronological order by date of ee’s business premises is located. If the sale or disposition of the armor pierc- licensee’s record of the acquisition of ing ammunition, and shall be retained the firearm is, at the time of the dis- on the licensed premises of the licensee position, being maintained on a Form for a period not less than two years fol- 4473(LV), Part I, for over-the-counter lowing the date of the recorded sale or transactions, the licensee shall trans- disposition of the armor piercing am- fer the information relative to the re- munition. The bound record entry shall ceipt of the firearm, as required by show: paragraph (b) of this section, to Form (1) The date of the transaction; 4473(LV), Part II. The corresponding form 4473(LV), Part I, may then be de- (2) The name of the manufacturer; stroyed. (3) The caliber or gauge; (4) The quantity of projectiles; [T.D. ATF–273, 53 FR 24687, June 30, 1988, as (5) The name, address, and date of amended by T.D. ATF–415, 63 FR 58280, Oct. 29, 1998] birth of the nonlicensee; and (6) The method used to establish the § 478.125 Record of receipt and dis- identity of the armor piercing ammu- position. nition purchaser. (a) Armor piercing ammunition sales by The format required for the bound licensed collectors to nonlicensees. The record is as follows:

DISPOSITION RECORD OF ARMOR PIERCING AMMUNITION

Purchaser Enter a (x) in the ‘‘known’’ column if purchaser is personally known to Caliber or Quantity of pro- you. Otherwise, establish the pur- Date Manufacturer gauge jectiles Name and Date of chaser’s identification address birth Driver’s li- Other type Known cense (specify)

However, when a commercial record is and shall show the name of the manu- made at the time a transaction is facturer, the caliber or gauge, the made, a licensee may delay making an quantity, the name and address of the entry into the bound record if the pro- entity to which the armor piercing am- visions of paragraph (d) of this section munition was transferred, and the date are complied with. of the transaction. Such information (b) Armor piercing ammunition sales by shall be recorded under the format pre- licensed collectors to licensees. Sales or scribed by § 478.122(b). Each licensed other dispositions of armor piercing dealer disposing of armor piercing am- ammunition from a licensed collector munition pursuant to § 478.99(e) shall to another licensee shall be recorded also maintain a record showing the and maintained in the manner pre- date of acquisition of such ammunition scribed in § 478.122(b) for importers: Pro- which shall be filed in an orderly man- vided, That the license number of the ner separate from other commercial transferee may be recorded in lieu of records maintained and be readily the transferee’s address. available for inspection. The records (c) Armor piercing ammunition sales by required by this paragraph shall be re- licensed dealers to governmental entities. tained on the licensed premises of the A record of armor piercing ammunition licensee for a period not less than two disposed of by a licensed dealer to a years following the date of the re- governmental entity pursuant to § 478.99(e) shall be maintained by the li- corded sale or disposition of the armor censed dealer on the licensed premises piercing ammunition.

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(d) Commercial records of armor pierc- tion, be recorded not later than the ing ammunition transactions. When a close of the next business day following commercial record is made at the time the date of such purchase or acquisi- of sale or other disposition of armor tion. The record shall show the date of piercing ammunition, and such record receipt, the name and address or the contains all information required by name and license number of the person the bound record prescribed by para- from whom received, the name of the graph (a) of this section, the licensed manufacturer and importer (if any), collector transferring the armor pierc- the model, serial number, type, and the ing ammunition may, for a period not caliber or gauge of the firearm. The exceeding 7 days following the date of sale or other disposition of a firearm such transfer, delay making the re- shall be recorded by the licensed dealer quired entry into such bound record: not later than 7 days following the date Provided, That the commercial record of such transaction. When such disposi- pertaining to the transfer is: tion is made to a nonlicensee, the fire- (1) Maintained by the licensed col- arms transaction record, Form 4473, ob- lector separate from other commercial tained by the licensed dealer shall be documents maintained by such li- retained, until the transaction is re- censee, and corded, separate from the licensee’s (2) Is readily available for inspection Form 4473 file and be readily available on the licensed premises until such for inspection. When such disposition is time as the required entry into the made to a licensee, the commercial bound record is made. record of the transaction shall be re- (e) Firearms receipt and disposition by tained, until the transaction is re- dealers. Except as provided in § 478.124a corded, separate from other commer- with respect to alternate records for cial documents maintained by the li- the receipt and disposition of firearms censed dealer, and be readily available by dealers, each licensed dealer shall for inspection. The record shall show enter into a record each receipt and the date of the sale or other disposition disposition of firearms. In addition, be- of each firearm, the name and address fore commencing or continuing a fire- of the person to whom the firearm is arms business, each licensed dealer transferred, or the name and license shall inventory the firearms possessed number of the person to whom trans- for such business and shall record same ferred if such person is a licensee, or in the record required by this para- the firearms transaction record, Form graph. The record required by this 4473, serial number if the licensed deal- paragraph shall be maintained in er transferring the firearm serially bound form under the format pre- numbers the Forms 4473 and files them scribed below. The purchase or other numerically. The format required for acquisition of a firearm shall, except as the record of receipt and disposition of provided in paragraph (g) of this sec- firearms is as follows:

FIREARMS ACQUISITION AND DISPOSITION RECORD

Description of firearm Receipt Disposition Address or license Manufacturer Name and No. if licensee, or and/or Im- Model Serial No. Type Caliber or Date address or Date Name Form 4473 Serial porter gauge name and No. if Forms 4473 license No. filed numerically

(f) Firearms receipt and disposition by acquisition of a curio or relic shall, ex- licensed collectors. Each licensed col- cept as provided in paragraph (g) of lector shall enter into a record each re- this section, be recorded not later than ceipt and disposition of firearms curios the close of the next business day fol- or relics. The record required by this lowing the date of such purchase or paragraph shall be maintained in other acquisition. The record shall bound form under the format pre- show the date of receipt, the name and scribed below. The purchase or other

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address or the name and license num- and note on the record the method ber of the person from whom received, used, and the name of the manufacturer and im- (2) In the case of a transferee who is porter (if any), the model, serial num- an alien legally in the United States ber, type, and the caliber or gauge of and who is other than a licensee— the firearm curio or relic. The sale or (i) Verify the identity of the trans- other disposition of a curio or relic feree by examining an identification shall be recorded by the licensed col- document (as defined in § 478.11), and lector not later than 7 days following (ii) Cause the transferee to present the date of such transaction. When documentation establishing that the such disposition is made to a licensee, transferee is a resident of the State (as the commercial record of the trans- defined in § 478.11) in which the licens- action shall be retained, until the ee’s business premises is located if the transaction is recorded, separate from firearm curio or relic is other than a other commercial documents main- shotgun or rifle, and note on the record tained by the licensee, and be readily the documentation used or is a resident available for inspection. The record of any State and has resided in such shall show the date of the sale or other State continuously for at least 90 days disposition of each firearm curio or prior to the transfer of the firearm if relic, the name and address of the per- the firearm curio or relic is a shotgun son to whom the firearm curio or relic or rifle and shall note on the record the is transferred, or the name and license documentation used. Examples of ac- number of the person to whom trans- ceptable documentation include utility ferred if such person is a licensee, and bills or a lease agreement which show the date of birth of the transferee if that the transferee has resided in the other than a licensee. In addition, the State continuously for at least 90 days licensee shall— prior to the transfer of the firearm (1) Cause the transferee, if other than curio or relic. a licensee, to be identified in any man- (3) The format required for the record ner customarily used in commercial of receipt and disposition of firearms transactions (e.g., a driver’s license), by collectors is as follows:

FIREARMS COLLECTORS ACQUISITION AND DISPOSITION RECORD

Description of firearm Receipt Disposition Name For trans- and ad- Name Driver’s li- fers to Manufacturer Caliber dress or and ad- Date of cense No. aliens, doc- and/or im- Model Serial Type or Date name Date dress or birth if or other umentation porter No. gauge and li- name and non- identification used to es- cense license licensee if non- tablish resi- No. No. licensee dency

(g) Commercial records of firearms re- exceeding 7 days following the date of ceived. When a commercial record is such acquisition, delay making the re- held by a licensed dealer or licensed quired entry into such bound record: collector showing the acquisition of a Provided, That the commercial record firearm or firearm curio or relic, and is, until such time as the required such record contains all acquisition in- entry into the bound record is made, (1) formation required by the bound record maintained by the licensed dealer or li- prescribed by paragraphs (e) and (f) of censed collector separate from other this section, the licensed dealer or li- commercial documents maintained by censed collector acquiring such firearm such licensee, and (2) readily available or curio or relic, may, for a period not for inspection on the licensed premises:

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Provided further, That when disposition § 478.125a Personal firearms collec- is made of a firearm or firearm curio or tion. relic not entered in the bound record (a) Notwithstanding any other provi- under the provisions of this paragraph, sion of this subpart, a licensed manu- the licensed dealer or licensed collector facturer, licensed importer, or licensed making such disposition shall enter all dealer is not required to comply with required acquisition information re- the provisions of § 478.102 or record on a garding the firearm or firearm curio or firearms transaction record, Form 4473, relic in the bound record at the time the sale or other disposition of a fire- such transfer or disposition is made. arm maintained as part of the licens- (h) Alternate records. Notwithstanding ee’s personal firearms collection: Pro- the provisions of paragraphs (a), (e), vided, That and (f) of this section, the Director of (1) The licensee has maintained the Industry Operations may authorize al- firearm as part of such collection for 1 ternate records to be maintained by a year from the date the firearm was licensed dealer or licensed collector to transferred from the business inven- record the acquisition and disposition tory into the personal collection or of firearms or curios or relics and the otherwise acquired as a personal firearm, disposition of armor piercing ammuni- (2) The licensee recorded in the bound tion when it is shown by the licensed record prescribed by § 478.125(e) the re- dealer or the licensed collector that ceipt of the firearm into the business such alternate records will accurately inventory or other acquisition, and readily disclose the required infor- (3) The licensee recorded the firearm mation. A licensed dealer or licensed as a disposition in the bound record collector who proposes to use alternate prescribed by § 478.125(e) when the fire- records shall submit a letter applica- arm was transferred from the business tion, in duplicate, to the Director of In- inventory into the personal firearms dustry Operations and shall describe collection or otherwise acquired as a the proposed alternate records and the personal firearm, and need therefor. Such alternate records (4) The licensee enters the sale or shall not be employed by the licensed other disposition of the firearm from dealer or licensed collector until ap- the personal firearms collection into a proval in such regard is received from bound record, under the format pre- the Director of Industry Operations. scribed below, identifying the firearm (i) Requirements for importers and man- transferred by recording the name of ufacturers. Each licensed importer and the manufacturer and importer (if licensed manufacturer selling or other- any), the model, serial number, type, wise disposing of firearms or armor and the caliber or gauge, and showing piercing ammunition to nonlicensees the date of the sale or other disposi- shall maintain such records of such tion, the name and address of the transactions as are required of licensed transferee, or the name and business dealers by this section. address of the transferee if such person is a licensee, and the date of birth of (Approved by the Office of Management and the transferee if other than a licensee. Budget under control number 1140–0032) In addition, the licensee shall cause the [T.D. ATF–270, 53 FR 10503, Mar. 31, 1988, as transferee, if other than a licensee, to amended by T.D. ATF–273, 53 FR 24687, June be identified in any manner custom- 30, 1988; T.D. ATF–313, 56 FR 32508, July 17, arily used in commercial transactions 1991; T.D. ATF–389, 62 FR 19445, Apr. 21, 1997; (e.g., a drivers license). The format re- ATF–11F, 73 FR 57241, Oct. 2, 2008] quired for the disposition record of personal firearms is as follows:

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DISPOSITION RECORD OF PERSONAL FIREARMS

Description of firearm Disposition Name and ad- Manufacturer and/ Caliber or dress (business Date of birth if non- or importer Model Serial No. Type gauge Date address if li- licensee censee)

(b) Any licensed manufacturer, li- proval in such regard is received from censed importer, or licensed dealer the Director of Industry Operations. selling or otherwise disposing of a fire- (Approved by the Office of Management and arm from the licensee’s personal fire- Budget under control number 1140–0032) arms collection under this section shall be subject to the restrictions imposed [33 FR 18555, Dec. 14, 1968. Redesignated at 40 by the Act and this part on the disposi- FR 16835, Apr. 15, 1975, and amended by T.D. tions of firearms by persons other than ATF–172, 49 FR 14942, Apr. 16, 1984; ATF–11F, 73 FR 57242, Oct. 2, 2008] licensed manufacturers, licensed importers, and licensed dealers. § 478.126a Reporting multiple sales or (Approved by the Office of Management and other disposition of pistols and re- Budget under control number 1140–0032) volvers. [T.D. ATF–270, 53 FR 10504, Mar. 31, 1988, as Each licensee shall prepare a report amended by T.D. ATF–313, 56 FR 32509, July of multiple sales or other disposition 17, 1991; T.D. ATF–415, 63 FR 58280, Oct. 29, whenever the licensee sells or other- 1998; ATF–11F, 73 FR 57242, Oct. 2, 2008] wise disposes of, at one time or during any five consecutive business days, two § 478.126 Furnishing transaction infor- or more pistols, or revolvers, or any mation. combination of pistols and revolvers (a) Each licensee shall, when required totaling two or more, to an unlicensed by letter issued by the Director of In- person: Provided, That a report need dustry Operations, and until notified to not be made where pistols or revolvers, the contrary in writing by such officer, or any combination thereof, are re- submit on Form 4483, Report of Fire- turned to the same person from whom arms Transactions, for the periods and they were received. The report shall be at the times specified in the letter prepared on Form 3310.4, Report of issued by the Director of Industry Op- Multiple Sale or Other Disposition of erations, all record information re- Pistols and Revolvers. Not later than quired by this subpart, or such lesser the close of business on the day that record information as the Director of the multiple sale or other disposition Industry Operations in his letter may occurs, the licensee shall forward two specify. copies of Form 3310.4 to the ATF office (b) The Director of Industry Oper- specified thereon and one copy to the ations may authorize the information State police or to the local law en- to be submitted in a manner other than forcement agency in which the sale or that prescribed in paragraph (a) of this other disposition took place. Where the section when it is shown by a licensee State or local law enforcement officials that an alternate method of reporting have notified the licensee that a par- is reasonably necessary and will not ticular official has been designated to unduly hinder the effective administra- receive Forms 3310.4, the licensee shall tion of this part. A licensee who pro- forward such forms to that designated poses to use an alternate method of re- official. The licensee shall retain one porting shall submit a letter applica- copy of Form 3310.4 and attach it to the tion, in duplicate, to the Director of In- firearms transaction record, Form 4473, dustry Operations and shall describe executed upon delivery of the pistols or the proposed alternate method of re- revolvers. porting and the need therefor. An al- Example. 1. A licensee sells a pistol and re- ternate method of reporting shall not volver in a single transaction to an unli- be employed by the licensee until ap- censed person. This is a multiple sale and

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must be reported not later than the close of § 478.128 False statement or represen- business on the date of the transaction. tation. Example. 2. A licensee sells a pistol on Mon- day and sells a revolver on the following Fri- (a) Any person who knowingly makes day to the same unlicensed person. This is a any false statement or representation multiple sale and must be reported not later in applying for any license or exemp- than the close of business on Friday. If the tion or relief from disability, under the licensee sells the same unlicensed person an- provisions of the Act, shall be fined not other pistol or revolver on the following more than $5,000 or imprisoned not Monday, this would constitute an additional more than 5 years, or both. multiple sale and must also be reported. (b) Any person other than a licensed Example 3. A licensee maintaining business manufacturer, licensed importer, li- hours on Monday through Saturday sells a revolver to an unlicensed person on Monday censed dealer, or licensed collector who and sells another revolver to the same per- knowingly makes any false statement son on the following Saturday. This does not or representation with respect to any constitute a multiple sale and need not be information required by the provisions reported since the sales did not occur during of the Act or this part to be kept in the five consecutive business days. records of a person licensed under the (Approved by the Office of Management and Act or this part shall be fined not more Budget under control number 1140–0003) than $5,000 or imprisoned not more than 5 years, or both. [T.D. ATF–16, 40 FR 19202, May 2, 1975, as (c) Any licensed manufacturer, li- amended by T.D. ATF–172, 49 FR 14942, Apr. 16, 1984; T.D. ATF–270, 53 FR 10505, Mar. 31, censed importer, licensed dealer, or li- 1988; T.D. ATF–354, 59 FR 7113, Feb. 14, 1994; censed collector who knowingly makes T.D. ATF–361, 60 FR 10787, Feb. 27, 1995; ATF– any false statement or representation 11F, 73 FR 57242, Oct. 2, 2008] with respect to any information required by the provisions of the Act or § 478.127 Discontinuance of business. this part to be kept in the records of a Where a licensed business is discon- person licensed under the Act or this tinued and succeeded by a new licensee, part shall be fined not more than $1,000 the records prescribed by this subpart or imprisoned not more than 1 year, or shall appropriately reflect such facts both. and shall be delivered to the successor. [T.D. ATF–270, 53 FR 10505, Mar. 31, 1988] Where discontinuance of the business is absolute, the records shall be delivered § 478.129 Record retention. within 30 days following the business (a) Records prior to Act. Licensed im- discontinuance to the ATF Out-of- porters and licensed manufacturers Business Records Center, 244 Needy may dispose of records of sale or other Road, Martinsburg, West Virginia disposition of firearms prior to Decem- 25405, or to any ATF office in the divi- ber 16, 1968. Licensed dealers and li- sion in which the business was located: censed collectors may dispose of all Provided, however, Where State law or records of firearms transactions that local ordinance requires the delivery of occurred prior to December 16, 1968. records to other responsible authority, (b) Firearms transaction record. Licens- the Chief, Federal Firearms Licensing ees shall retain each Form 4473 and Center may arrange for the delivery of Form 4473(LV) for a period of not less the records required by this subpart to than 20 years after the date of sale or such authority: Provided further, That disposition. Where a licensee has initi- where a licensed business is discon- ated a NICS check for a proposed fire- tinued and succeeded by a new licensee, arms transaction, but the sale, deliv- the records may be delivered within 30 ery, or transfer of the firearm is not days following the business discontinu- made, the licensee shall record any ance to the ATF Out-of-Business transaction number on the Form 4473, Records Center or to any ATF office in and retain the Form 4473 for a period of the division in which the business was not less than 5 years after the date of located. the NICS inquiry. Forms 4473 shall be [T.D. ATF–290, 54 FR 53055, Dec. 27, 1989, as retained in the licensee’s records as amended by T.D. ATF–363, 60 FR 17455, Apr. provided in § 478.124(b): Provided, That 6, 1995; ATF–11F, 73 FR 57242, Oct. 2, 2008] Forms 4473 with respect to which a

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sale, delivery or transfer did not take of not less than 5 years after the date place shall be separately retained in al- of sale or other disposition. phabetical (by name of transferee) or (Paragraph (b) approved by the Office of chronological (by date of transferee’s Management and Budget under control num- certification) order. ber 1512–0544; Paragraph (c) approved by the (c) Statement of intent to obtain a Office of Management and Budget under con- handgun, reports of multiple sales or trol numbers 1512–0520, 1512–0006, and 1512– 0524; Paragraph (f) approved by the Office of other disposition of pistols and revolvers, Management and Budget under control num- and reports of theft or loss of firearms. Li- ber 1512–0526; all other recordkeeping ap- censees shall retain each Form 5300.35 proved by the Office of Management and (Statement of Intent to Obtain a Hand- Budget under control number 1512–0129) gun(s)) for a period of not less than 5 [T.D. ATF–208, 50 FR 26704, June 28, 1985 and years after notice of the intent to ob- correctly designated at 50 FR 35081, Aug. 29, tain the handgun was forwarded to the 1985, as amended by T.D. ATF–273, 53 FR chief law enforcement officer, as de- 24687, June 30, 1988; T.D. ATF–361, 60 FR 10787, Feb. 27, 1995; T.D. ATF–363, 60 FR 17455, fined in § 478.150(c). Licensees shall re- Apr. 6, 1995; T.D. ATF–415, 63 FR 58280, Oct. tain each copy of Form 3310.4 (Report 29, 1998; T.D. ATF–426, 65 FR 38201, June 20, of Multiple Sale or Other Disposition 2000] of Pistols and Revolvers) for a period of not less than 5 years after the date of § 478.131 Firearms transactions not subject to a NICS check. sale or other disposition. Licensees shall retain each copy of Form 3310.11 (a)(1) A licensed importer, licensed (Federal Firearms Licensee Theft/Loss manufacturer, or licensed dealer whose Report) for a period of not less than 5 sale, delivery, or transfer of a firearm years after the date the theft or loss is made pursuant to the alternative provisions of § 478.102(d) and is not sub- was reported to ATF. ject to the NICS check prescribed by (d) Records of importation and manu- § 478.102(a) shall maintain the records facture. Licensees will maintain perma- required by paragraph (a) of this sec- nent records of the importation, manu- tion. facture, or other acquisition of fire- (2) If the transfer is pursuant to a arms, including ATF Forms 6 and 6A as permit or license in accordance with required by subpart G of this part. Li- § 478.102(d)(1), the licensee shall either censed importers’ records and licensed retain a copy of the purchaser’s permit manufacturers’ records of the sale or or license and attach it to the firearms other disposition of firearms after De- transaction record, Form 4473, or cember 15, 1968, shall be retained record on the firearms transaction through December 15, 1988, after which record, Form 4473, any identifying records of transactions over 20 years of number, the date of issuance, and the age may be discarded. expiration date (if provided) from the (e) Records of dealers and collectors permit or license. under the Act. The records prepared by (3) If the transfer is pursuant to a licensed dealers and licensed collectors certification by ATF in accordance under the Act of the sale or other dis- with §§ 478.102(d)(3) and 478.150, the li- position of firearms and the cor- censee shall maintain the certification as part of the records required to be responding record of receipt of such kept under this subpart and for the pe- firearms shall be retained through De- riod prescribed for the retention of cember 15, 1988, after which records of Form 5300.35 in § 478.129(c). transactions over 20 years of age may (b) The requirements of this section be discarded. shall be in addition to any other rec- (f) Retention of records of transactions ordkeeping requirements contained in in semiautomatic assault weapons. The this part. documentation required by §§ 478.40(c) and 478.132 shall be retained in the li- (Approved by the Office of Management and Budget under control number 1140–0045) censee’s permanent records for a period [T.D. ATF–415, 63 FR 58280, Oct. 29, 1998, as amended by ATF–11F, 73 FR 57242, Oct. 2, 2008]

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§ 478.132 Dispositions of semiauto- acquired for personal use or for pur- matic assault weapons and large ca- poses of transfer or resale. pacity ammunition feeding devices to law enforcement officers for offi- (Approved by the Office of Management and cial use and to employees or con- Budget under control number 1140–0041) tractors of nuclear facilities. [T.D. ATF–396, 63 FR 12646, Mar. 16, 1998, as Licensed manufacturers, licensed im- amended by ATF–11F, 73 FR 57242, Oct. 2, porters, and licensed dealers in semi- 2008] automatic assault weapons, as well as § 478.133 Records of transactions in persons who manufacture, import, or semiautomatic assault weapons. deal in large capacity ammunition feeding devices, may transfer such The evidence specified in § 478.40(c), weapons and devices manufactured relating to transactions in semiauto- after September 13, 1994, to law en- matic assault weapons, shall be re- forcement officers and to employees or tained in the permanent records of the contractors of nuclear facilities with manufacturer or dealer and in the the following documentation: records of the licensee to whom the weapons are transferred. (a) Law enforcement officers. (1) A written statement from the purchasing (Approved by the Office of Management and officer, under penalty of perjury, stat- Budget under control number 1140–0041) ing that the weapon or device is being [T.D. ATF–363, 60 FR 17455, Apr. 6, 1995, as purchased for use in performing official amended by ATF–11F, 73 FR 57242, Oct. 2, duties and that the weapon or device is 2008] not being acquired for personal use or for purposes of transfer or resale; and § 478.134 Sale of firearms to law en- (2) A written statement from a super- forcement officers. visor of the purchasing officer, on (a) Law enforcement officers pur- agency letterhead, under penalty of chasing firearms for official use who perjury, stating that the purchasing of- provide the licensee with a certifi- ficer is acquiring the weapon or device cation on agency letterhead, signed by for use in official duties, that the fire- a person in authority within the agen- arm is suitable for use in performing cy (other than the officer purchasing official duties, and that the weapon or the firearm), stating that the officer device is not being acquired for per- will use the firearm in official duties sonal use or for purposes of transfer or and that a records check reveals that resale. the purchasing officer has no convic- (b) Employees or contractors of nuclear tions for misdemeanor crimes of do- facilities. (1) Evidence that the em- mestic violence are not required to ployee is employed by a nuclear facil- complete Form 4473 or Form 5300.35. ity licensed pursuant to 42 U.S.C. 2133 The law enforcement officer pur- or evidence that the contractor has a chasing the firearm may purchase a valid contract with such a facility. firearm from a licensee in another (2) A written statement from the pur- State, regardless of where the officer chasing employee or contractor under resides or where the agency is located. penalty of perjury, stating that the (b)(1) The following individuals are weapon or device is being purchased for considered to have sufficient authority one of the purposes authorized in to certify that law enforcement offi- §§ 478.40(b)(7) and 478.40(b)(3), i.e., on- cers purchasing firearms will use the site physical protection, on-site or off- firearms in the performance of official site training, or off-site transportation duties: of nuclear materials. (i) In a city or county police depart- (3) A written statement from a super- ment, the director of public safety or visor of the purchasing employee or the chief or commissioner of police. contractor, on agency or company let- (ii) In a sheriff’s office, the sheriff. terhead, under penalty of perjury, stat- (iii) In a State police or highway pa- ing that the purchasing employee or trol department, the superintendent or contractor is acquiring the weapon or the supervisor in charge of the office to device for use in official duties, and which the State officer or employee is that the weapon or device is not being assigned.

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(iv) In Federal law enforcement of- firearm or ammunition determined by fices, the supervisor in charge of the of- the Director to be generally recognized fice to which the Federal officer or em- as particularly suitable for sporting ployee is assigned. purposes and intended for the personal (2) An individual signing on behalf of use of such member or club. Before the person in authority is acceptable, making a shipment of firearms or am- provided there is a proper delegation of munition under the provisions of this authority. paragraph, a licensed importer, li- (c) Licensees are not required to pre- censed manufacturer, or licensed deal- pare a Form 4473 or Form 5300.35 cover may submit a written request, in du- ering sales of firearm made in accord- plicate, to the Director for a deter- ance with paragraph (a) of this section mination by the Director whether such to law enforcement officers for official shipment would constitute a violation use. However, disposition to the officer of the Act or any other Federal law, or must be entered into the licensee’s per- whether the firearm or ammunition is manent records, and the certification considered by the Director to be gen- letter must be retained in the licens- erally recognized as particularly suit- ee’s files. able for sporting purposes. (d) The transportation, shipment, re- [T.D. ATF–401, 63 FR 35523, June 30, 1998] ceipt, possession, or importation of any antique firearm. Subpart I—Exemptions, Seizures, and Forfeitures [33 FR 18555, Dec. 14, 1968. Redesignated at 40 FR 10835, Apr. 15, 1975, and amended by T.D. § 478.141 General. ATF–241, 51 FR 39628, Oct. 29, 1986; T.D. ATF– 270, 53 FR 10505, Mar. 31, 1988; T.D. ATF–313, With the exception of §§ 478.32(a)(9) 56 FR 32509, July 17, 1991; T.D. ATF–401, 63 and (d)(9) and 478.99(c)(9), the provi- FR 35523, June 30, 1998] sions of this part shall not apply with respect to: § 478.142 Effect of pardons and (a) The transportation, shipment, re- expunctions of convictions. ceipt, possession, or importation of any (a) A pardon granted by the Presi- firearm or ammunition imported for, dent of the United States regarding a sold or shipped to, or issued for the use Federal conviction for a crime punish- of, the United States or any depart- able by imprisonment for a term ex- ment or agency thereof or any State or ceeding 1 year shall remove any dis- any department, agency, or political ability which otherwise would be im- subdivision thereof. posed by the provisions of this part (b) The shipment or receipt of fire- with respect to that conviction. arms or ammunition when sold or (b) A pardon granted by the Governor issued by the Secretary of the Army of a State or other State pardoning au- pursuant to section 4308 of Title 10, thority or by the pardoning authority U.S.C., and the transportation of any of a foreign jurisdiction with respect to such firearm or ammunition carried a conviction, or any expunction, rever- out to enable a person, who lawfully re- sal, setting aside of a conviction, or ceived such firearm or ammunition other proceeding rendering a convic- from the Secretary of the Army, to en- tion nugatory, or a restoration of civil gage in military training or in com- rights shall remove any disability petitions. which otherwise would be imposed by (c) The shipment, unless otherwise the provisions of this part with respect prohibited by the Act or any other Fed- to the conviction, unless: eral law, by a licensed importer, li- (1) The pardon, expunction, setting censed manufacturer, or licensed deal- aside, or other proceeding rendering a er to a member of the U.S. Armed conviction nugatory, or restoration of Forces on active duty outside the civil rights expressly provides that the United States or to clubs, recognized person may not ship, transport, possess by the Department of Defense, whose or receive firearms; or entire membership is composed of such (2) The pardon, expunction, setting members of the U.S. Armed Forces, and aside, or other proceeding rendering a such members or clubs may receive a conviction nugatory, or restoration of

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civil rights did not fully restore the (2) Written consent to examine and rights of the person to possess or re- obtain copies of records and to receive ceive firearms under the law of the ju- statements and information regarding risdiction where the conviction oc- the applicant’s background, including curred. records, statements and other informa- [T.D. ATF–270, 53 FR 10505, Mar. 31, 1988] tion concerning employment, medical history, military service, and criminal § 478.143 Relief from disabilities in- record; curred by indictment. (3) In the case of an applicant under A licensed importer, licensed manu- indictment, a copy of the indictment or facturer, licensed dealer, or licensed information; collector who is indicted for a crime (4) In the case of an applicant having punishable by imprisonment for a term been convicted of a crime punishable exceeding 1 year may, notwithstanding by imprisonment for a term exceeding any other provision of the Act, con- 1 year, a copy of the indictment or in- tinue operations pursuant to his exist- formation on which the applicant was ing license during the term of such in- convicted, the judgment of conviction dictment and until any conviction pur- or record of any plea of nolo suant to the indictment becomes final: contendere or plea of guilty or finding Provided, That if the term of the li- of guilt by the court, and any pardon, cense expires during the period be- expunction, setting aside or other tween the date of the indictment and record purporting to show that the the date the conviction thereunder be- conviction was rendered nugatory or comes final, such importer, manufac- that civil rights were restored; turer, dealer, or collector must file a (5) In the case of an applicant who timely application for the renewal of has been adjudicated a mental defec- his license in order to continue oper- tive or committed to a mental institu- ations. Such application shall show tion, a copy of the order of a court, that the applicant is under indictment board, commission, or other lawful au- for a crime punishable by imprison- thority that made the adjudication or ment for a term exceeding 1 year. ordered the commitment, any petition § 478.144 Relief from disabilities under that sought to have the applicant so the Act. adjudicated or committed, any medical records reflecting the reasons for com- (a) Any person may make application mitment and diagnoses of the appli- for relief from the disabilities under section 922 (g) and (n) of the Act (see cant, and any court order or finding of § 478.32). a court, board, commission, or other (b) An application for such relief lawful authority showing the appli- shall be filed, in triplicate, with the Di- cant’s discharge from commitment, rector. It shall include the information restoration of mental competency and required by this section and such other the restoration of rights; supporting data as the Director and the (6) In the case of an applicant who applicant deem appropriate. has been discharged from the Armed (c) Any record or document of a court Forces under dishonorable conditions, or other government entity or official a copy of the applicant’s summary of required by this paragraph to be fur- service record (Department of Defense nished by an applicant in support of an Form 214), charge sheet (Department of application for relief shall be certified Defense Form 458), and final court mar- by the court or other government enti- tial order; ty or official as a true copy. An appli- (7) In the case of an applicant who, cation shall include: having been a citizen of the United (1) In the case of an applicant who is States, has renounced his or her citi- an individual, a written statement zenship, a copy of the formal renunci- from each of 3 references, who are not ation of nationality before a diplo- related to the applicant by blood or matic or consular officer of the United marriage and have known the appli- States in a foreign state or before an cant for at least 3 years, recommending officer designated by the Attorney the granting of relief; General when the United States was in

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a state of war (see 8 U.S.C. 1481(a) (5) REGISTER, together with the reasons and (6)); and therefor. (8) In the case of an applicant who (h) A person who has been granted re- has been convicted of a misdemeanor lief under this section shall be relieved crime of domestic violence, a copy of of any disabilities imposed by the Act the indictment or information on with respect to the acquisition, receipt, which the applicant was convicted, the transfer, shipment, transportation, or judgment of conviction or record of possession of firearms or ammunition any plea of nolo contendere or plea of and incurred by reason of such dis- guilty or finding of guilt by the court, ability. and any pardon, expunction, setting (i)(1) A licensee who incurs disabil- aside or other record purporting to ities under the Act (see § 478.32(a)) dur- show that the conviction was rendered ing the term of a current license or nugatory or that civil rights were re- while the licensee has pending a license stored. renewal application, and who files an (d) The Director may grant relief to application for removal of such disabil- an applicant if it is established to the ities, shall not be barred from licensed satisfaction of the Director that the operations for 30 days following the circumstances regarding the disability, date on which the applicant was first and the applicant’s record and reputa- subject to such disabilities (or 30 days tion, are such that the applicant will after the date upon which the convic- not be likely to act in a manner dan- tion for a crime punishable by impris- gerous to public safety, and that the onment for a term exceeding 1 year be- granting of the relief would not be con- comes final), and if the licensee files trary to the public interest. The Direc- the application for relief as provided by tor will not ordinarily grant relief if this section within such 30-day period, the applicant has not been discharged the licensee may further continue li- from parole or probation for a period of censed operations during the pendency at least 2 years. Relief will not be granted to an applicant who is prohib- of the application. A licensee who does ited from possessing all types of fire- not file such application within such arms by the law of the State where 30-day period shall not continue li- such applicant resides. censed operations beyond 30 days fol- (e) In addition to meeting the re- lowing the date on which the licensee quirements of paragraph (d) of this sec- was first subject to such disabilities (or tion, an applicant who has been adju- 30 days from the date the conviction dicated a mental defective or com- for a crime punishable by imprison- mitted to a mental institution will not ment for a term exceeding 1 year be- be granted relief unless the applicant comes final). was subsequently determined by a (2) In the event the term of a license court, board, commission, or other law- of a person expires during the 30-day ful authority to have been restored to period specified in paragraph (i)(1) of mental competency, to be no longer this section, or during the pendency of suffering from a mental disorder, and the application for relief, a timely ap- to have had all rights restored. plication for renewal of the license (f) Upon receipt of an incomplete or must be filed in order to continue li- improperly executed application for re- censed operations. Such license appli- lief, the applicant shall be notified of cation shall show that the applicant is the deficiency in the application. If the subject to Federal firearms disabilities, application is not corrected and re- shall describe the event giving rise to turned within 30 days following the such disabilities, and shall state when date of notification, the application the disabilities were incurred. shall be considered as having been (3) A licensee shall not continue li- abandoned. censed operations beyond 30 days fol- (g) Whenever the Director grants re- lowing the date the Director issues no- lief to any person pursuant to this sec- tification that the licensee’s application, a notice of such action shall be tions for removal of disabilities has promptly published in the FEDERAL been denied.

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(4) When as provided in this para- manufacturer, or licensed dealer for graph a licensee may no longer con- any lawful purpose, and, notwith- tinue licensed operations, any applica- standing any other provision of this tion for renewal of license filed by the part, the licensed manufacturer, li- licensee during the pendency of the ap- censed importer, or licensed dealer plication for removal of disabilities may return in interstate or foreign shall be denied by the Director of In- commerce to that person the firearm dustry Operations. or a replacement firearm of the same kind and type. See § 478.124(a) for re- [T.D. ATF–270, 53 FR 10506, Mar. 31, 1988, as quirements of a Form 4473 prior to re- amended by T.D. ATF–313, 56 FR 32509, July 17, 1991; 56 FR 43649, Sept. 3, 1991; T.D. ATF– turn. A person not otherwise prohib- 401, 63 FR 35523, June 30, 1998] ited by Federal, State or local law may ship a firearm curio or relic to a li- § 478.145 Research organizations. censed collector for any lawful purpose, and, notwithstanding any other provi- The provisions of § 478.98 with respect sion of this part, the licensed collector to the sale or delivery of destructive may return in interstate or foreign devices, machine guns, short-barreled commerce to that person the firearm shotguns, and short-barreled rifles curio or relic. shall not apply to the sale or delivery of such devices and weapons to any re- [T.D. ATF–270, 53 FR 10507, Mar. 31, 1988] search organization designated by the Director to receive same. A research § 478.148 Armor piercing ammunition organization desiring such designation intended for sporting or industrial purposes. shall submit a letter application, in duplicate, to the Director. Such applica- The Director may exempt certain tion shall contain the name and ad- armor piercing ammunition from the dress of the research organization, the requirements of this part. A person names and addresses of the persons di- who desires to obtain an exemption recting or controlling, directly or indi- under this section for any such ammu- rectly, the policies and management of nition which is primarily intended for such organization, the nature and pur- sporting purposes or intended for in- pose of the research being conducted, a dustrial purposes, including charges description of the devices and weapons used in oil and gas well perforating de- to be received, and the identity of the vices, shall submit a written request to person or persons from whom such de- the Director. Each request shall be exe- vices and weapons are to be received. cuted under the penalties of perjury and contain a complete and accurate [T.D. ATF–270, 53 FR 10507, Mar. 31, 1988] description of the ammunition, the name and address of the manufacturer § 478.146 Deliveries by mail to certain or importer, the purpose of and use for persons. which it is designed and intended, and The provisions of this part shall not any photographs, diagrams, or draw- be construed as prohibiting a licensed ings as may be necessary to enable the importer, licensed manufacturer, or li- Director to make a determination. The censed dealer from depositing a firearm Director may require that a sample of for conveyance in the mails to any offi- the ammunition be submitted for ex- cer, employee, agent, or watchman amination and evaluation. who, pursuant to the provisions of sec- [T.D. ATF–270, 53 FR 10507, Mar. 31, 1988] tion 1715 of title 18, U.S.C., is eligible to receive through the mails pistols, § 478.149 Armor piercing ammunition revolvers, and other firearms capable manufactured or imported for the of being concealed on the person, for purpose of testing or experimen- use in connection with his official du- tation. ties. The provisions of §§ 478.37 and 478.99(d) with respect to the manufac- § 478.147 Return of firearm. ture or importation of armor piercing A person not otherwise prohibited by ammunition and the sale or delivery of Federal, State or local law may ship a armor piercing ammunition by manu- firearm to a licensed importer, licensed facturers and importers shall not apply

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to the manufacture, importation, sale utility companies regarding the ab- or delivery of armor piercing ammuni- sence of telecommunications facilities tion for the purpose of testing or ex- in the geographical area in which the perimentation as authorized by the Di- licensee’s business premises are lo- rector. A person desiring such author- cated. ization to receive armor piercing am- (c) For purposes of this section and munition shall submit a letter applica- § 478.129(c), the ‘‘chief law enforcement tion, in duplicate, to the Director. officer’’ means the chief of police, the Such application shall contain the sheriff, or an equivalent officer or the name and addresses of the persons di- designee of any such individual. recting or controlling, directly or indirectly, the policies and management of (Approved by the Office of Management and the applicant, the nature or purpose of Budget under control number 1140–0045) the testing or experimentation, a de- [T.D. ATF–415, 63 FR 58280, Oct. 29, 1998, as scription of the armor piercing ammu- amended by ATF–11F, 73 FR 57242, Oct. 2, nition to be received, and the identity 2008] of the manufacturer or importer from whom such ammunition is to be re- § 478.151 Semiautomatic rifles or shot- ceived. The approved application shall guns for testing or experimentation. be submitted to the manufacturer or importer who shall retain a copy as (a) The provisions of § 478.39 shall not part of the records required by subpart apply to the assembly of semiauto- H of this part. matic rifles or shotguns for the purpose of testing or experimentation as au- [T.D. ATF–270, 53 FR 10507, Mar. 31, 1988] thorized by the Director. § 478.150 Alternative to NICS in cer- (b) A person desiring authorization to tain geographical locations. assemble nonsporting semiautomatic (a) The provisions of § 478.102(d)(3) rifles or shotguns shall submit a writ- shall be applicable when the Director ten request, in duplicate, to the Direc- has certified that compliance with the tor. Each such request shall be exe- provisions of § 478.102(a)(1) is impracti- cuted under the penalties of perjury cable because: and shall contain a complete and accu- (1) The ratio of the number of law en- rate description of the firearm to be as- forcement officers of the State in sembled, and such diagrams or draw- which the transfer is to occur to the ings as may be necessary to enable the number of square miles of land area of Director to make a determination. The the State does not exceed 0.0025; Director may require the submission of (2) The business premises of the li- the firearm parts for examination and censee at which the transfer is to occur evaluation. If the submission of the are extremely remote in relation to the firearm parts is impractical, the person chief law enforcement officer; and requesting the authorization shall so (3) There is an absence of tele- advise the Director and designate the communications facilities in the geo- place where the firearm parts will be graphical area in which the business available for examination and evalua- premises are located. tion. (b) A licensee who desires to obtain a certification under this section shall (Paragraph (b) approved by the Office of submit a written request to the Direc- Management and Budget under control num- tor. Each request shall be executed ber 1140–0037) under the penalties of perjury and con- [T.D. ATF–346, 58 FR 40590, July 29, 1993, as tain information sufficient for the Di- amended by ATF–11F, 73 FR 57242, Oct. 2, rector to make such certification. Such 2008] information shall include statistical data, official reports, or other state- § 478.152 Seizure and forfeiture. ments of government agencies per- (a) Any firearm or ammunition in- taining to the ratio of law enforcement officers to the number of square miles volved in or used in any knowing viola- of land area of a State and statements tion of subsections (a)(4), (a)(6), (f), (g), of government agencies and private (h), (i), (j), or (k) of section 922 of the

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Act, or knowing importation or bring- (2) Any offense punishable under the ing into the United States or any pos- Controlled Substances Act (21 U.S.C. session thereof any firearm or ammuni- 801 et seq.) or the Controlled Substances tion in violation of section 922(l) of the Import and Export Act (21 U.S.C. 951 et Act, or knowing violation of section 924 seq.); of the Act, or willful violation of any (3) Any offense described in section other provision of the Act or of this 922(a)(1), 922(a)(3), 922(a)(5), or 922(b)(3) part, or any violation of any other of the Act, where the firearm or ammu- criminal law of the United States, or nition intended to be used in such of- any firearm or ammunition intended to fense is involved in a pattern of activi- be used in any offense referred to in ties which includes a violation of any paragraph (c) of this section, where offense described in section 922(a)(1), such intent is demonstrated by clear 922(a)(3), 922(a)(5), or 922(b)(3) of the and convincing evidence, shall be sub- Act; ject to seizure and forfeiture, and all (4) Any offense described in section provisions of the Internal Revenue 922(d) of the Act where the firearm or Code of 1986 relating to the seizure, for- ammunition is intended to be used in feiture, and disposition of firearms, as such offense by the transferor of such defined in section 5845(a) of that Code, firearm or ammunition; shall, so far as applicable, extend to (5) Any offense described in section seizures and forfeitures under the pro- 922(i), 922(j), 922(l), 922(n), or 924(b) of visions of the Act: Provided, That upon the Act; and acquittal of the owner or possessor, or (6) Any offense which may be pros- dismissal of the charges against such ecuted in a court of the United States person other than upon motion of the which involves the exportation of fire- Government prior to trial, or lapse of arms or ammunition. or court termination of the restraining [T.D. ATF–270, 53 FR 10507, Mar. 31, 1988; Re- order to which he is subject, the seized designated by T.D. ATF–354, 59 FR 7114, Feb. or relinquished firearms or ammuni- 14, 1994, and further redesignated by T.D. tion shall be returned forthwith to the ATF–361, 60 FR 10788, Feb. 27, 1995; T.D. ATF– owner or possessor or to a person dele- 363, 60 FR 17455, Apr. 6, 1995] gated by the owner or possessor unless § 478.153 Semiautomatic assault weap- the return of the firearms or ammuni- ons and large capacity ammunition tion would place the owner or possessor feeding devices manufactured or or the delegate of the owner or pos- imported for the purposes of testing sessor in violation of law. Any action or experimentation. or proceeding for the forfeiture of fire- The provisions of § 478.40 with respect arms or ammunition shall be com- to the manufacture, transfer, or posses- menced within 120 days of such seizure. sion of a semiautomatic assault weap- (b) Only those firearms or quantities on, and § 478.40a with respect to large of ammunition particularly named and capacity ammunition feeding devices, individually identified as involved in or shall not apply to the manufacture, used in any violation of the provisions transfer, or possession of such weapons of the Act or this part, or any other or devices by a manufacturer or im- criminal law of the United States or as porter for the purposes of testing or ex- intended to be used in any offense re- perimentation as authorized by the Di- ferred to in paragraph (c) of this sec- rector. A person desiring such author- tion, where such intent is dem- ization shall submit a letter applica- onstrated by clear and convincing evi- tion, in duplicate, to the Director. dence, shall be subject to seizure, for- Such application shall contain the feiture and disposition. name and addresses of the persons di- (c) The offenses referred to in para- recting or controlling, directly or indi- graphs (a) and (b) of this section for rectly, the policies and management of which firearms and ammunition in- the applicant, the nature or purpose of tended to be used in such offenses are the testing or experimentation, a de- subject to seizure and forfeiture are: scription of the weapons or devices to (1) Any crime of violence, as that be manufactured or imported, and the term is defined in section 924(c)(3) of source of the weapons or devices. The the Act; approved application shall be retained

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as part of the records required by sub- Subpart D—Special (Occupational) Taxes part H of this part. 479.31 Liability for tax. [T.D. ATF–363, 60 FR 17456, Apr. 6, 1995] 479.32 Special (occupational) tax rates. 479.32a Reduced rate of tax for small importers and manufacturers. Subpart J [Reserved] 479.33 Special exemption. 479.34 Special tax registration and return. Subpart K—Exportation 479.35 Employer identification number. 479.36 The special tax stamp, receipt for § 478.171 Exportation. special (occupational) taxes. 479.37 Certificates in lieu of stamps lost or Firearms and ammunition shall be destroyed. exported in accordance with the appli- 479.38 Engaging in business at more than cable provisions of section 38 of the one location. Arms Export Control Act (22 U.S.C. 479.39 Engaging in more than one business 2778) and regulations thereunder. How- at the same location. ever, licensed manufacturers, licensed 479.40 Partnership liability. importers, and licensed dealers export- 479.41 Single sale. ing firearms shall maintain records CHANGE OF OWNERSHIP showing the manufacture or acquisi- 479.42 Changes through death of owner. tion of the firearms as required by this 479.43 Changes through bankruptcy of part and records showing the name and owner. address of the foreign consignee of the 479.44 Change in partnership or unincor- firearms and the date the firearms porated association. were exported. Licensed manufacturers 479.45 Changes in corporation. and licensed importers exporting armor CHANGE OF BUSINESS LOCATION piercing ammunition and semiautomatic assault weapons manufactured 479.46 Notice by taxpayer.

after September 13, 1994, shall maintain CHANGE OF TRADE NAME records showing the name and address of the foreign consignee and the date 479.47 Notice by taxpayer. the armor piercing ammunition or PENALTIES AND INTEREST semiautomatic assault weapons were exported. 479.48 Failure to pay special (occupational) tax. [T.D. ATF–270, 53 FR 10507, Mar. 31, 1988; T.D. 479.49 Failure to register change or re- ATF–363, 60 FR 17456, Apr. 6, 1995] moval. 479.50 Delinquency. PART 479—MACHINE GUNS, DE- 479.51 Fraudulent return. STRUCTIVE DEVICES, AND CER- APPLICATION OF STATE LAWS TAIN OTHER FIREARMS 479.52 State regulations.

Subpart A—Scope of Regulations Subpart E—Tax on Making Firearms Sec. 479.61 Rate of tax. 479.1 General. APPLICATION TO MAKE A FIREARM Subpart B—Definitions 479.62 Application to make. 479.63 Identification of applicant. 479.11 Meaning of terms. 479.64 Procedure for approval of application. 479.65 Denial of application. Subpart C—Administrative and 479.66 Subsequent transfer of firearms. Miscellaneous Provisions 479.67 Cancellation of stamp.

479.21 Forms prescribed. EXCEPTIONS TO TAX ON MAKING FIREARMS 479.22 Right of entry and examination. 479.23 Restrictive use of required informa- 479.68 Qualified manufacturer. tion. 479.69 Making a firearm for the United 479.24 Destructive device determination. States. 479.25 Collector’s items. 479.70 Certain government entities. 479.26 Alternate methods or procedures; REGISTRATION emergency variations from requirements. 479.71 Proof of registration.

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Subpart F—Transfer Tax Subpart J—Stolen or Lost Firearms or Documents 479.81 Scope of tax. 479.82 Rate of tax. 479.141 Stolen or lost firearms. 479.83 Transfer tax in addition to import 479.142 Stolen or lost documents. duty.

APPLICATION AND ORDER FOR TRANSFER OF Subpart K—Examination of Books and FIREARM Records 479.84 Application to transfer. 479.151 Failure to make returns: Substitute 479.85 Identification of transferee. returns. 479.86 Action on application. 479.152 Penalties (records and returns). 479.87 Cancellation of stamp. Subpart L—Distribution and Sale of Stamps EXEMPTIONS RELATING TO TRANSFERS OF FIREARMS 479.161 National Firearms Act stamps. 479.88 Special (occupational) taxpayers. 479.162 Stamps authorized. 479.89 Transfers to the United States. 479.163 Reuse of stamps prohibited. 479.90 Certain government entities. 479.91 Unserviceable firearms. Subpart M—Redemption of or Allowance 479.92 Transportation of firearms to effect for Stamps or Refunds transfer. 479.171 Redemption of or allowance for OTHER PROVISIONS stamps. 479.93 Transfers of firearms to certain per- 479.172 Refunds. sons. Subpart N—Penalties and Forfeitures Subpart G—Registration and Identification of Firearms 479.181 Penalties. 479.182 Forfeitures. 479.101 Registration of firearms. 479.102 How must firearms be identified? Subpart O—Other Laws Applicable 479.103 Registration of firearms manufactured. 479.191 Applicability of other provisions of 479.104 Registration of firearms by certain internal revenue laws. governmental entities. 479.192 Commerce in firearms and ammunition. MACHINE GUNS 479.193 Arms Export Control Act.

479.105 Transfer and possession of machine AUTHORITY: 26 U.S.C. 7805. guns. SOURCE: 36 FR 14256, Aug. 3, 1971, unless Subpart H—Importation and Exportation otherwise noted. Redesignated at 40 FR 16835, Apr. 15, 1975, and further redesignated by IMPORTATION T.D. ATF–487, 68 FR 3752, Jan. 24, 2003.

479.111 Procedure. EDITORIAL NOTE: Nomenclature changes 479.112 Registration of imported firearms. appear by T.D. ATF–487, 68 FR 3752, Jan. 24, 479.113 Conditional importation. 2003. EXPORTATION 479.114 Application and permit for expor- Subpart A—Scope of Regulations tation of firearms. 479.115 Action by Director. § 479.1 General. 479.116 Procedure by exporter. This part contains the procedural 479.117 Action by Customs. and substantive requirements relative 479.118 Proof of exportation. to the importation, manufacture, mak- 479.119 Transportation of firearms to effect exportation. ing, exportation, identification and 479.120 Refunds. registration of, and the dealing in, ma- 479.121 Insular possessions. chine guns, destructive devices and certain other firearms under the provi- ARMS EXPORT CONTROL ACT sions of the National Firearms Act (26 479.122 Requirements. U.S.C. Chapter 53). Subpart I—Records and Returns [36 FR 14256, Aug. 3, 1971. Redesignated at 40 FR 16835, Apr. 15, 1975, and amended by T.D. 479.131 Records. ATF–48, 44 FR 55842, Sept. 28, 1979]

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Subpart B—Definitions Customs officer. Any officer of the Customs Service or any commissioned, § 479.11 Meaning of terms. warrant, or petty officer of the Coast Guard, or any agent or other person au- When used in this part and in forms thorized by law or designated by the prescribed under this part, where not Secretary of the Treasury to perform otherwise distinctly expressed or mani- any duties of an officer of the Customs festly incompatible with the intent Service. thereof, terms shall have the meanings Dealer. Any person, not a manufac- ascribed in this section. Words in the turer or importer, engaged in the busi- plural form shall include the singular, ness of selling, renting, leasing, or and vice versa, and words importing loaning firearms and shall include the masculine gender shall include the pawnbrokers who accept firearms as feminine. The terms ‘‘includes’’ and collateral for loans. ‘‘including’’ do not exclude other Destructive device. (a) Any explosive, things not enumerated which are in the incendiary, or poison gas (1) bomb, (2) same general class or are otherwise grenade, (3) rocket having a propellent within the scope thereof. charge of more than 4 ounces, (4) mis- Antique firearm. Any firearm not de- sile having an explosive or incendiary signed or redesigned for using rim fire charge of more than one-quarter ounce, or conventional center fire ignition (5) mine, or (6) similar device; (b) any with fixed ammunition and manufac- type of weapon by whatever name tured in or before 1898 (including any known which will, or which may be matchlock, flintlock, percussion cap, readily converted to, expel a projectile or similar type of ignition system or by the action of an explosive or other replica thereof, whether actually man- propellant, the barrel or barrels of ufactured before or after the year 1898) which have a bore of more than one- and also any firearm using fixed am- half inch in diameter, except a shotgun munition manufactured in or before or shotgun shell which the Director 1898, for which ammunition is no finds is generally recognized as par- longer manufactured in the United ticularly suitable for sporting pur- States and is not readily available in poses; and (c) any combination of parts the ordinary channels of commercial either designed or intended for use in trade. converting any device into a destruc- Any other weapon. Any weapon or de- tive device as described in paragraphs vice capable of being concealed on the (a) and (b) of this definition and from person from which a shot can be dis- which a destructive device may be charged through the energy of an ex- readily assembled. The term shall not plosive, a pistol or revolver having a include any device which is neither de- barrel with a smooth bore designed or signed or redesigned for use as a weap- redesigned to fire a fixed shotgun shell, on; any device, although originally de- weapons with combination shotgun and signed for use as a weapon, which is re- rifle barrels 12 inches or more, less designed for use as a signaling, pyro- than 18 inches in length, from which technic, line throwing, safety, or simi- only a single discharge can be made lar device; surplus ordnance sold, from either barrel without manual re- loaned, or given by the Secretary of loading, and shall include any such the Army under 10 U.S.C. 4684(2), 4685, weapon which may be readily restored or 4686, or any device which the Direc- to fire. Such term shall not include a tor finds is not likely to be used as a pistol or a revolver having a rifled weapon, or is an antique or is a rifle bore, or rifled bores, or weapons de- which the owner intends to use solely signed, made, or intended to be fired for sporting purposes. from the shoulder and not capable of Director. The Director, Bureau of Al- firing fixed ammunition. cohol, Tobacco, and Firearms, the De- ATF officer. An officer or employee of partment of the Treasury, Washington, the Bureau of Alcohol, Tobacco and DC. Firearms (ATF) authorized to perform Director of the Service Center. A direc- any function relating to the adminis- tor of an Internal Revenue Service Cen- tration or enforcement of this part. ter in an internal revenue region.

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District director. A district director of the distance between the extreme ends the Internal Revenue Service in an in- of the weapon measured along a line ternal revenue district. parallel to the center line of the bore. Executed under penalties of perjury. Fixed ammunition. That self-contained Signed with the prescribed declaration unit consisting of the case, primer, pro- under the penalties of perjury as propellant charge, and projectile or provided on or with respect to the return, jectiles. form, or other document or, where no Frame or receiver. That part of a fire- form of declaration is prescribed, with arm which provides housing for the the declaration: hammer, bolt or breechblock and firing ‘‘I declare under the penalties of perjury mechanism, and which is usually that this—(insert type of document, such as, threaded at its forward portion to re- statement, application, request, certificate), ceive the barrel. including the documents submitted in sup- Importation. The bringing of a firearm port thereof, has been examined by me and, to the best of my knowledge and belief, is within the limits of the United States true, correct, and complete.’’ or any territory under its control or jurisdiction, from a place outside thereof Exportation. The severance of goods (whether such place be a foreign coun- from the mass of things belonging to try or territory subject to the jurisdic- this country with the intention of unit- tion of the United States), with intent ing them to the mass of things belong- to unlade. Except that, bringing a fire- ing to some foreign country. arm from a foreign country or a terri- Exporter. Any person who exports tory subject to the jurisdiction of the firearms from the United States. United States into a foreign trade zone Firearm. (a) A shotgun having a bar- for storage pending shipment to a for- rel or barrels of less than 18 inches in eign country or subsequent importa- length; (b) a weapon made from a shot- tion into this country, under Title 26 of gun if such weapon as modified has an the United States Code, and this part, overall length of less than 26 inches or shall not be deemed importation. a barrel or barrels of less than 18 inches in length; (c) a rifle having a Importer. Any person who is engaged barrel or barrels of less than 16 inches in the business of importing or bring- in length; (d) a weapon made from a ing firearms into the United States. rifle if such weapon as modified has an Machine gun. Any weapon which overall length of less than 26 inches or shoots, is designed to shoot, or can be a barrel or barrels of less than 16 readily restored to shoot, automati- inches in length; (e) any other weapon, cally more than one shot, without as defined in this subpart; (f) a machine manual reloading, by a single function gun; (g) a muffler or a silencer for any of the trigger. The term shall also in- firearm whether or not such firearm is clude the frame or receiver of any such included within this definition; and (h) weapon, any part designed and in- a destructive device. The term shall tended solely and exclusively, or com- not include an antique firearm or any bination of parts designed and in- device (other than a machine gun or tended, for use in converting a weapon destructive device) which, although de- into a machine gun, and any combina- signed as a weapon, the Director finds tion of parts from which a machine gun by reason of the date of its manufac- can be assembled if such parts are in ture, value, design, and other charac- the possession or under the control of a teristics is primarily a collector’s item person. and is not likely to be used as a weap- Make. This term and the various de- on. For purposes of this definition, the rivatives thereof shall include manu- length of the barrel having an integral facturing (other than by one qualified chamber(s) on a shotgun or rifle shall to engage in such business under this be determined by measuring the dis- part), putting together, altering, any tance between the muzzle and the face combination of these, or otherwise proof the bolt, breech, or breech block ducing a firearm. when closed and when the shotgun or Manual reloading. The inserting of a rifle is cocked. The overall length of a cartridge or shell into the chamber of a weapon made from a shotgun or rifle is firearm either with the hands or by

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means of a mechanical device con- readily restored to fire a fixed shotgun trolled and energized by the hands. shell. Manufacturer. Any person who is en- Transfer. This term and the various gaged in the business of manufacturing derivatives thereof shall include sell- firearms. ing, assigning, pledging, leasing, loan- Muffler or silencer. Any device for si- ing, giving away, or otherwise dis- lencing, muffling, or diminishing the posing of. report of a portable firearm, including United States. The States and the Dis- any combination of parts, designed or trict of Columbia. redesigned, and intended for the use in U.S.C. The United States Code. assembling or fabricating a firearm si- Unserviceable firearm. A firearm which lencer or firearm muffler, and any part is incapable of discharging a shot by intended only for use in such assembly means of an explosive and incapable of or fabrication. being readily restored to a firing condi- Person. A partnership, company, as- tion. sociation, trust, estate, or corporation, as well as a natural person. (26 U.S.C. 7805 (68A Stat. 917), 27 U.S.C. 205 (49 Stat. 981 as amended), 18 U.S.C. 926 (82 Stat. Pistol. A weapon originally designed, 959), and sec. 38, Arms Export Control Act (22 made, and intended to fire a projectile U.S.C. 2778, 90 Stat. 744)) (bullet) from one or more barrels when held in one hand, and having (a) a [T.D. ATF–48, 43 FR 13538, Mar. 31, 1978; 44 FR 55842, Sept. 28, 1979; T.D. ATF–241, 51 FR chamber(s) as an integral part(s) of, or 39630, Oct. 29, 1986; T.D. ATF–270, 53 FR 10492, permanently aligned with, the bore(s); Mar. 31, 1988; T.D. ATF–396, 63 FR 12647, Mar. and (b) a short stock designed to be 16, 1998] gripped by one hand and at an angle to and extending below the line of the Subpart C—Administrative and bore(s). Miscellaneous Provisions Regional director (compliance). The principal ATF regional official respon- § 479.21 Forms prescribed. sible for administering regulations in this part. (a) The Director is authorized to pre- Revolver. A projectile weapon, of the scribe all forms required by this part. pistol type, having a breechloading All of the information called for in chambered cylinder so arranged that each form shall be furnished as indi- the cocking of the hammer or move- cated by the headings on the form and ment of the trigger rotates it and the instructions on or pertaining to the brings the next cartridge in line with form. In addition, information called the barrel for firing. for in each form shall be furnished as Rifle. A weapon designed or rede- required by this part. Each form re- signed, made or remade, and intended quiring that it be executed under pen- to be fired from the shoulder and de- alties of perjury shall be executed signed or redesigned and made or re- under penalties of perjury. made to use the energy of the explosive (b) Requests for forms should be in a fixed cartridge to fire only a single mailed to the ATF Distribution Center, projectile through a rifled bore for 7664 K Fullerton Road, Springfield, Vir- each single pull of the trigger, and ginia 22150. shall include any such weapon which (5 U.S.C. 552(a); 80 Stat. 383, as amended) may be readily restored to fire a fixed [T.D. ATF–92, 46 FR 46916, Sept. 23, 1981, as cartridge. amended by T.D. ATF–241, 51 FR 39630, Oct. Shotgun. A weapon designed or rede- 29, 1986; T.D. ATF–270, 53 FR 10508, Mar. 31, signed, made or remade, and intended 1988; T.D. 372, 61 FR 20725, May 8, 1996; ATF– to be fired from the shoulder and de- 11F, 73 FR 57242, Oct. 2, 2008] signed or redesigned and made or remade to use the energy of the explosive § 479.22 Right of entry and examina- in a fixed shotgun shell to fire through tion. a smooth bore either a number of pro- Any ATF officer or employee of the jectiles (ball shot) or a single projectile Bureau of Alcohol, Tobacco and Fire- for each pull of the trigger, and shall arms duly authorized to perform any include any such weapon which may be function relating to the administration

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or enforcement of this part may enter plete and accurate description of the during business hours the premises (in- device, the name and address of the cluding places of storage) of any im- manufacturer or importer thereof, the porter or manufacturer of or dealer in purpose of and use for which it is in- firearms, to examine any books, pa- tended, and such photographs, dia- pers, or records required to be kept grams, or drawings as may be nec- pursuant to this part, and any firearms essary to enable the Director to make kept by such importer, manufacturer his determination. The Director may or dealer on such premises, and may re- require the submission to him, of a quire the production of any books, pa- sample of such device for examination pers, or records necessary to determine and evaluation. If the submission of any liability for tax under 26 U.S.C. such device is impracticable, the per- Chapter 53, or the observance of 26 son requesting the ruling shall so ad- U.S.C. Chapter 53, and this part. vise the Director and designate the place where the device will be available [36 FR 14256, Aug. 3, 1971. Redesignated at 40 FR 16835, Apr. 15, 1975, and amended by T.D. for examination and evaluation. ATF–48, 44 FR 55842, Sept. 28, 1979] [36 FR 14256, Aug. 3, 1971. Redesignated at 40 FR 16835, Apr. 15, 1975, and amended by T.D. § 479.23 Restrictive use of required in- ATF–48, 44 FR 55842, Sept. 28, 1979] formation. No information or evidence obtained § 479.25 Collector’s items. from an application, registration, or The Director shall determine in ac- record required to be submitted or re- cordance with 26 U.S.C. 5845(a), wheth- tained by a natural person in order to er a firearm or device, which although comply with any provision of 26 U.S.C. originally designed as a weapon, is by Chapter 53, or this part or section 207 of reason of the date of its manufacture, the Gun Control Act of 1968 shall be value, design, and other characteristics used, directly or indirectly, as evidence primarily a collector’s item and is not against that person in a criminal pro- likely to be used as a weapon. A person ceeding with respect to a violation of who desires to obtain a determination law occurring prior to or concurrently under that provision of law shall follow with the filing of the application or the procedures prescribed in § 479.24 re- registration, or the compiling of the lating to destructive device determina- record containing the information or tions, and shall include information as evidence: Provided, however, That the to date of manufacture, value, design provisions of this section shall not pre- and other characteristics which would clude the use of any such information sustain a finding that the firearm or or evidence in a prosecution or other device is primarily a collector’s item action under any applicable provision and is not likely to be used as a weap- of law with respect to the furnishing of on. false information. [36 FR 14256, Aug. 3, 1971. Redesignated at 40 [36 FR 14256, Aug. 3, 1971. Redesignated at 40 FR 16835, Apr. 15, 1975, and amended by T.D. FR 16835, Apr. 15, 1975, and amended by T.D. ATF–48, 44 FR 55842, Sept. 28, 1979] ATF–48, 44 FR 55842, Sept. 28, 1979] § 479.26 Alternate methods or proce- § 479.24 Destructive device determina- dures; emergency variations from tion. requirements. The Director shall determine in ac- (a) Alternate methods or procedures. cordance with 26 U.S.C. 5845(f), whether Any person subject to the provisions of a device is excluded from the definition this part, on specific approval by the of a destructive device. A person who Director as provided in this paragraph, desires to obtain a determination may use an alternate method or proce- under that provision of law for any de- dure in lieu of a method or procedure vice which he believes is not likely to specifically prescribed in this part. The be used as a weapon shall submit a Director may approve an alternate written request, in triplicate, for a rul- method or procedure, subject to stated ing thereon to the Director. Each such conditions, when it is found that: request shall be executed under the (1) Good cause is shown for the use of penalties of perjury and contain a com- the alternate method or procedure;

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(2) The alternate method or proce- withdrawn whenever, in the judgment dure is within the purpose of, and con- of the Director, the effective adminis- sistent with the effect intended by, the tration of this part is hindered by the specifically prescribed method or pro- continuation of the variation. Where a cedure and that the alternate method person desires to employ an emergency or procedure is substantially equiva- variation, a written application shall lent to that specifically prescribed be submitted to the appropriate re- method or procedure; and gional director (compliance) for trans- (3) The alternate method or proce- mittal to the Director. The application dure will not be contrary to any provi- shall describe the proposed variation sion of law and will not result in an in- and set forth the reasons for it. Vari- crease in cost to the Government or ations may not be employed until the hinder the effective administration of application is approved. this part. Where such person desires to (c) Retention of approved variations. employ an alternate method or proce- The person granted the variance shall dure, a written application shall be retain and make available for examina- submitted to the appropriate regional tion by ATF officers any application director (compliance), for transmittal approved by the Director under this to the Director. The application shall section. specifically describe the proposed alternate method or procedure and shall [T.D. ATF–270, 53 FR 10508 Mar. 31, 1988] set forth the reasons for it. Alternate methods or procedures may not be em- Subpart D—Special ployed until the application is ap- (Occupational) Taxes proved by the Director. Such person shall, during the period of authoriza- § 479.31 Liability for tax. tion of an alternate method or procedure, comply with the terms of the ap- (a) General. Every person who en- proved application. Authorization of gages in the business of importing, any alternate method or procedure manufacturing, or dealing in (including may be withdrawn whenever, in the pawnbrokers) firearms in the United judgment of the Director, the effective States shall pay a special (occupa- administration of this part is hindered tional) tax at a rate specified by by the continuation of the authoriza- § 479.32. The tax shall be paid on or be- tion. fore the date of commencing the tax- (b) Emergency variations from require- able business, and thereafter every ments. The Director may approve a year on or before July 1. Special (occu- method of operation other than as pational) tax shall not be prorated. The specified in this part, where it is found tax shall be computed for the entire that an emergency exists and the pro- tax year (July 1 through June 30), re- posed variation from the specified regardless of the portion of the year dur- quirements are necessary and the pro- ing which the taxpayer engages in busi- posed variations (1) will not hinder the ness. Persons commencing business at effective administration of this part, any time after July 1 in any year are and (2) will not be contrary to any pro- liable for the special (occupational) tax visions of law. Variations from require- for the entire tax year. ments granted under this paragraph (b) Each place of business taxable. An are conditioned on compliance with the importer, manufacturer, or dealer in procedures, conditions, and limitations firearms incurs special tax liability at set forth in the approval of the applica- each place of business where an occupation. Failure to comply in good faith tion subject to special tax is con- with the procedures, conditions, and ducted. A place of business means the limitations shall automatically termi- entire office, plant or area of the busi- nate the authority for the variations, ness in any one location under the and the person granted the variance same proprietorship. Passageways, shall fully comply with the prescribed streets, highways, rail crossings, wa- requirements of regulations from terways, or partitions dividing the which the variations were authorized. premises are not sufficient separation Authority for any variation may be to require additional special tax, if the

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divisions of the premises are otherwise receipts (for the most recent taxable contiguous. See also §§ 479.38–479.39. year ending before the first day of the taxable period to which the special tax (26 U.S.C. 5143, 5801, 5846) imposed by § 479.32 relates) are less [T.D. ATF–271, 53 FR 17550, May 17, 1988] than $500,000. The rate of tax for such an importer or manufacturer is $500 per § 479.32 Special (occupational) tax rates. year or fraction thereof. The ‘‘taxable year’’ to be used for determining gross (a) Prior to January 1, 1988, the spe- receipts is the taxpayer’s income tax cial (occupational) tax rates were as year. All gross receipts of the taxpayer follows: shall be included, not just the gross re- Per year or ceipts of the business subject to special fraction tax. Proprietors of new businesses that thereof have not yet begun a taxable year, as Class 1—Importer of firearms ...... $500 well as proprietors of existing busi- Class 2—Manufacturer of firearms ...... 500 nesses that have not yet ended a tax- Class 3—Dealer in firearms ...... 200 Class 4—Importer only of weapons classified able year, who commence a new activ- as ‘‘any other weapon’’ ...... 25 ity subject to special tax, quality for Class 5—Manufacturer only of weapons classi- the reduced special (occupational) tax fied as ‘‘any other weapon’’ ...... 25 rate, unless the business is a member Class 6—Dealer only in weapons classified as ‘‘any other weapon’’ ...... 10 of a ‘‘controlled group’’; in that case, the rules of paragraph (b) of this sec- (b) Except as provided in § 479.32a, the tion shall apply. special (occupational) tax rates effec- (b) Controlled group. All persons tive January 1, 1988, are as follows: treated as one taxpayer under 26 U.S.C. 5061(e)(3) shall be treated as one tax- Per year or fraction payer for the purpose of determining thereof gross receipts under paragraph (a) of this section. ‘‘Controlled group’’ means Class 1—Importer of firearms (including an importer only of weapons classified as ‘‘any a controlled group of corporations, as other weapon’’) ...... $1,000 defined in 26 U.S.C. 1563 and imple- Class 2—Manufacturer of firearms (including a menting regulations in 26 CFR 1.1563–1 manufacturer only of weapons classified as ‘‘any other weapon’’) ...... 1,000 through 1.1563–4, except that the words Class 3—Dealer in firearms (including a dealer ‘‘at least 80 percent’’ shall be replaced only of weapons classified as ‘‘any other by the words ‘‘more than 50 percent’’ in weapon’’) ...... 500 each place they appear in subsection (a) of 26 U.S.C. 1563, as well as in the (c) A taxpayer who was engaged in a implementing regulations. Also, the business on January 1, 1988, for which a rules for a ‘‘controlled group of cor- special (occupational) tax was paid for porations’’ apply in a similar fashion a taxable period which began before to groups which include partnerships January 1, 1988, and included that date, and/or sole proprietorships. If one enti- shall pay an increased special tax for ty maintains more than 50% control the period January 1, 1988, through over a group consisting of corporations June 30, 1988. The increased tax shall and one, or more, partnerships and/or not exceed one-half the excess (if any) sole proprietorships, all of the mem- of (1) the rate of special tax in effect on bers of the controlled group are one January 1, 1988, over (2) the rate of taxpayer for the purpose of this sec- such tax in effect on December 31, 1987. tion. The increased special tax shall be paid (c) Short taxable year. Gross receipts on or before April 1, 1988. for any taxable year of less than 12 [T.D. ATF–271, 53 FR 17550, May 17, 1988] months shall be annualized by multi- plying the gross receipts for the short § 479.32a Reduced rate of tax for small period by 12 and dividing the result by importers and manufacturers. the number of months in the short pe- (a) General. Effective January 1, 1988, riod, as required by 26 U.S.C. 448(c)(3). 26 U.S.C. 5801(b) provides for a reduced (d) Returns and allowances. Gross re- rate of special tax with respect to any ceipts for any taxable year shall be re- importer or manufacturer whose gross duced by returns and allowances made

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during that year under 26 U.S.C. return for two or more locations, the 448(c)(3). address to be shown shall be the tax- (26 U.S.C. 448, 5061, 5801) payer’s principal place of business (or principal office, in the case of a cor- [T.D. ATF–271, 53 FR 17550, May 17, 1988] porate taxpayer). § 479.33 Special exemption. (5) The class(es) of special tax to which the taxpayer is subject. (a) Any person required to pay spe- (6) Ownership and control informa- cial (occupational) tax under this part tion: That is, the name, position, and shall be relieved from payment of that residence address of every owner of the tax if he establishes to the satisfaction business and of every person having of the Director that his business is con- power to control its management and ducted exclusively with, or on behalf of, the United States or any depart- policies with respect to the activity ment, independent establishment, or subject to special tax. ‘‘Owner of the agency thereof. The Director may re- business’’ shall include every partner, lieve any person manufacturing fire- if the taxpayer is a partnership, and arms for or on behalf of the United every person owning 10% or more of its States from compliance with any pro- stock, if the taxpayer is a corporation. vision of this part in the conduct of the However, the ownership and control in- business with respect to such firearms. formation required by this paragraph (b) The exemption in this section need not be stated if the same informa- may be obtained by filing with the Di- tion has been previously provided to rector an application, in letter form, ATF in connection with a license appli- setting out the manner in which the cation under Part 478 of this chapter, applicant conducts his business, the and if the information previously pro- type of firearm to be manufactured, vided is still current. and proof satisfactory to the Director (c) Multiple locations and/or classes of of the existence of the contract with tax. A taxpayer subject to special tax the United States, department, inde- for the same period at more than one pendent establishment, or agency location or for more than one class of thereof, under which the applicant in- tax shall— tends to operate. (1) File one special tax return, ATF Form 5630.7, with payment of tax, to § 479.34 Special tax registration and return. cover all such locations and classes of tax; and (a) General. Special tax shall be paid (2) Prepare, in duplicate, a list identi- by return. The prescribed return is fied with the taxpayer’s name, address ATF Form 5630.7, Special Tax Registra- (as shown on ATF Form 5630.7), em- tion and Return. Special tax returns, with payment of tax, shall be filed with ployer identification number, and pe- ATF in accordance with instructions riod covered by the return. The list on the form. Properly completing, sign- shall show, by States, the name, ad- ing, and timely filing of a return (Form dress, and tax class of each location for 5630.7) constitutes compliance with 26 which special tax is being paid. The U.S.C. 5802. original of the list shall be filed with (b) Preparation of ATF Form 5630.7. All ATF in accordance with instructions of the information called for on Form on the return, and the copy shall be re- 5630.7 shall be provided, including: tained at the taxpayer’s principal place (1) The true name of the taxpayer. of business (or principal office, in the (2) The trade name(s) (if any) of the case of a corporate taxpayer) for not business(es) subject to special tax. less than 3 years. (3) The employer identification num- (d) Signing of ATF Forms 5630.7—(1) ber (see § 479.35). Ordinary returns. The return of an indi- (4) The exact location of the place of vidual proprietor shall be signed by the business, by name and number of build- individual. The return of a partnership ing or street, or if these do not exist, shall be signed by a general partner. by some description in addition to the The return of a corporation shall be post office address. In the case of one signed by any officer. In each case, the

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person signing the return shall des- § 479.35 Employer identification num- ignate his or her capacity as ‘‘indi- ber. vidual owner,’’ ‘‘member of firm,’’ or, (a) Requirement. The employer identi- in the case of a corporation, the title of fication number (defined in 26 CFR the officer. 301.7701–12) of the taxpayer who has (2) Fiduciaries. Receivers, trustees, been assigned such a number shall be assignees, executors, administrators, shown on each special tax return, in- and other legal representatives who cluding amended returns, filed under continue the business of a bankrupt, this subpart. Failure of the taxpayer to insolvent, deceased person, etc., shall include the employer identification indicate the fiduciary capacity in number may result in the imposition of which they act. the penalty specified in § 70.113 of this (3) Agent or attorney in fact. If a re- chapter. turn is signed by an agent or attorney (b) in fact, the signature shall be preceded Application for employer identifica- by the name of the principal and fol- tion number. Each taxpayer who files a lowed by the title of the agent or attor- special tax return, who has not already ney in fact. A return signed by a person been assigned an employer identifica- as agent will not be accepted unless tion number, shall file IRS Form SS–4 there is filed, with the ATF office with to apply for one. The taxpayer shall which the return is required to be filed, apply for and be assigned only one em- a power of attorney authorizing the ployer identification number, regard- agent to perform the act. less of the number of places of business (4) Perjury statement. ATF Forms for which the taxpayer is required to 5630.7 shall contain or be verified by a file a special tax return. The employer written declaration that the return has identification number shall be applied been executed under the penalties of for no later than 7 days after the filing perjury. of the taxpayer’s first special tax re- (e) Identification of taxpayer. If the turn. IRS Form SS–4 may be obtained taxpayer is an individual, with the ini- from the director of an IRS service cen- tial return such person shall securely ter or from any IRS district director. attach to Form 5630.7 a photograph of (c) Preparation and filing of IRS Form the individual 2 × 2 inches in size, SS–4. The taxpayer shall prepare and clearly showing a full front view of the file IRS Form SS–4, together with any features of the individual with head supplementary statement, in accord- bare, with the distance from the top of ance with the instructions on the form the head to the point of the chin ap- or issued in respect to it. proximately 11⁄4 inches, and which shall (26 U.S.C. 6109) have been taken within 6 months prior to the date of completion of the return. [T.D. ATF–271, 53 FR 17551, May 17, 1988; as The individual shall also attach to the amended by T.D. ATF–301, 55 FR 47657, Nov. return a properly completed FBI Form 14, 1990] FD–258 (Fingerprint Card). The fingerprints must be clear for accurate clas- § 479.36 The special tax stamp, receipt for special (occupational) taxes. sification and should be taken by someone properly equipped to take them: Upon filing a properly completed and Provided, That the provisions of this executed return (Form 5630.7) accom- paragraph shall not apply to individ- panied by remittance of the full uals who have filed with ATF a prop- amount due, the taxpayer will be erly executed Application for License issued a special tax stamp as evidence under 18 U.S.C. Chapter 44, Firearms, of payment of the special (occupa- ATF Form 7 (5310.12) (12–93 edition), as tional) tax. specified in § 478.44(a). [36 FR 14256, Aug. 3, 1971. Redesignated at 40 (26 U.S.C. 5142, 5802, 5846, 6061, 6065, 6151) FR 16835, Apr. 15, 1975, and amended by T.D. ATF–251, 52 FR 19334, May 22, 1987; T.D. ATF– [T.D. ATF–271, 53 FR 17551, May 17, 1988, as 363, 60 FR 17456, Apr. 6, 1995] amended by T.D. ATF–363, 60 FR 17456, Apr. 6, 1995]

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§ 479.37 Certificates in lieu of stamps qualified manufacturer or importer to lost or destroyed. qualify as a dealer if such manufac- When a special tax stamp has been turer or importer also engages in busi- lost or destroyed, such fact should be ness on his qualified premises as a deal- reported immediately to the regional er. However, a qualified manufacturer director (compliance) Center who who engages in business as an importer issued the stamp. A certificate in lieu must also qualify as an importer. Fur- of the lost or destroyed stamp will be ther, a qualified dealer is not entitled issued to the taxpayer upon the sub- to engage in business as a manufac- mission of an affidavit showing to the turer or importer. satisfaction of the regional director (compliance) that the stamp was lost [36 FR 14256, Aug. 3, 1971. Redesignated at 40 or destroyed. FR 16835, Apr. 15, 1975, and amended by T.D. ATF–48, 44 FR 55842, Sept. 28, 1979; T.D. ATF– [36 FR 14256, Aug. 3, 1971. Redesignated at 40 271, 53 FR 17551, May 17, 1988] FR 16835, Apr. 15, 1975, and amended by T.D. ATF–251, 52 FR 19334, May 22, 1987] § 479.40 Partnership liability. § 479.38 Engaging in business at more Any number of persons doing busi- than one location. ness in partnership at any one location A person shall pay the special (occu- shall be required to pay but one special pational) tax for each location where (occupational) tax. he engages in any business taxable under 26 U.S.C. 5801. However, a person § 479.41 Single sale. paying a special (occupational) tax A single sale, unattended by cir- covering his principal place of business cumstances showing the one making may utilize other locations solely for the sale to be engaged in business, does storage of firearms without incurring not create special (occupational) tax li- special (occupational) tax liability at ability. such locations. A manufacturer, upon the single payment of the appropriate CHANGE OF OWNERSHIP special (occupational) tax, may sell firearms, if such firearms are of his § 479.42 Changes through death of own manufacture, at the place of man- owner. ufacture and at his principal office or place of business if no such firearms, Whenever any person who has paid except samples, are kept at such office special (occupational) tax dies, the sur- or place of business. When a person viving spouse or child, or executors or changes the location of a business for administrators, or other legal rep- which he has paid the special (occupa- resentatives, may carry on this busi- tional) tax, he will be liable for another ness for the remainder of the term for such tax unless the change is properly which tax has been paid and at the registered with the regional director place (or places) for which the tax was (compliance) for the region in which paid, without any additional payment, the special tax stamp was issued, as subject to the following conditions. If provided in § 479.46. the surviving spouse or child, or execu- [36 FR 14256, Aug. 3, 1971. Redesignated at 40 tor or administrator, or other legal FR 16835, Apr. 15, 1975, and amended by T.D. representative of the deceased tax- ATF–48, 44 FR 55842, Sept. 28, 1979; T.D. ATF– payer continues the business, such per- 251, 52 FR 19334, May 22, 1987; T.D. ATF–271, son shall, within 30 days after the date 53 FR 17551, May 17, 1988] on which the successor begins to carry § 479.39 Engaging in more than one on the business, file a new return, business at the same location. Form 5630.7, with ATF in accordance with the instructions on the form. The If more than one business taxable under 26 U.S.C. 5801, is carried on at return thus executed shall show the the same location during a taxable name of the original taxpayer, together year, the special (occupational) tax im- with the basis of the succession. (As to posed on each such business must be paid. This section does not require a

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liability in case of failure to register, § 479.45 Changes in corporation. see § 479.49.) Additional special (occupational) tax [T.D. ATF–70, 45 FR 33979, May 21, 1980, as is not required by reason of a mere amended by T.D. ATF–251, 52 FR 19334, May change of name or increase in the cap- 22, 1987; T.D. ATF–363, 60 FR 17456, Apr. 6, ital stock of a corporation if the laws 1995] of the State of incorporation provide for such change or increase without the § 479.43 Changes through bankruptcy formation of a new corporation. A of owner. stockholder in a corporation who after A receiver or referee in bankruptcy its dissolution continues the business, may continue the business under the incurs new special (occupational) tax stamp issued to the taxpayer at the liability. place and for the period for which the CHANGE OF BUSINESS LOCATION tax was paid. An assignee for the benefit of creditors may continue business § 479.46 Notice by taxpayer. under his assignor’s special tax stamp Whenever during the taxable year a without incurring additional special taxpayer intends to remove his busi- (occupational) tax liability. In such ness to a location other than specified cases, the change shall be registered in his last special (occupational) tax with ATF in a manner similar to that return (see § 479.34), he shall file with required by § 479.42. ATF (a) a return, Form 5630.7, bearing the notation ‘‘Removal Registry,’’ and [36 FR 14256, Aug. 3, 1971. Redesignated at 40 showing the new address intended to be FR 16835, Apr. 15, 1975, and amended by T.D. ATF–251, 52 FR 19334, May 22, 1987] used, (b) his current special tax stamp, and (c) a letter application requesting § 479.44 Change in partnership or un- the amendment of his registration. The incorporated association. regional director (compliance), upon approval of the application, shall re- When one or more members withdraw turn the special tax stamp, amended to from a partnership or an unincor- show the new business location. Fire- porated association, the remaining arms operations shall not be com- member, or members, may, without in- menced at the new business location by curring additional special (occupa- the taxpayer prior to the required ap- tional) tax liability, carry on the same proval of his application to so change business at the same location for the his business location. balance of the taxable period for which [36 FR 14256, Aug. 3, 1971. Redesignated at 40 special (occupational) tax was paid, FR 16835, Apr. 15, 1975, and amended by T.D. provided any such change shall be reg- ATF–251, 52 FR 19334, May 22, 1987; T.D. ATF– istered in the same manner as required 363, 60 FR 17456, Apr. 6, 1995] by § 479.42. Where new member(s) are taken into a partnership or an unincor- CHANGE OF TRADE NAME porated association, the new firm so § 479.47 Notice by taxpayer. constituted may not carry on business under the special tax stamp of the old Whenever during the taxable year a firm. The new firm must file a return, taxpayer intends to change the name of his business, he shall file with ATF (a) pay the special (occupational) tax and a return, Form 5630.7, bearing the nota- register in the same manner as a per- tion ‘‘Amended,’’ and showing the son who first engages in business is re- trade name intended to be used, (b) his quired to do under § 479.34 even though current special tax stamp, and (c) a let- the name of the new firm may be the ter application requesting the amend- same as that of the old. Where the ment of his registration. The regional members of a partnership or an unin- director (compliance), upon approval of corporated association, which has paid the application, shall return the spe- special (occupational) tax, form a cor- cial tax stamp, amended to show the poration to continue the business, a new trade name. Firearms operations new special tax stamp must be taken shall not be commenced under the new out in the name of the corporation. trade name by the taxpayer prior to

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the required approval of his application ure is for not more than 1 month, with to so change the trade name. an additional 5 percent for each additional month or fraction thereof during [36 FR 14256, Aug. 3, 1971. Redesignated at 40 FR 16835, Apr. 15, 1975, and amended by T.D. which failure continues, not to exceed ATF–251, 52 FR 19334, May 22, 1987; T.D. ATF– 25 percent in the aggregate (section 363, 60 FR 17456, Apr. 6, 1995] 6651, I.R.C.). However, no delinquency penalty is assessed where the 50 per- PENALTIES AND INTEREST cent addition to tax is assessed for fraud (see § 479.51). § 479.48 Failure to pay special (occupational) tax. [36 FR 14256, Aug. 3, 1971. Redesignated at 40 FR 16835, Apr. 15, 1975, and amended by T.D. Any person who engages in a business ATF–251, 52 FR 19334, May 22, 1987; T.D. ATF– taxable under 26 U.S.C. 5801, without 363, 60 FR 17453, Apr. 6, 1996] timely payment of the tax imposed with respect to such business (see § 479.51 Fraudulent return. § 479.34) shall be liable for such tax, If any part of any underpayment of plus the interest and penalties thereon tax required to be shown on a return is (see 26 U.S.C. 6601 and 6651). In addi- due to fraud, there shall be added to tion, such person may be liable for the tax an amount equal to 50 percent criminal penalties under 26 U.S.C. 5871. of the underpayment, but no delin- [36 FR 14256, Aug. 3, 1971. Redesignated at 40 quency penalty shall be assessed with FR 16835, Apr. 15, 1975, and amended by T.D. respect to the same underpayment ATF–48, 44 FR 55842, Sept. 28, 1979] (section 6653, I.R.C.).

§ 479.49 Failure to register change or APPLICATION OF STATE LAWS removal. Any person succeeding to and car- § 479.52 State regulations. rying on a business for which special Special tax stamps are merely re- (occupational) tax has been paid with- ceipts for the tax. Payment of tax out registering such change within 30 under Federal law confers no privilege days thereafter, and any taxpayer re- to act contrary to State law. One to moving his business with respect to whom a special tax stamp has been which special (occupational) tax has issued may still be punishable under a been paid to a place other than that for State law prohibiting or controlling which tax was paid without obtaining the manufacture, possession or transfer approval therefor (see § 479.46), will of firearms. On the other hand, compli- incur liability to an additional pay- ance with State law confers no immu- ment of the tax, addition to tax and in- nity under Federal law. Persons who terest, as provided in sections 5801, engage in the business of importing, 6651, and 6601, respectively, I.R.C., for manufacturing or dealing in firearms, failure to make return (see § 479.50) or in violation of the law of a State, are pay tax, as well as criminal penalties nevertheless required to pay special for carrying on business without pay- (occupational) tax as imposed under ment of special (occupational) tax (see the internal revenue laws of the United section 5871 I.R.C.). States. For provisions relating to restrictive use of information furnished § 479.50 Delinquency. to comply with the provisions of this Any person liable for special (occupa- part see § 479.23. tional) tax under section 5801, I.R.C., who fails to file a return (Form 5630.7), Subpart E—Tax on Making as prescribed, will be liable for a delin- Firearms quency penalty computed on the amount of tax due unless a return § 479.61 Rate of tax. (Form 5630.7) is later filed and failure Except as provided in this subpart, to file the return timely is shown to there shall be levied, collected, and the satisfaction of the regional director paid upon the making of a firearm a (compliance), to be due to reasonable tax at the rate of $200 for each firearm cause. The delinquency penalty to be made. This tax shall be paid by the per- added to the tax is 5 percent if the fail- son making the firearm. Payment of

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the tax on the making of a firearm basis of the exemption shall be at- shall be represented by a $200 adhesive tached to the Form 1 (Firearms). stamp bearing the words ‘‘National [T.D. ATF–270, 53 FR 10508, Mar. 31, 1988] Firearms Act.’’ The stamps are maintained by the Director. § 479.63 Identification of applicant. [T.D. ATF–270, 53 FR 10508, Mar. 31, 1988] If the applicant is an individual, the applicant shall securely attach to each APPLICATION TO MAKE A FIREARM copy of the Form 1 (Firearms), in the space provided on the form, a photo- § 479.62 Application to make. graph of the applicant 2 × 2 inches in No person shall make a firearm un- size, clearly showing a full front view less the person has filed with the Direc- of the features of the applicant with tor a written application on Form 1 head bare, with the distance from the (Firearms), Application to Make and top of the head to the point of the chin 1 Register a Firearm, in duplicate, exe- approximately 1 ⁄4 inches, and which cuted under the penalties of perjury, to shall have been taken within 1 year prior to the date of the application. make and register the firearm and has The applicant shall attach two prop- received the approval of the Director to erly completed FBI Forms FD–258 (Fin- make the firearm which approval shall gerprint Card) to the application. The effectuate registration of the weapon fingerprints must be clear for accurate to the applicant. The application shall classification and should be taken by identify the firearm to be made by se- someone properly equipped to take rial number, type, model, caliber or them. A certificate of the local chief of gauge, length of barrel, other marks of police, sheriff of the county, head of identification, and the name and ad- the State police, State or local district dress of original manufacturer (if the attorney or prosecutor, or such other applicant is not the original manufac- person whose certificate may in a par- turer). The applicant must be identi- ticular case be acceptable to the Direc- fied on the Form 1 (Firearms) by name tor, shall be completed on each copy of and address and, if other than a natural the Form 1 (Firearms). The certificate person, the name and address of the shall state that the certifying official principal officer or authorized rep- is satisfied that the fingerprints and resentative and the employer identi- photograph accompanying the applica- fication number and, if an individual, tion are those of the applicant and that the identification must include the the certifying official has no informa- date and place of birth and the infor- tion indicating that possession of the mation prescribed in § 479.63. Each ap- firearm by the maker would be in vio- plicant shall identify the Federal fire- lation of State or local law or that the arms license and special (occupational) maker will use the firearm for other tax stamp issued to the applicant, if than lawful purposes. any. The applicant shall also show re- [T.D. ATF–270, 53 FR 10509, Mar. 31, 1988] quired information evidencing that making or possession of the firearm § 479.64 Procedure for approval of ap- would not be in violation of law. If the plication. making is taxable, a remittance in the The application to make a firearm, amount of $200 shall be submitted with Form 1 (Firearms), must be forwarded the application in accordance with the directly, in duplicate, by the maker of instructions on the form. If the making the firearm to the Director in accord- is taxable and the application is ap- ance with the instructions on the form. proved, the Director will affix a Na- The Director will consider the applica- tional Firearms Act stamp to the origi- tion for approval or disapproval. If the nal application in the space provided application is approved, the Director therefor and properly cancel the stamp will return the original thereof to the (see § 479.67). The approved application maker of the firearm and retain the du- will be returned to the applicant. If the plicate. Upon receipt of the approved making of the firearm is tax exempt application, the maker is authorized to under this part, an explanation of the make the firearm described therein.

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The maker of the firearm shall not, firearm made in the manner prescribed under any circumstances, make the by this part. firearm until the application, satisfac- [36 FR 14256, Aug. 3, 1971. Redesignated at 40 torily executed, has been forwarded to FR 16835, Apr. 15, 1975, and amended by T.D. the Director and has been approved and ATF–271, 53 FR 17551, May 17, 1988] returned by the Director with the Na- tional Firearms Act stamp affixed. If § 479.69 Making a firearm for the the application is disapproved, the United States. original Form 1 (Firearms) and the re- A firearm may be made by, or on be- mittance submitted by the applicant half of, the United States or any de- for the purchase of the stamp will be partment, independent establishment, returned to the applicant with the rea- or agency thereof without payment of son for disapproval stated on the form. the making tax. However, if a firearm is to be made on behalf of the United [T.D. ATF–270, 53 FR 10509, Mar. 31, 1988] States, the maker must file an application, in duplicate, on Form 1 (Fire- § 479.65 Denial of application. arms) and obtain the approval of the An application to make a firearm Director in the manner prescribed in shall not be approved by the Director if § 479.62. the making or possession of the fire- § 479.70 Certain government entities. arm would place the person making the firearm in violation of law. A firearm may be made without payment of the making tax by, or on be- § 479.66 Subsequent transfer of fire- half of, any State, or possession of the arms. United States, any political subdivision thereof, or any official police or- Where a firearm which has been made ganization of such a government entity in compliance with 26 U.S.C. 5821, and engaged in criminal investigations. the regulations contained in this part, Any person making a firearm under is to be transferred subsequently, the this exemption shall first file an appli- transfer provisions of the firearms laws cation, in duplicate, on Form 1 (Fire- and regulations must be complied with. arms) and obtain the approval of the (See subpart F of this part). Director as prescribed in § 479.62. [36 FR 14256, Aug. 3, 1971. Redesignated at 40 REGISTRATION FR 16835, Apr. 15, 1975, and amended by T.D. ATF–48, 44 FR 55842, Sept. 28, 1979] § 479.71 Proof of registration. § 479.67 Cancellation of stamp. The approval by the Director of an application, Form 1 (Firearms), to The person affixing to a Form 1 make a firearm under this subpart (Firearms) a ‘‘National Firearms Act’’ shall effectuate registration of the fire- stamp shall cancel it by writing or arm described in the Form 1 (Firearms) stamping thereon, in ink, his initials, to the person making the firearm. The and the day, month and year, in such original Form 1 (Firearms) showing ap- manner as to render it unfit for reuse. proval by the Director shall be retained The cancellation shall not so deface by the maker to establish proof of his the stamp as to prevent its denomina- registration of the firearm described tion and genuineness from being read- therein, and shall be made available to ily determined. any ATF officer on request.

EXCEPTIONS TO TAX ON MAKING Subpart F—Transfer Tax FIREARMS § 479.81 Scope of tax. § 479.68 Qualified manufacturer. Except as otherwise provided in this A manufacturer qualified under this part, each transfer of a firearm in the part to engage in such business may United States is subject to a tax to be make firearms without payment of the represented by an adhesive stamp of making tax. However, such manufac- the proper denomination bearing the turer shall report and register each words ‘‘National Firearms Act’’ to be

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affixed to the Form 4 (Firearms), Ap- shall identify the transferor’s Federal plication for Transfer and Registration firearms license and special (occupa- of Firearm, as provided in this subpart. tional) Chapter tax stamp, if any; and if the transferor is other than a natural § 479.82 Rate of tax. person, shall show the title or status of The transfer tax imposed with re- the person executing the application. spect to firearms transferred within The application also shall identify the the United States is at the rate of $200 transferee by name and address, and, if for each firearm transferred, except the transferee is a natural person not that the transfer tax on any firearm qualified as a manufacturer, importer classified as ‘‘any other weapon’’ shall or dealer under this part, he shall be be at the rate of $5 for each such fire- further identified in the manner pre- arm transferred. The tax imposed on scribed in § 479.85. The application also the transfer of the firearm shall be paid shall identify the special (occupa- by the transferor. tional) tax stamp and Federal firearms § 479.83 Transfer tax in addition to im- license of the transferee, if any. Any port duty. tax payable on the transfer must be represented by an adhesive stamp of The transfer tax imposed by section proper denomination being affixed to 5811, I.R.C., is in addition to any im- the application, Form 4 (Firearms), port duty. properly cancelled. APPLICATION AND ORDER FOR TRANSFER [36 FR 14256, Aug. 3, 1971. Redesignated at 40 OF FIREARM FR 16835, Apr. 15, 1975, and amended by T.D. ATF–241, 51 FR 39632, Oct. 29, 1986 T.D. ATF– § 479.84 Application to transfer. 270, 53 FR 10509, Mar. 31, 1988] Except as otherwise provided in this subpart, no firearm may be transferred § 479.85 Identification of transferee. in the United States unless an applica- If the transferee is an individual, tion, Form 4 (Firearms), Application such person shall securely attach to for Transfer and Registration of Fire- each copy of the application, Form 4 arm, in duplicate, executed under the (Firearms), in the space provided on penalties of perjury to transfer the the form, a photograph of the applicant firearm and register it to the trans- 2 × 2 inches in size, clearly showing a feree has been filed with and approved full front view of the features of the ap- by the Director. The application, Form plicant with head bare, with the dis- 4 (Firearms), shall be filed by the tance from the top of the head to the transferor and shall identify the fire- 1 arm to be transferred by type; serial point of the chin approximately 1 ⁄4 number; name and address of the man- inches, and which shall have been ufacturer and importer, if known; taken within 1 year prior to the date of model; caliber, gauge or size; in the the application. The transferee shall case of a short-barreled shotgun or a attach two properly completed FBI short-barreled rifle, the length of the Forms FD–258 (Fingerprint Card) to the barrel; in the case of a weapon made application. The fingerprints must be from a rifle or shotgun, the overall clear for accurate classification and length of the weapon and the length of should be taken by someone properly the barrel; and any other identifying equipped to take them. A certificate of marks on the firearm. In the event the the local chief of police, sheriff of the firearm does not bear a serial number, county, head of the State police, State the applicant shall obtain a serial num- or local district attorney or pros- ber from the Regional director (compli- ecutor, or such other person whose cer- ance) and shall stamp (impress) or oth- tificate may in a particular case be ac- erwise conspicuously place such serial ceptable to the Director, shall be com- number on the firearm in a manner not pleted on each copy of the Form 4 susceptible of being readily obliter- (Firearms). The certificate shall state ated, altered or removed. The applica- that the certifying official is satisfied tion, Form 4 (Firearms), shall identify that the fingerprints and photograph the transferor by name and address; accompanying the application are

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those of the applicant and that the cer- § 479.87 Cancellation of stamp. tifying official has no information indi- The method of cancellation of the cating that the receipt or possession of stamp required by this subpart as pre- the firearm would place the transferee scribed in § 479.67 shall be used. in violation of State or local law or that the transferee will use the firearm EXEMPTIONS RELATING TO TRANSFERS for other than lawful purposes. OF FIREARMS

[T.D. ATF–270, 53 FR 10509, Mar. 31, 1988] § 479.88 Special (occupational) taxpayers. § 479.86 Action on application. (a) A firearm registered to a person The Director will consider a com- qualified under this part to engage in pleted and properly executed applica- business as an importer, manufacturer, tion, Form 4 (Firearms), to transfer a or dealer may be transferred by that firearm. If the application is approved, person without payment of the transfer the Director will affix the appropriate tax to any other person qualified under National Firearms Act stamp, cancel this part to manufacture, import, or it, and return the original application deal in firearms. showing approval to the transferor who (b) The exemption provided in para- may then transfer the firearm to the graph (a) of this section shall be ob- transferee along with the approved ap- tained by the transferor of the firearm plication. The approval of an applica- filing with the Director an application, tion, Form 4 (Firearms), by the Direc- Form 3 (Firearms), Application for tor will effectuate registration of the Tax-exempt Transfer of Firearm and firearm to the transferee. The trans- Registration to Special (Occupational) feree shall not take possession of a fire- Taxpayer, in duplicate, executed under arm until the application, Form 4 the penalties of perjury. The applica- (Firearms), for the transfer filed by the tion, Form 3 (Firearms), shall (1) show transferor has been approved by the Di- the name and address of the transferor rector and registration of the firearm and of the transferee, (2) identify the is effectuated to the transferee. The Federal firearms license and special transferee shall retain the approved ap- (occupational) tax stamp of the trans- plication as proof that the firearm de- feror and of the transferee, (3) show the scribed therein is registered to the name and address of the manufacturer transferee, and shall make the ap- and the importer of the firearm, if known, (4) show the type, model, over- proved Form 4 (Firearms) available to all length (if applicable), length of bar- any ATF officer on request. If the ap- rel, caliber, gauge or size, serial num- plication, Form 4 (Firearms), to trans- ber, and other marks of identification fer a firearm is disapproved by the Di- of the firearm, and (5) contain a state- rector, the original application and the ment by the transferor that he is enti- remittance for purchase of the stamp tled to the exemption because the will be returned to the transferor with transferee is a person qualified under reasons for the disapproval stated on this part to manufacture, import, or the application. An application, Form 4 deal in firearms. If the Director ap- (Firearms), to transfer a firearm shall proves an application, Form 3 (Fire- be denied if the transfer, receipt, or arms), he shall return the original possession of a firearm would place the Form 3 (Firearms) to the transferor transferee in violation of law. In addi- with the approval noted thereon. Ap- tion to any other records checks that proval of an application, Form 3 (Fire- may be conducted to determine wheth- arms), by the Director shall remove er the transfer, receipt, or possession of registration of the firearm reported a firearm would place the transferee in thereon from the transferor and shall violation of law, the Director shall con- effectuate the registration of that fire- tact the National Instant Criminal arm to the transferee. Upon receipt of Background Check System. the approved Form 3 (Firearms), the [T.D. ATF–270, 53 FR 10509, Mar. 31, 1988, as transferor shall deliver same with the amended by T.D. ATF–415, 63 FR 58281, Oct. firearm to the transferee. The trans- 29, 1998] feror shall not transfer the firearm to

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the transferee until his application, filing with the Director an application, Form 3 (Firearms), has been approved Form 5 (Firearms), Application for by the Director and the original there- Tax-exempt Transfer and Registration of has been returned to the transferor. of Firearm, in duplicate, executed If the Director disapproves the applica- under the penalties of perjury. The ap- tion, Form 3 (Firearms), he shall re- plication shall (1) show the name and turn the original Form 3 (Firearms) to address of the transferor and of the the transferor with the reasons for the transferee, (2) identify the Federal fire- disapproval stated thereon. arms license and special (occupational) (c) The transferor shall be respon- tax stamp, if any, of the transferor and sible for establishing the exempt status of the transferee, (3) show the name of the transferee before making a and address of the manufacturer and transfer under the provisions of this the importer of the firearm, if known, section. Therefore, before engaging in (4) show the type, model, overall length transfer negotiations with the trans- (if applicable), length of barrel, caliber, feree, the transferor should satisfy gauge or size, serial number, and other himself as to the claimed exempt sta- marks of identification of the firearm, tus of the transferee and the bona fides and (5) contain a statement by the of the transaction. If not fully satis- transferor that the transferor is enti- fied, the transferor should commu- tled to the exemption because either nicate with the Director, report all cir- the transferor or the transferee is a cumstances regarding the proposed governmental entity coming within the transfer, and await the Director’s ad- purview of paragraph (a) of this sec- vice before making application for the tion. In the case of a transfer of a fire- transfer. An unapproved transfer or a arm by a governmental entity to a transfer to an unauthorized person transferee who is a natural person not may subject the transferor to civil and qualified as a manufacturer, importer, criminal liabilities. (See 26 U.S.C. 5852, or dealer under this part, the trans- 5861, and 5871.) feree shall be further identified in the [36 FR 14256, Aug. 3, 1971. Redesignated at 40 manner prescribed in § 479.85. If the Di- FR 16835, Apr. 15, 1975, and amended by T.D. rector approves an application, Form 5 ATF–48, 44 FR 55842, Sept. 28, 1979; T.D. ATF– (Firearms), the original Form 5 (Fire- 271, 53 FR 17551, May 17, 1988] arms) shall be returned to the transferor with the approval noted thereon. § 479.89 Transfers to the United States. Approval of an application, Form 5 A firearm may be transferred to the (Firearms), by the Director shall effec- United States or any department, inde- tuate the registration of that firearm pendent establishment or agency there- to the transferee. Upon receipt of the of without payment of the transfer tax. approved Form 5 (Firearms), the trans- However, the procedures for the transferor shall deliver same with the fire- fer of a firearm as provided in § 479.90 arm to the transferee. The transferor shall be followed in a tax-exempt shall not transfer the firearm to the transfer of a firearm under this sec- transferee until the application, Form tion, unless the transferor is relieved of 5 (Firearms), has been approved by the such requirement under other provi- Director and the original thereof has sions of this part. been returned to the transferor. If the Director disapproves the application, § 479.90 Certain government entities. Form 5 (Firearms), the original Form 5 (a) A firearm may be transferred (Firearms) shall be returned to the without payment of the transfer tax to transferor with the reasons for the dis- or from any State, possession of the approval stated thereon. An applica- United States, any political subdivi- tion by a governmental entity to trans- sion thereof, or any official police or- fer a firearm shall be denied if the ganization of such a governmental en- transfer, receipt, or possession of a tity engaged in criminal investiga- firearm would place the transferee in tions. violation of law. (b) The exemption provided in para- (c) The transferor shall be respon- graph (a) of this section shall be ob- sible for establishing the exempt status tained by the transferor of the firearm of the transferee before making a

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transfer under the provisions of this the transfer of a firearm authorized section. Therefore, before engaging in under the provisions of this subpart. transfer negotiations with the trans- [T.D. ATF–270, 53 FR 10510, Mar. 31, 1988] feree, the transferor should satisfy himself of the claimed exempt status of OTHER PROVISIONS the transferee and the bona fides of the transaction. If not fully satisfied, the § 479.93 Transfers of firearms to cer- transferor should communicate with tain persons. the Director, report all circumstances Where the transfer of a destructive regarding the proposed transfer, and device, machine gun, short-barreled await the Director’s advice before shotgun, or short-barreled rifle is to be making application for transfer. An un- made by a person licensed under the approved transfer or a transfer to an provisions of Title I of the Gun Control unauthorized person may subject the Act of 1968 (82 Stat. 1213) to a person transferor to civil and criminal liabil- not so licensed, the sworn statement ities. (See 26 U.S.C. 5852, 5861, and 5871.) required by § 478.98 of this chapter shall [36 FR 14256, Aug. 3, 1971. Redesignated at 40 be attached to and accompany the FR 16835, Apr. 15, 1975, and amended by T.D. transfer application required by this ATF–48, 44 FR 55842, Sept. 28, 1979; T.D. ATF– subpart. 241, 51 FR 39632, Oct. 29, 1986; T.D. ATF–270, 53 FR 10510, Mar. 31, 1988] Subpart G—Registration and § 479.91 Unserviceable firearms. Identification of Firearms An unserviceable firearm may be § 479.101 Registration of firearms. transferred as a curio or ornament (a) The Director shall maintain a without payment of the transfer tax. central registry of all firearms in the However, the procedures for the trans- United States which are not in the pos- fer of a firearm as provided in § 479.90 session of or under the control of the shall be followed in a tax-exempt United States. This registry shall be transfer of a firearm under this sec- known as the National Firearms Reg- tion, except a statement shall be en- istration and Transfer Record and shall tered on the transfer application, Form include: 5 (Firearms), by the transferor that he (1) Identification of the firearm as re- is entitled to the exemption because quired by this part; the firearm to be transferred is (2) Date of registration; and unservicable and is being transferred as (3) Identification and address of per- a curio or ornament. An unapproved son entitled to possession of the fire- transfer, the transfer of a firearm arm as required by this part. under the provisions of this section (b) Each manufacturer, importer, and which is in fact not an unserviceable maker shall register each firearm he firearm, or the transfer of an unserv- manufactures, imports, or makes in iceable firearm as something other the manner prescribed by this part. than a curio or ornament, may subject Each firearm transferred shall be reg- the transferor to civil and criminal li- istered to the transferee by the trans- abilities. (See 26 U.S.C. 5811, 5852, 5861, feror in the manner prescribed by this and 5871.) part. No firearm may be registered by [36 FR 14256, Aug. 3, 1971. Redesignated at 40 a person unlawfully in possession of FR 16835, Apr. 15, 1975, and amended by T.D. the firearm except during an amnesty ATF–48, 44 FR 55843, Sept. 28, 1979] period established under section 207 of the Gun Control Act of 1968 (82 Stat. § 479.92 Transportation of firearms to 1235). effect transfer. (c) A person shown as possessing fire- Notwithstanding any provision of arms by the records maintained by the § 478.28 of this chapter, it shall not be Director pursuant to the National Fire- required that authorization be ob- arms Act (26 U.S.C. Chapter 53) in force tained from the Director for the trans- on October 31, 1968, shall be considered portation in interstate or foreign com- to have registered the firearms in his merce of a firearm in order to effect possession which are disclosed by that

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record as being in his possession on Oc- (iii) Your name (or recognized abbre- tober 31, 1968. viation) and also, when applicable, the (d) The National Firearms Registra- name of the foreign manufacturer or tion and Transfer Record shall include maker; firearms registered to the possessors (iv) In the case of a domestically thereof under the provisions of section made firearm, the city and State (or 207 of the Gun Control Act of 1968. recognized abbreviation thereof) where (e) A person possessing a firearm reg- you as the manufacturer maintain istered to him shall retain proof of reg- your place of business, or where you, as istration which shall be made available the maker, made the firearm; and to any ATF officer upon request. (v) In the case of an imported fire- (f) A firearm not identified as re- arm, the name of the country in which quired by this part shall not be reg- it was manufactured and the city and istered. State (or recognized abbreviation thereof) where you as the importer [36 FR 14256, Aug. 3, 1971. Redesignated at 40 maintain your place of business. For FR 16835, Apr. 15, 1975, and amended by T.D. additional requirements relating to im- ATF–48, 44 FR 55843, Sept. 28, 1979] ported firearms, see Customs regula- § 479.102 How must firearms be identi- tions at 19 CFR part 134. fied? (b) The depth of all markings required by this section will be measured (a) You, as a manufacturer, importer, from the flat surface of the metal and or maker of a firearm, must legibly not the peaks or ridges. The height of identify the firearm as follows: serial numbers required by paragraph (1) By engraving, casting, stamping (a)(1) of this section will be measured (impressing), or otherwise conspicu- as the distance between the latitudinal ously placing or causing to be en- ends of the character impression bot- graved, cast, stamped (impressed) or toms (bases). placed on the frame or receiver thereof (c) The Director may authorize other an individual serial number. The serial means of identification upon receipt of number must be placed in a manner a letter application from you, sub- not susceptible of being readily obliter- mitted in duplicate, showing that such ated, altered, or removed, and must not other identification is reasonable and duplicate any serial number placed by will not hinder the effective adminis- you on any other firearm. For firearms tration of this part. manufactured, imported, or made on (d) In the case of a destructive de- and after January 30, 2002, the engrav- vice, the Director may authorize other ing, casting, or stamping (impressing) means of identifying that weapon upon of the serial number must be to a min- receipt of a letter application from imum depth of .003 inch and in a print you, submitted in duplicate, showing size no smaller than 1/16 inch; and that engraving, casting, or stamping (2) By engraving, casting, stamping (impressing) such a weapon would be (impressing), or otherwise conspicu- dangerous or impracticable. ously placing or causing to be en- (e) A firearm frame or receiver that graved, cast, stamped (impressed), or is not a component part of a complete placed on the frame, receiver, or barrel weapon at the time it is sold, shipped, thereof certain additional information. or otherwise disposed of by you must This information must be placed in a be identified as required by this sec- manner not susceptible of being readily tion. obliterated, altered or removed. For (f)(1) Any part defined as a machine firearms manufactured, imported, or gun, muffler, or silencer for the pur- made on and after January 30, 2002, the poses of this part that is not a compo- engraving, casting, or stamping (im- nent part of a complete firearm at the pressing) of this information must be time it is sold, shipped, or otherwise to a minimum depth of .003 inch. The disposed of by you must be identified additional information includes: as required by this section. (i) The model, if such designation has (2) The Director may authorize other been made; means of identification of parts defined (ii) The caliber or gauge; as machine guns other than frames or

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receivers and parts defined as mufflers registered to it, such as by abandon- or silencers upon receipt of a letter ap- ment or by forfeiture, will register plication from you, submitted in dupli- such firearm with the Director by fil- cate, showing that such other identi- ing Form 10 (Firearms), Registration of fication is reasonable and will not Firearms Acquired by Certain Govern- hinder the effective administration of mental Entities, and such registration this part. shall become a part of the National (Approved by the Office of Management and Firearms Registration and Transfer Budget under control number 1140–0050) Record. The application shall identify the applicant, describe each firearm [T.D. ATF–461, 66 FR 40601, Aug. 3, 2001, as covered by the application, show the amended by ATF–11F, 73 FR 57242, Oct. 2, 2008] location where each firearm usually will be kept, and, if the firearm is un- § 479.103 Registration of firearms man- serviceable, the application shall show ufactured. how the firearm was made unservice- Each manufacturer qualified under able. This section shall not apply to a this part shall file with the Director an firearm merely being held for use as accurate notice on Form 2 (Firearms), evidence in a criminal proceeding. The Notice of Firearms Manufactured or Form 10 (Firearms) shall be executed in Imported, executed under the penalties duplicate in accordance with the in- of perjury, to show his manufacture of structions thereon. Upon registering firearms. The notice shall set forth the the firearm, the Director shall return name and address of the manufacturer, the original Form 10 (Firearms) to the identify his special (occupational) tax registrant with notification thereon stamp and Federal firearms license, that registration of the firearm has and show the date of manufacture, the been made. The registration of any type, model, length of barrel, overall firearm under this section is for offi- length, caliber, gauge or size, serial cial use only and a subsequent transfer numbers, and other marks of identi- will be approved only to other govern- fication of the firearms he manufac- mental entities for official use. tures, and the place where the manu- [36 FR 14256, Aug. 3, 1971. Redesignated at 40 factured firearms will be kept. All fire- FR 16835, Apr. 15, 1975, and amended by T.D. arms manufactured by him during a ATF–241, 51 FR 39633, Oct. 29, 1986; T.D. ATF– single day shall be included on one no- 270, 53 FR 10510, Mar. 31, 1988] tice, Form 2 (Firearms), filed by the manufacturer no later than the close of MACHINE GUNS the next business day. The manufacturer shall prepare the notice, Form 2 § 479.105 Transfer and possession of (Firearms), in duplicate, file the origi- machine guns. nal notice as prescribed herein and (a) General. As provided by 26 U.S.C. keep the copy with the records re- 5812 and 26 U.S.C. 5822, an application quired by subpart I of this part at the to make or transfer a firearm shall be premises covered by his special (occu- denied if the making, transfer, receipt, pational) tax stamp. Receipt of the no- or possession of the firearm would tice, Form 2 (Firearms), by the Direc- place the maker or transferee in viola- tor shall effectuate the registration of tion of law. Section 922(o), Title 18, the firearms listed on that notice. The U.S.C., makes it unlawful for any per- requirements of this part relating to son to transfer or possess a machine the transfer of a firearm are applicable gun, except a transfer to or by, or pos- to transfers by qualified manufactur- session by or under the authority of, ers. the United States or any department or agency thereof or a State, or a de- § 479.104 Registration of firearms by partment, agency, or political subdivi- certain governmental entities. sion thereof; or any lawful transfer or Any State, any political subdivision lawful possession of a machine gun thereof, or any official police organiza- that was lawfully possessed before May tion of such a government entity en- 19, 1986. Therefore, notwithstanding gaged in criminal investigations, which any other provision of this part, no ap- acquires for official use a firearm not plication to make, transfer, or import

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a machine gun will be approved except (e) The making of machine guns on or as provided by this section. after May 19, 1986. Subject to compli- (b) Machine guns lawfully possessed ance with the provisions of this part, prior to May 19, 1986. A machine gun applications to make and register ma- possessed in compliance with the provi- chine guns on or after May 19, 1986, for sions of this part prior to May 19, 1986, the benefit of a Federal, State or local may continue to be lawfully possessed governmental entity (e.g., an invention by the person to whom the machine for possible future use of a govern- gun is registered and may, upon com- mental entity or the making of a weap- pliance with the provisions of this part, on in connection with research and de- be lawfully transferred to and pos- velopment on behalf of such an entity) sessed by the transferee. will be approved if it is established by (c) Importation and manufacture. Sub- specific information that the machine ject to compliance with the provisions gun is particularly suitable for use by of this part, importers and manufactur- Federal, State or local governmental ers qualified under this part may im- entities and that the making of the port and manufacture machine guns on weapon is at the request and on behalf or after May 19, 1986, for sale or dis- of such an entity. tribution to any department or agency (f) Discontinuance of business. Since of the United States or any State or section 922(o), Title 18, U.S.C., makes it political subdivision thereof, or for use unlawful to transfer or possess a ma- by dealers qualified under this part as chine gun except as provided in the sales samples as provided in paragraph law, any qualified manufacturer, im- (d) of this section. The registration of porter, or dealer intending to dis- such machine guns under this part and continue business shall, prior to going their subsequent transfer shall be con- out of business, transfer in compliance ditioned upon and restricted to the sale with the provisions of this part any or distribution of such weapons for the machine gun manufactured or im- official use of Federal, State or local ported after May 19, 1986, to a Federal, governmental entities. Subject to com- State or local governmental entity, pliance with the provisions of this part, qualified manufacturer, qualified im- manufacturers qualified under this porter, or, subject to the provisions of part may manufacture machine guns paragraph (d) of this section, dealer on or after May 19, 1986, for exportation qualified to possess such, machine gun. in compliance with the Arms Export Control Act (22 U.S.C. 2778) and regula- [T.D. ATF–270, 53 FR 10510, Mar. 31, 1988] tions prescribed thereunder by the De- partment of State. Subpart H—Importation and (d) Dealer sales samples. Subject to Exportation compliance with the provisions of this part, applications to transfer and reg- IMPORTATION ister a machine gun manufactured or imported on or after May 19, 1986, to § 479.111 Procedure. dealers qualified under this part will be (a) No firearm shall be imported or approved if it is established by specific brought into the United States or any information the expected govern- territory under its control or jurisdic- mental customers who would require a tion unless the person importing or demonstration of the weapon, informa- bringing in the firearm establishes to tion as to the availability of the ma- the satisfaction of the Director that chine gun to fill subsequent orders, and the firearm to be imported or brought letters from governmental entities ex- in is being imported or brought in for: pressing a need for a particular model (1) The use of the United States or or interest in seeing a demonstration any department, independent establish- of a particular weapon. Applications to ment, or agency thereof or any State transfer more than one machine gun of or possession or any political subdivi- a particular model to a dealer must sion thereof; or also establish the dealer’s need for the (2) Scientific or research purposes; or quantity of samples sought to be trans- (3) Testing or use as a model by a ferred. registered manufacturer or solely for

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use as a sample by a registered im- and procedures are also complied with porter or registered dealer. by the person importing the firearm. The burden of proof is affirmatively on (c) The provisions of this subpart any person importing or bringing the shall not be construed as prohibiting firearm into the United States or any the return to the United States or any territory under its control or jurisdic- territory under its control or jurisdiction to show that the firearm is being tion of a firearm by a person who can imported or brought in under one of establish to the satisfaction of Cus- the above paragraphs. Any person de- toms that (1) the firearm was taken siring to import or bring a firearm into out of the United States or any terri- the United States under this paragraph tory under its control or jurisdiction shall file with the Director an applica- by such person, (2) the firearm is reg- tion on Form 6 (Firearms), Application istered to that person, and (3) if appro- and Permit for Importation of Fire- priate, the authorization required by arms, Ammunition and Implements of Part 478 of this chapter for the trans- War, in triplicate, executed under the portation of such a firearm in inter- penalties of perjury. The application state or foreign commerce has been ob- shall show the information required by tained by such person. subpart G of Part 478 of this chapter. A detailed explanation of why the impor- [36 FR 14256, Aug. 3, 1971. Redesignated at 40 tation of the firearm falls within the FR 16835, Apr. 15, 1975, and amended by T.D. ATF–48, 44 FR 55843, Sept. 28, 1979; ATF–325, standards set out in this paragraph 57 FR 29787, July 7, 1992] shall be attached to the application. The person seeking to import or bring § 479.112 Registration of imported fire- in the firearm will be notified of the arms. approval or disapproval of his applica- (a) Each importer shall file with the tion. If the application is approved, the original Form 6 (Firearms) will be re- Director an accurate notice on Form 2 turned to the applicant showing such (Firearms), Notice of Firearms Manu- approval and he will present the ap- factured or Imported, executed under proved application, Form 6 (Firearms), the penalties of perjury, showing the to the Customs officer at the port of importation of a firearm. The notice importation. The approval of an appli- shall set forth the name and address of cation to import a firearm shall be the importer, identify the importer’s automatically terminated at the expi- special (occupational) tax stamp and ration of one year from the date of ap- Federal firearms license, and show the proval unless, upon request, it is fur- import permit number, the date of re- ther extended by the Director. If the lease from Customs custody, the type, firearm described in the approved ap- model, length of barrel, overall length, plication is not imported prior to the caliber, gauge or size, serial number, expiration of the approval, the Director and other marks of identification of shall be so notified. Customs officers the firearm imported, and the place will not permit release of a firearm where the imported firearm will be from Customs custody, except for ex- kept. The Form 2 (Firearms) covering portation, unless covered by an appli- an imported firearm shall be filed by cation which has been approved by the the importer no later than fifteen (15) Director and which is currently effec- days from the date the firearm was re- tive. The importation or bringing in of leased from Customs custody. The im- a firearm not covered by an approved porter shall prepare the notice, Form 2 application may subject the person re- (Firearms), in duplicate, file the origi- sponsible to civil and criminal liabil- nal return as prescribed herein, and ities. (26 U.S.C. 5861, 5871, and 5872.) keep the copy with the records re- (b) Part 478 of this chapter also con- quired by subpart I of this part at the tains requirements and procedures for premises covered by the special (occu- the importation of firearms into the pational) tax stamp. The timely re- United States. A firearm may not be ceipt by the Director of the notice, imported into the United States under Form 2 (Firearms), and the timely re- this part unless those requirements ceipt by the Director of the copy of

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Form 6A (Firearms), Release and Re- tion of the firearm. Information as to ceipt of Imported Firearms, Ammuni- the availability of the firearm to fill tion and Implements of War, required subsequent orders and letters from gov- by § 478.112 of this chapter, covering the ernmental entities expressing a need weapon reported on the Form 2 (Fire- for a particular model or interest in arms) by the qualified importer, shall seeing a demonstration of a particular effectuate the registration of the fire- firearm would establish suitability for arm to the importer. governmental use. Applications to im- (b) The requirements of this part report more than one firearm of a par- lating to the transfer of a firearm are ticular model for use as a sample by an applicable to the transfer of imported importer or dealer must also establish firearms by a qualified importer or any the importer’s or dealer’s need for the other person. quantity of samples sought to be im- (c) Subject to compliance with the ported. provisions of this part, an application, Form 6 (Firearms), to import a firearm [36 FR 14256, Aug. 3, 1971. Redesignated at 40 by an importer or dealer qualified FR 16835, Apr. 15, 1975, and amended by T.D. under this part, for use as a sample in ATF–241, 51 FR 39633, Oct. 29, 1986; T.D. ATF– connection with sales of such firearms 270, 53 FR 10511, Mar. 31, 1988] to Federal, State or local govern- § 479.113 Conditional importation. mental entities, will be approved if it is established by specific information The Director shall permit the condi- attached to the application that the tional importation or bringing into the firearm is suitable or potentially suit- United States of any firearm for the able for use by such entities. Such in- purpose of examining and testing the formation must show why a sales sam- firearm in connection with making a ple of a particular firearm is suitable determination as to whether the im- for such use and the expected govern- portation or bringing in of such fire- mental customers who would require a arm will be authorized under this sub- demonstration of the firearm. Informa- part. An application under this section tion as to the availability of the fire- shall be filed on Form 6 (Firearms), in arm to fill subsequent orders and let- triplicate, with the Director. The Di- ters from governmental entities ex- rector may impose conditions upon any pressing a need for a particular model importation under this section includ- or interest in seeing a demonstration ing a requirement that the firearm be of a particular firearm would establish shipped directly from Customs custody suitability for governmental use. Ap- to the Director and that the person im- plications to import more than one porting or bringing in the firearm must firearm of a particular model for use as agree to either export the weapon or a sample by an importer or dealer must destroy it if a final determination is also establish the importer’s or dealer’s made that it may not be imported or need for the quantity of samples brought in under this subpart. A fire- sought to be imported. arm so imported or brought into the (d) Subject to compliance with the United States may be released from provisions of this part, an application, Customs custody in the manner pre- Form 6 (Firearms), to import a firearm scribed by the conditional authoriza- by an importer or dealer qualified tion of the Director. under this part, for use as a sample in connection with sales of such firearms [T.D. ATF–270, 53 FR 10511, Mar. 31, 1988] to Federal, State or local governmental entities, will be approved if it EXPORTATION is established by specific information attached to the application that the § 479.114 Application and permit for firearm is particularly suitable for use exportation of firearms. by such entities. Such information Any person desiring to export a fire- must show why a sales sample of a par- arm without payment of the transfer ticular firearm is suitable for such use tax must file with the Director an ap- and the expected governmental cus- plication on Form 9 (Firearms), Appli- tomers who would require a demonstra- cation and Permit for Exportation of

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Firearms, in quadruplicate, for a per- one copy of the form must be presented mit providing for deferment of tax li- to the postmaster at the office receiv- ability. Part 1 of the application shall ing the parcel who will execute Part 4 show the name and address of the for- of such form and return the form to the eign consignee, number of firearms exporter for transmittal to the Direc- covered by the application, the in- tor. In the event exportation is not ef- tended port of exportation, a complete fected, all copies of the form must be description of each firearm to be ex- immediately returned to the Director ported, the name, address, State De- for cancellation. partment license number (or date of application if not issued), and identi- § 479.117 Action by Customs. fication of the special (occupational) tax stamp of the transferor. Part 1 of Upon receipt of a permit, Form 9 the application shall be executed under (Firearms), in duplicate, authorizing the penalties of perjury by the trans- the exportation of firearms, the Dis- feror and shall be supported by a cer- trict Director of Customs may order tified copy of a written order or con- such inspection as deemed necessary tract of sale or other evidence showing prior to lading of the merchandise. If that the firearm is to be shipped to a satisfied that the shipment is proper foreign designation. Where it is desired and the information contained in the to make a transfer free of tax to an- permit to export is in agreement with other person who in turn will export information shown in the shipper’s ex- the firearm, the transferor shall like- port declaration, the District Director wise file an application supported by of Customs will, after the merchandise evidence that the transfer will start has been duly exported, execute the the firearm in course of exportation, certificate of exportation (Part 3 of except, however, that where such Form 9 (Firearms)). One copy of the transferor and exporter are registered form will be retained with the shipper’s special-taxpayers the transferor will export declaration and the remaining not be required to file an application copy thereof will be transmitted to the on Form 9 (Firearms). Director. § 479.115 Action by Director. § 479.118 Proof of exportation. If the application is acceptable, the Director will execute the permit, Part Within a six-month’s period from 2 of Form 9 (Firearms), to export the date of issuance of the permit to export firearm described on the form and re- firearms, the exporter shall furnish or turn three copies thereof to the appli- cause to be furnished to the Director cant. Issuance of the permit by the Di- (a) the certificate of exportation (Part rector will suspend assertion of tax li- 3 of Form 9 (Firearms)) executed by the ability for a period of six (6) months District Director of Customs as pro- from the date of issuance. If the appli- vided in § 479.117, or (b) the certificate cation is disapproved, the Director will of mailing by parcel post (Part 4 of indicate thereon the reason for such Form 9 (Firearms)) executed by the action and return the forms to the ap- postmaster of the post office receiving plicant. the parcel containing the firearm, or (c) a certificate of landing executed by § 479.116 Procedure by exporter. a Customs officer of the foreign coun- Shipment may not be made until the try to which the firearm is exported, or permit, Form 9 (Firearms), is received (d) a sworn statement of the foreign from the Director. If exportation is to consignee covering the receipt of the be made by means other than by parcel firearm, or (e) the return receipt, or a post, two copies of the form must be reproduced copy thereof, signed by the addressed to the District Director of Customs at the port of exportation, addressee or his agent, where the ship- and must precede or accompany the ment of a firearm was made by insured shipment in order to permit appro- or registered parcel post. Issuance of a priate inspection prior to lading. If ex- permit to export a firearm and fur- portation is to be made by parcel post, nishing of evidence establishing such

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exportation under this section will re- authorities thereof. In the case of a lieve the actual exporter and the per- nontaxable transfer to a person in such son selling to the exporter for expor- insular possession, the exemption ex- tation from transfer tax liability. tends only to such transfer and not to Where satisfactory evidence of expor- prior transfers. tation of a firearm is not furnished within the stated period, the transfer ARMS EXPORT CONTROL ACT tax will be assessed. § 479.122 Requirements. § 479.119 Transportation of firearms to effect exportation. (a) Persons engaged in the business of importing firearms are required by the Notwithstanding any provision of Arms Export Control Act (22 U.S.C. § 478.28 of this chapter, it shall not be required that authorization be ob- 2778) to register with the Director. (See tained from the Director for the trans- Part 447 of this chapter.) portation in interstate or foreign com- (b) Persons engaged in the business of merce of a firearm in order to effect exporting firearms caliber .22 or larger the exportation of a firearm authorized are subject to the requirements of a li- under the provisions of this subpart. cense issued by the Secretary of State. Application for such license should be [T.D. ATF–270, 53 FR 10511, Mar. 31, 1988] made to the Office of Munitions Con- § 479.120 Refunds. trol, Department of State, Washington, Where, after payment of tax by the DC 20502, prior to exporting firearms. manufacturer, a firearm is exported, [36 FR 14256, Aug. 3, 1971. Redesignated at 40 and satisfactory proof of exportation FR 16835, Apr. 15, 1975, and amended by T.D. (see § 479.118) is furnished, a claim for ATF–241, 51 FR 39634, Oct. 29, 1986; T.D. ATF– refund may be submitted on Form 843 270, 53 FR 10511, Mar. 31, 1988] (see § 479.172). If the manufacturer waives all claim for the amount to be Subpart I—Records and Returns refunded, the refund shall be made to the exporter. A claim for refund by an § 479.131 Records. exporter of tax paid by a manufacturer should be accompanied by waiver of the For the purposes of this part, each manufacturer and proof of tax payment manufacturer, importer, and dealer in by the latter. firearms shall keep and maintain such records regarding the manufacture, im- § 479.121 Insular possessions. portation, acquisition (whether by Transfers of firearms to persons in making, transfer, or otherwise), re- the insular possessions of the United ceipt, and disposition of firearms as are States are exempt from transfer tax, prescribed, and in the manner and provided title in cases involving place required, by part 478 of this chap- change of title (and custody or control, ter. In addition, each manufacturer, in cases not involving change of title), importer, and dealer shall maintain, in does not pass to the transferee or his chronological order, at his place of agent in the United States. However, business a separate record consisting of such exempt transactions must be cov- the documents required by this part ered by approved permits and sup- showing the registration of any firearm porting documents corresponding to to him. If firearms owned or possessed those required in the case of firearms by a manufacturer, importer, or dealer exported to foreign countries (see are stored or kept on premises other §§ 479.114 and 479.115), except that the than the place of business shown on his Director may vary the requirements special (occupational) tax stamp, the herein set forth in accordance with the record establishing registration shall requirements of the governing author- show where such firearms are stored or ity of the insular possession. Ship- kept. The records required by this part ments to the insular possessions will not be authorized without compliance with the requirements of the governing

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shall be readily accessible for inspection of the books, but the making of tion at all reasonable times by ATF of- such return by an ATF officer shall not ficers. relieve the person from any default or (Approved by the Office of Management and penalty incurred by reason of failure to Budget under control number 1140–0032) make such return. [36 FR 14256, Aug. 3, 1971. Redesignated at 40 (53 Stat. 437; 26 U.S.C. 6020) FR 16835, Apr. 15, 1975, and amended by T.D. ATF–172, 49 FR 14942, Apr. 16, 1984; ATF–11F, § 479.152 Penalties (records and re- 73 FR 57242, Oct. 2, 2008] turns). Any person failing to keep records or Subpart J—Stolen or Lost Firearms make returns, or making, or causing or Documents the making of, a false entry on any application, return or record, knowing § 479.141 Stolen or lost firearms. such entry to be false, is liable to fine Whenever any registered firearm is and imprisonment as provided in sec- stolen or lost, the person losing posses- tion 5871, I.R.C. sion thereof will, immediately upon discovery of such theft or loss, make a report to the Director showing the fol- Subpart L—Distribution and Sale of lowing: Stamps (a) Name and address of the person in whose name the firearm is registered, § 479.161 National Firearms Act (b) kind of firearm, (c) serial number, stamps. (d) model, (e) caliber, (f) manufacturer ‘‘National Firearms Act’’ stamps evi- of the firearm, (g) date and place of dencing payment of the transfer tax or theft or loss, and (h) complete state- tax on the making of a firearm are ment of facts and circumstances sur- maintained by the Director. The remit- rounding such theft or loss. tance for purchase of the appropriate tax stamp shall be submitted with the § 479.142 Stolen or lost documents. application. Upon approval of the ap- When any Forms 1, 2, 3, 4, 5, 6A, or 10 plication, the Director will cause the (Firearms) evidencing possession of a appropriate tax to be paid by affixing firearm is stolen, lost, or destroyed, the appropriate stamp to the applica- the person losing possession will imme- tion. diately upon discovery of the theft, loss, or destruction report the matter [T.D. ATF–270, 53 FR 10511, Mar. 31, 1988] to the Director. The report will show in detail the circumstances of the theft, § 479.162 Stamps authorized. loss, or destruction and will include all Adhesive stamps of the $5 and $200 known facts which may serve to iden- denomination, bearing the words ‘‘Na- tify the document. Upon receipt of the tional Firearms Act,’’ have been pre- report, the Director will make such in- pared and only such stamps shall be vestigation as appears appropriate and used for the payment of the transfer may issue a duplicate document upon tax and for the tax on the making of a such conditions as the circumstances firearm. warrant. [T.D. ATF–270, 53 FR 10511, Mar. 31, 1988]

Subpart K—Examination of Books § 479.163 Reuse of stamps prohibited. and Records A stamp once affixed to one docu- § 479.151 Failure to make returns: Sub- ment cannot lawfully be removed and stitute returns. affixed to another. Any person willfully If any person required by this part to reusing such a stamp shall be subject make returns shall fail or refuse to to the penalty prescribed by 26 U.S.C. make any such return within the time 7208. prescribed by this part or designated [36 FR 14256, Aug. 3, 1971. Redesignated at 40 by the Director, then the return shall FR 16835, Apr. 15, 1975, and amended by T.D. be made by an ATF officer upon inspec- ATF–48, 44 FR 55843, Sept. 28, 1979]

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Subpart M—Redemption of or Such claim shall be filed within 3 years Allowance for Stamps or Refunds next after payment of the tax. (68A Stat. 808, 830; 26 U.S.C. 6511, 6805) § 479.171 Redemption of or allowance for stamps. [T.D. ATF–270, 53 FR 10512, Mar. 31, 1988] Where a National Firearms Act Subpart N—Penalties and stamp is destroyed, mutilated or ren- Forfeitures dered useless after purchase, and before liability has been incurred, such stamp § 479.181 Penalties. may be redeemed by giving another Any person who violates or fails to stamp in lieu thereof. Claim for re- comply with the requirements of 26 demption of the stamp should be filed U.S.C. Chapter 53 shall, upon convic- on ATF Form 2635 (5620.8) with the Di- tion, be subject to the penalties im- rector. Such claim shall be accom- posed under 26 U.S.C. 5871. panied by the stamp or by a satisfactory explanation of the reasons why [T.D. ATF–48, 44 FR 55843, Sept. 28, 1979] the stamp cannot be returned, and § 479.182 Forfeitures. shall be filed within 3 years after the purchase of the stamp. Any firearm involved in any violation of the provisions of 26 U.S.C. Chap- (68A Stat. 830; 26 U.S.C. 6805) ter 53, shall be subject to seizure, and [T.D. ATF–270, 53 FR 10511, Mar. 31, 1988] forfeiture under the internal revenue laws: Provided, however, That the dis- § 479.172 Refunds. position of forfeited firearms shall be in conformance with the requirements As indicated in this part, the transfer of 26 U.S.C. 5872. In addition, any ves- tax or tax on the making of a firearm sel, vehicle or aircraft used to trans- is ordinarily paid by the purchase and port, carry, convey or conceal or pos- affixing of stamps, while special tax sess any firearm with respect to which stamps are issued in payment of special there has been committed any viola- (occupational) taxes. However, in ex- tion of any provision of 26 U.S.C. Chap- ceptional cases, transfer tax, tax on ter 53, or the regulations in this part the making of firearms, and/or special issued pursuant thereto, shall be sub- (occupational) tax may be paid pursu- ject to seizure and forfeiture under the ant to assessment. Claims for refunds Customs laws, as provided by the act of of such taxes, paid pursuant to assess- August 9, 1939 (49 U.S.C. App., Chapter ment, shall be filed on ATF Form 2635 11). (5620.8) within 3 years next after payment of the taxes. Such claims shall be [T.D. ATF–270, 53 FR 10512, Mar. 31, 1988] filed with the regional director (compliance) serving the region in which Subpart O—Other Laws the tax was paid. (For provisions relat- Applicable ing to hand-carried documents and manner of filing, see 26 CFR 301.6091– § 479.191 Applicability of other provi- 1(b) and 301.6402–2(a).) When an appli- sions of internal revenue laws. cant to make or transfer a firearm All of the provisions of the internal wishes a refund of the tax paid on an revenue laws not inconsistent with the approved application where the firearm provisions of 26 U.S.C. Chapter 53 shall was not made pursuant to an approved be applicable with respect to the taxes Form 1 (Firearms) or transfer of the imposed by 26 U.S.C. 5801, 5811, and 5821 firearm did not take place pursuant to (see 26 U.S.C. 5846). an approved Form 4 (Firearms), the ap- [T.D. ATF–48, 44 FR 55843, Sept. 28, 1979] plicant shall file a claim for refund of the tax on ATF Form 2635 (5620.8) with § 479.192 Commerce in firearms and the Director. The claim shall be ac- ammunition. companied by the approved application For provisions relating to commerce bearing the stamp and an explanation in firearms and ammunition, including why the tax liability was not incurred. the movement of destructive devices,

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machine guns, short-barreled shotguns, gaged in the business of manufac- or short-barreled rifles, see 18 U.S.C. turing, importing or exporting arms, Chapter 44, and Part 478 of this chapter ammunition, or implements of war, see issued pursuant thereto. the Arms Export Control Act (22 U.S.C. [36 FR 14256, Aug. 3, 1971. Redesignated at 40 2778), and the regulations issued pursu- FR 16835, Apr. 15, 1975, and amended by T.D. ant thereto. (See also Part 447 of this ATF–48, 44 FR 55843, Sept. 28, 1979] chapter.) § 479.193 Arms Export Control Act. [T.D. ATF–270, 53 FR 10512, Mar. 31, 1988] For provisions relating to the registration and licensing of persons en-

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PART 555—COMMERCE IN 555.59 Right of succession by certain persons. EXPLOSIVES 555.60 Certain continuances of business or operations. Subpart A—Introduction 555.61 Discontinuance of business or operations. Sec. 555.62 State or other law. 555.1 Scope of regulations. 555.63 Explosives magazine changes. 555.2 Relation to other provisions of law. Subpart E—License and Permit Subpart B—Definitions Proceedings 555.11 Meaning of terms. 555.71 Opportunity for compliance. 555.72 Denial of initial application. Subpart C—Administrative and 555.73 Hearing after initial application is Miscellaneous Provisions denied. 555.74 Denial of renewal application or rev- 555.21 Forms prescribed. ocation of license or permit. 555.22 Alternate methods or procedures; 555.75 Hearing after denial of renewal appli- emergency variations from require- cation or revocation of license or permit. ments. 555.76 Action by regional director (compli- 555.23 List of explosive materials. ance). 555.24 Right of entry and examination. 555.77 Designated place of hearing. 555.25 Disclosure of information. 555.78 Representation at a hearing. 555.26 Prohibited shipment, transportation, 555.79 Appeal on petition to the Director. receipt, possession, or distribution of ex- 555.80 Court review. plosive materials. 555.81 Service on applicant, licensee, or per- 555.27 Out-of-State disposition of explosive mittee. materials. 555.82 Provisions of part 200 made applica- 555.28 Stolen explosive materials. ble. 555.29 Unlawful storage. 555.83 Operations by licensees or permittees 555.30 Reporting theft or loss of explosive after notice of denial or revocation. materials. 555.31 Inspection of site of accidents or Subpart F—Conduct of Business or fires; right of entry. Operations 555.32 Special explosive devices. 555.33 Background checks and clearances 555.101 Posting of license or user permit. (effective May 24, 2003). 555.102 Authorized operations by permit- 555.34 Replacement of stolen or lost ATF tees. 555.103 Transactions among licensees/per- Form 5400.30 (Intrastate Purchase of Ex- mittees and transactions among licens- plosives Coupon (IPEC)). ees and holders of user permits. 555.104 Certified copy of license or permit. Subpart D—Licenses and Permits 555.105 Distributions to nonlicensees, non- 555.41 General. permittees, and limited permittees. 555.42 License fees. 555.106 Certain prohibited distributions. 555.43 Permit fees. 555.107 Record of transactions. 555.44 License or permit fee not refundable. 555.108 Importation. 555.45 Original license or permit. 555.109 Identification of explosive materials. 555.110 Furnishing of samples (Effective on 555.46 Renewal of license or permit. and after January 24, 2003). 555.47 Insufficient fee. 555.48 Abandoned application. Subpart G—Records and Reports 555.49 Issuance of license or permit. 555.50 Correction of error on license or per- 555.121 General. mit. 555.122 Records maintained by licensed im- 555.51 Duration of license or permit. porters. 555.52 Limitations on license or permit. 555.123 Records maintained by licensed 555.53 License and permit not transferable. manufacturers. 555.54 Change of address. 555.124 Records maintained by licensed deal- 555.56 Change in trade name. ers. 555.57 Change of control, change in respon- 555.125 Records maintained by permittees. sible persons, and change of employees. 555.126 Explosives transaction record for 555.58 Continuing partnerships. distribution of explosive materials prior

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to May 24, 2003 and Limited Permittee materials used in assembling fireworks Transaction Report for distribution of or articles pyrotechnic. explosive materials on and after May 24, 555.222 Table of distances between fireworks 2003. process buildings and between fireworks 555.127 Daily summary of magazine trans- process and fireworks nonprocess build- actions. ings. 555.128 Discontinuance of business. 555.223 Table of distances between fireworks 555.129 Exportation. process buildings and other specified 555.130 [Reserved] areas. Subpart H—Exemptions 555.224 Table of distances for the storage of display fireworks (except bulk salutes). 555.141 Exemptions. 555.142 Relief from disabilities (effective AUTHORITY: 18 U.S.C. 847. January 24, 2003). SOURCE: T.D. ATF–87, 46 FR 40384, Aug. 7, 1981, unless otherwise noted. Redesignated Subpart I—Unlawful Acts, Penalties, by T.D. ATF–487, 68 FR 3748, Jan. 24, 2003. Seizures, and Forfeitures EDITORIAL NOTE: Nomenclature changes to 555.161 Engaging in business without a li- part 555 appear at 68 FR 3748, Jan. 24, 2003. cense. 555.162 False statement or representation. 555.163 False entry in record. Subpart A—Introduction 555.164 Unlawful storage. 555.165 Failure to report theft or loss. § 555.1 Scope of regulations. 555.166 Seizure or forfeiture. (a) In general. The regulations con- Subpart J—Marking of Plastic Explosives tained in this part relate to commerce in explosives and implement Title XI, 555.180 Prohibitions relating to unmarked Regulation of Explosives (18 U.S.C. plastic explosives. 555.181 Reporting of plastic explosives. Chapter 40; 84 Stat. 952), of the Orga- 555.182 Exceptions. nized Crime Control Act of 1970 (84 555.183 Importations of plastic explosives on Stat. 922), Pub. L. 103–322 (108 Stat. or after April 24, 1997. 1796), Pub. L. 104–132 (110 Stat. 1214), 555.184 Statements of process and samples. and Pub. L. 107–296 (116 Stat. 2135). 555.185 Criminal sanctions. 555.186 Seizure or forfeiture. (b) Procedural and substantive requirements. This part contains the proce- Subpart K—Storage dural and substantive requirements relative to: 555.201 General. 555.202 Classes of explosive materials. (1) The interstate or foreign com- 555.203 Types of magazines. merce in explosive materials; 555.204 Inspection of magazines. (2) The licensing of manufacturers 555.205 Movement of explosive materials. and importers of, and dealers in, explo- 555.206 Location of magazines. sive materials; 555.207 Construction of type 1 magazines. 555.208 Construction of type 2 magazines. (3) The issuance of permits; 555.209 Construction of type 3 magazines. (4) The conduct of business by licens- 555.210 Construction of type 4 magazines. ees and operations by permittees; 555.211 Construction of type 5 magazines. (5) The storage of explosive mate- 555.212 Smoking and open flames. 555.213 Quantity and storage restrictions. rials; 555.214 Storage within types 1, 2, 3, and 4 (6) The records and reports required magazines. of licensees and permittees; 555.215 Housekeeping. (7) Relief from disabilities under this 555.216 Repair of magazines. part; 555.217 Lighting. 555.218 Table of distances for storage of ex- (8) Exemptions, unlawful acts, pen- plosive materials. alties, seizures, and forfeitures; and 555.219 Table of distances for storage of low (9) The marking of plastic explosives. explosives. 555.220 Table of separation distances of am- [T.D. ATF–87, 46 FR 40384, Aug. 7, 1981, as monium nitrate and blasting agents from amended by T.D. ATF–363, 60 FR 17449, Apr. explosives or blasting agents. 6, 1995; T.D. ATF–387, 62 FR 8376, Feb. 25, 555.221 Requirements for display fireworks, 1997; ATF No. 1, 68 FR 13780, Mar. 20, 2003] pyrotechnic compositions, and explosive

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§ 555.2 Relation to other provisions of and 76b of the Uniform Code of Military law. Justice, 10 U.S.C. 850a, 876b. The provisions in this part are in ad- Alien. Any person who is not a citizen dition to, and are not in lieu of, any or national of the United States. other provision of law, or regulations, Ammunition. Small arms ammunition respecting commerce in explosive ma- or cartridge cases, primers, bullets, or terials. For regulations applicable to smokeless propellants designed for use commerce in firearms and ammuni- in small arms, including percussion tion, see Part 478 of this chapter. For caps, and 3/32 inch and other external regulations applicable to traffic in ma- burning pyrotechnic hobby fuses. The chine guns, destructive devices, and term does not include black powder. certain other firearms, see Part 479 of Appropriate identifying information. this chapter. For statutes applicable to The term means, in relation to an indi- the registration and licensing of per- vidual: sons engaged in the business of manu- (a) The full name, date of birth, place facturing, importing or exporting of birth, sex, race, street address, State arms, ammunition, or implements of of residence, telephone numbers (home war, see section 38 of the Arms Export and work), country or countries of citi- Control Act (22 U.S.C. 2778), and regula- zenship, and position at the employer’s tions of Part 447 of this chapter and in business or operations of responsible Parts 121 through 128 of Title 22, Code persons and employees authorized to of Federal Regulations. For statutes possess explosive materials; applicable to nonmailable materials, (b) The business name, address, and see 18 U.S.C. 1716 and implementing license or permit number with which regulations. For statutes applicable to the responsible person or employee is water quality standards, see 33 U.S.C. affiliated; 1341. (c) If an alien, INS-issued alien number or admission number; and Subpart B—Definitions (d) Social security number, as op- § 555.11 Meaning of terms. tional information (this information is not required but is helpful in avoiding When used in this part, terms are de- misidentification when a background fined as follows in this section. Words check is conducted). in the plural form include the singular, Approved storage facility. A place and vice versa, and words indicating where explosive materials are stored, the masculine gender include the femi- consisting of one or more approved nine. The terms ‘‘includes’’ and ‘‘in- magazines, conforming to the require- cluding’’ do not exclude other things ments of this part and covered by a li- not named which are in the same gen- cense or permit issued under this part. eral class or are otherwise within the scope of the term defined. Articles pyrotechnic. Pyrotechnic de- Act. 18 U.S.C. Chapter 40. vices for professional use similar to Adjudicated as a mental defective. (a) A consumer fireworks in chemical com- determination by a court, board, composition and construction but not in- mission, or other lawful authority that tended for consumer use. Such articles a person, as a result of marked sub- meeting the weight limits for con- normal intelligence, or mental illness, sumer fireworks but not labeled as incompetency, condition, or disease: such and classified by U.S. Department (1) Is a danger to himself or to oth- of Transportation regulations in 49 ers; or CFR 172.101 as UN0431 or UN0432. (2) Lacks the mental capacity to con- Artificial barricade. An artificial tract or manage his own affairs. mound or revetted wall of earth of a (b) The term will include— minimum thickness of three feet, or (1) A finding of insanity by a court in any other approved barricade that of- a criminal case; and fers equivalent protection. (2) Those persons found incompetent ATF. (a) Prior to January 24, 2003. The to stand trial or found not guilty by Bureau of Alcohol, Tobacco and Fire- reason of lack of mental responsibility arms, Department of the Treasury, by any court or pursuant to articles 50a Washington, DC.

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(b) On and after January 24, 2003. The Bullet-sensitive explosive materials. Ex- Bureau of Alcohol, Tobacco, Firearms plosive materials that can be exploded and Explosives, Department of Justice, by 150-grain M2 ball ammunition hav- Washington, DC. ing a nominal muzzle velocity of 2700 ATF officer. (a) Prior to January 24, fps (824 mps) when fired from a .30 cal- 2003. An officer or employee of the Bu- iber rifle at a distance of 100 ft (30.5 m), reau of Alcohol, Tobacco and Firearms measured perpendicular. The test ma- (ATF) authorized to perform any func- terial is at a temperature of 70 to 75 de- tion relating to the administration or grees F (21 to 24 degrees C) and is enforcement of this part. placed against a 1⁄2 inch (12.4 mm) steel (b) On and after January 24, 2003. An backing plate. officer or employee of the Bureau of Bureau. (a) Prior to January 24, 2003. Alcohol, Tobacco, Firearms and Explo- The Bureau of Alcohol, Tobacco and sives (ATF) authorized to perform any Firearms, Department of the Treasury, function relating to the administration Washington, DC. or enforcement of this part. (b) On and after January 24, 2003. The Authority having jurisdiction for fire Bureau of Alcohol, Tobacco, Firearms safety. The fire department having ju- and Explosives, Department of Justice, risdiction over sites where explosives Washington, DC. When used with re- are manufactured or stored. Business premises. spect to a manufacturer, importer, or Barricaded. The effective screening of dealer, the property on which explosive a magazine containing explosive mate- materials are manufactured, imported, rials from another magazine, a build- stored or distributed. The premises ining, a railway, or a highway, either by clude the property where the records of a natural barricade or by an artificial a manufacturer, importer, or dealer are barricade. To be properly barricaded, a kept if different than the premises straight line from the top of any side- where explosive materials are manu- wall of the magazine containing explo- factured, imported, stored or distrib- sive materials to the eave line of any uted. When used with respect to a user other magazine or building, or to a of explosive materials, the property on point 12 feet above the center of a rail- which the explosive materials are re- way or highway, will pass through the ceived or stored. The premises includes natural or artificial barricade. the property where the records of the Blasting agent. Any material or mix- users are kept if different than the ture, consisting of fuel and oxidizer, premises where explosive materials are that is intended for blasting and not received or stored. otherwise defined as an explosive; if Chief, Firearms and Explosives Licens- the finished product, as mixed for use ing Center. The ATF official responsible or shipment, cannot be detonated by for the issuance and renewal of licenses means of a number 8 test blasting cap and permits under this part. when unconfined. A number 8 test Committed to a mental institution. A blasting cap is one containing 2 grams formal commitment of a person to a of a mixture of 80 percent mercury ful- mental institution by a court, board, minate and 20 percent potassium chlo- commission, or other lawful authority. rate, or a blasting cap of equivalent The term includes a commitment to a strength. An equivalent strength cap mental institution involuntarily. The comprises 0.40–0.45 grams of PETN base term includes commitment for mental charge pressed in an aluminum shell defectiveness or mental illness. It also with bottom thickness not to exceed to includes commitments for other rea- 0.03 of an inch, to a specific gravity of sons, such as for drug use. The term not less than 1.4 g/cc., and primed with does not include a person in a mental standard weights of primer depending institution for observation or a vol- on the manufacturer. untary admission to a mental institu- Bulk salutes. Salute components prior tion. to final assembly into aerial shells, and Common or contract carrier. Any indi- finished salute shells held separately vidual or organization engaged in the prior to being packed with other types business of transporting passengers or of display fireworks. goods.

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Consumer fireworks. Any small fire- term includes, but is not limited to, work device designed to produce visible electric blasting caps of instantaneous effects by combustion and which must and delay types, blasting caps for use comply with the construction, chem- with safety fuses, detonating-cord ical composition, and labeling regula- delay connectors, and nonelectric in- tions of the U.S. Consumer Product stantaneous and delay blasting caps. Safety Commission, as set forth in title Director. (a) Prior to January 24, 2003. 16, Code of Federal Regulations, parts The Director, Bureau of Alcohol, To- 1500 and 1507. Some small devices de- bacco and Firearms, Department of the signed to produce audible effects are Treasury, Washington, DC. included, such as whistling devices, (b) On and after January 24, 2003. The ground devices containing 50 mg or less Director, Bureau of Alcohol, Tobacco, of explosive materials, and aerial de- Firearms and Explosives, Department vices containing 130 mg or less of ex- of Justice, Washington, DC. plosive materials. Consumer fireworks Discharged under dishonorable condi- are classified as fireworks UN0336, and tions. Separation from the U.S. Armed UN0337 by the U.S. Department of Forces resulting from a dishonorable Transportation at 49 CFR 172.101. This discharge or dismissal adjudged by gen- term does not include fused setpieces eral court-martial. The term does not containing components which together include any separation from the Armed exceed 50 mg of salute powder. Forces resulting from any other dis- Controlled substance. A drug or other charge, e.g., a bad conduct discharge. substance, or immediate precursor, as Display fireworks. Large fireworks de- defined in section 102 of the Controlled signed primarily to produce visible or Substances Act, 21 U.S.C. 802. The term audible effects by combustion, defla- includes, but is not limited to, mari- gration, or detonation. This term in- juana, depressants, stimulants, and cludes, but is not limited to, salutes narcotic drugs. The term does not in- containing more than 2 grains (130 mg) clude distilled spirits, wine, malt bev- of explosive materials, aerial shells erages, or tobacco, as those terms are containing more than 40 grams of pyro- defined or used in Subtitle E of the In- technic compositions, and other dis- ternal Revenue Code of 1986, as amend- play pieces which exceed the limits of ed. explosive materials for classification Crime punishable by imprisonment for a as ‘‘consumer fireworks.’’ Display fire- term exceeding one year. Any offense for works are classified as fireworks which the maximum penalty, whether UN0333, UN0334 or UN0335 by the U.S. or not imposed, is capital punishment Department of Transportation at 49 or imprisonment in excess of one year. CFR 172.101. This term also includes The term does not include (a) any Fed- fused setpieces containing components eral or State offenses pertaining to which together exceed 50 mg of salute antitrust violations, unfair trade prac- powder. tices, restraints of trade, or (b) any Distribute. To sell, issue, give, trans- State offense (other than one involving fer, or otherwise dispose of. The term a firearm or explosive) classified by the does not include a mere change of pos- laws of the State as a misdemeanor and session from a person to his agent or punishable by a term of imprisonment employee in connection with the agen- of two years or less. cy or employment. Customs officer. Any officer of the Executed under penalties of perjury. Customs Service or any commissioned, Signed with the required declaration warrant, or petty officer of the Coast under the penalties of perjury as pro- Guard, or any agent or other person au- vided on or with respect to the return, thorized to perform the duties of an of- form, or other document or, where no ficer of the Customs Service. form of declaration is required, with Dealer. Any person engaged in the the declaration: business of distributing explosive ma- ‘‘I declare under the penalties of perjury terials at wholesale or retail. that this—(insert type of document, such as, Detonator. Any device containing a statement, application, request, certificate), detonating charge that is used for ini- including the documents submitted in sup- tiating detonation in an explosive. The port thereof, has been examined by me and,

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to the best of my knowledge and belief, is for individual public displays and for true, correct, and complete’’. the loading of packaged displays for Explosive actuated device. Any tool or shipment to purchasers. special mechanized device which is ac- Flash powder. An explosive material tuated by explosives, but not a propel- intended to produce an audible report lent actuated device. and a flash of light when ignited which Explosive materials. Explosives, blast- includes but is not limited to oxidizers ing agents, water gels and detonators. such as potassium chlorate or potas- Explosive materials include, but are sium perchlorate, and fuels such as sul- not limited to, all items in the ‘‘List of fur or aluminum powder. Explosive Materials’’ provided for in Fugitive from justice. Any person who § 555.23. has fled from the jurisdiction of any Explosives. Any chemical compound, court of record to avoid prosecution for mixture, or device, the primary or any crime or to avoid giving testimony common purpose of which is to func- in any criminal proceeding. The term tion by explosion. The term includes, also includes any person who has been but is not limited to, dynamite and convicted of any crime and has fled to other high explosives, black powder, avoid imprisonment. pellet powder, initiating explosives, Hardwood. Oak, maple, ash, hickory, detonators, safety fuses, squibs, deto- or other hard wood, free from loose nating cord, igniter cord, and igniters. knots, spaces, or similar defects. Fireworks. Any composition or device Highway. Any public street, public designed to produce a visible or an au- alley, or public road, including a pri- dible effect by combustion, deflagra- vately financed, constructed, or main- tion, or detonation, and which meets tained road that is regularly and open- the definition of ‘‘consumer fireworks’’ ly traveled by the general public. or ‘‘display fireworks’’ as defined by Identification document. A document this section. containing the name, residence ad- Fireworks mixing building. Any build- dress, date of birth, and photograph of ing or area used for mixing and blend- the holder and which was made or ing pyrotechnic compositions except issued by or under the authority of the wet sparkler mix. United States Government, a State, po- Fireworks nonprocess building. Any of- litical subdivision of a State, a foreign fice building or other building or area government, a political subdivision of in a fireworks plant where no fire- a foreign government, an international works, pyrotechnic compositions or ex- governmental or an international plosive materials are processed or quasi-governmental organization stored. which, when completed with informa- Fireworks plant. All land and build- tion concerning a particular indi- ings thereon used for or in connection vidual, is of a type intended or com- with the assembly or processing of fire- monly accepted for the purpose of iden- works, including warehouses used with tification of individuals. or in connection with fireworks plant Importer. Any person engaged in the operations. business of importing or bringing ex- Fireworks plant warehouse. Any build- plosive materials into the United ing or structure used exclusively for States for purposes of sale or distribu- the storage of materials which are nei- tion. ther explosive materials nor pyro- Indictment. Includes an indictment or technic compositions used to manufac- information in any court under which a ture or assemble fireworks. crime punishable by imprisonment for Fireworks process building. Any mix- a term exceeding one year may be pros- ing building; any building in which py- ecuted. rotechnic compositions or explosive Inhabited building. Any building regu- materials is pressed or otherwise pre- larly occupied in whole or in part as a pared for finished and assembly; or any habitation for human beings, or any finishing or assembly building. church, schoolhouse, railroad station, Fireworks shipping building. A build- store, or other structure where people ing used for the packing of assorted are accustomed to assemble, except display fireworks into shipping cartons any building occupied in connection

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with the manufacture, transportation, cannot be seen from the magazine storage, or use of explosive materials. when the trees are bare of leaves. Interstate or foreign commerce. Com- Number 8 test blasting cap. (See defini- merce between any place in a State and tion of ‘‘blasting agent.’’) any place outside of that State, or Permittee. Any user of explosives for a within any possession of the United lawful purpose who has obtained either States or the District of Columbia, and a user permit or a limited permit under commerce between places within the this part. same State but through any place out- Person. Any individual, corporation, side of that State. company, association, firm, partner- Licensed dealer. A dealer licensed ship, society, or joint stock company. under this part. Plywood. Exterior, construction Licensed importer. An importer li- grade (laminated wood) plywood. censed under this part. Propellant actuated device. (a) Any Licensed manufacturer. A manufac- tool or special mechanized device or turer licensed under this part to en- gas generator system that is actuated gage in the business of manufacturing by a propellant or which releases and explosive materials for purposes of sale directs work through a propellant or distribution or for his own use. charge. (b) The term does not include— Licensee. Any importer, manufac- (1) Hobby rocket motors consisting of turer, or dealer licensed under this ammonium perchlorate composite pro- part. pellant, black powder, or other similar A permit issued to a Limited permit. low explosives, regardless of amount; person authorizing him to receive for and his use explosive materials from a li- (2) Rocket-motor reload kits that can censee or permittee in his state of resi- be used to assemble hobby rocket mo- dence on no more than 6 occasions dur- tors containing ammonium perchlorate ing the 12-month period in which the composite propellant, black powder, or permit is valid. A limited permit does other similar low explosives, regardless not authorize the receipt or transpor- of amount. tation of explosive materials in inter- Pyrotechnic compositions. A chemical state or foreign commerce. mixture which, upon burning and with- Magazine. Any building or structure, out explosion, produces visible, bril- other than an explosives manufac- liant displays, bright lights, or sounds. turing building, used for storage of ex- Railway. Any steam, electric, or plosive materials. other railroad or railway which carries Manufacturer. Any person engaged in passengers for hire. the business of manufacturing explo- Region. A geographical region of the sive materials for purposes of sale or Bureau of Alcohol, Tobacco and Fire- distribution or for his own use. arms. Mass detonation (mass explosion). Ex- Regional director (compliance). The plosive materials mass detonate (mass principal regional official responsible explode) when a unit or any part of a for administering regulations in this larger quantity of explosive material part. explodes and causes all or a substantial Renounced U.S. citizenship. (a) A per- part of the remaining material to deto- son has renounced his U.S. citizenship nate or explode. if the person, having been a citizen of Mental institution. Includes mental the United States, has renounced citi- health facilities, mental hospitals, zenship either— sanitariums, psychiatric facilities, and (1) Before a diplomatic or consular other facilities that provide diagnoses officer of the United States in a foreign by licensed professionals of mental re- state pursuant to 8 U.S.C. 1481(a)(5); or tardation or mental illness, including a (2) Before an officer designated by psychiatric ward in a general hospital. the Attorney General when the United Natural barricade. Natural features of States is in a state of war pursuant to the ground, such as hills, or timber of 8 U.S.C. 1481(a)(6). sufficient density that the surrounding (b) The term will not include any re- exposures which require protection nunciation of citizenship that has been

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reversed as a result of administrative any person who is a current user of a or judicial appeal. controlled substance in a manner other Responsible person. An individual who than as prescribed by a licensed physi- has the power to direct the manage- cian. Such use is not limited to the use ment and policies of the applicant per- of drugs on a particular day, or within taining to explosive materials. Gen- a matter of days or weeks before pos- erally, the term includes partners, sole session of the explosive materials, but proprietors, site managers, corporate rather that the unlawful use has oc- officers and directors, and majority curred recently enough to indicate that shareholders. the individual is actively engaged in Salute. An aerial shell, classified as a such conduct. A person may be an un- display firework, that contains a lawful current user of a controlled sub- charge of flash powder and is designed stance even though the substance is to produce a flash of light and a loud not being used at the precise time the report as the pyrotechnic effect. person seeks to acquire explosive mate- Screen barricade. Any barrier that rials or receives or possesses explosive will contain the embers and debris materials. An inference of current use from a fire or deflagration in a process may be drawn from evidence of a re- building, thus preventing propagation cent use or possession of a controlled of fire to other buildings or areas. Such substance or a pattern of use or posses- barriers shall be constructed of metal sion that reasonably covers the present roofing, 1⁄4 to 1⁄2 inch (6 to 13 mm) mesh time, e.g., a conviction for use or pos- screen, or equivalent material. The session of a controlled substance with- barrier extends from floor level to a in the past year; multiple arrests for height such that a straight line from such offenses within the past 5 years if the top of any side wall of the donor the most recent arrest occurred within building to the eave line of any exposed the past year; or persons found through building intercepts the screen at a a drug test to use a controlled sub- point not less than 5 feet (1.5 m) from stance unlawfully, provided that the the top of the screen. The top 5 feet (1.5 test was administered within the past m) of the screen is inclined towards the year. For a current or former member donor building at an angle of 30 to 45 of the Armed Forces, an inference of degrees. current use may be drawn from recent Softwood. Fir, pine, or other soft disciplinary or other administrative wood, free from loose knots, spaces, or action based on confirmed drug use, similar defects. e.g., court-martial conviction, non- State. A State of the United States. judicial punishment, or an administra- The term includes the District of Co- tive discharge based on drug use or lumbia, the Commonwealth of Puerto drug rehabilitation failure. Rico, and the possessions of the United U.S.C. The United States Code. States. User-limited permit. A user permit State of residence. The State in which valid only for a single purchase trans- an individual regularly resides or action, a new permit being required for maintains his home. Temporary stay in a subsequent purchase transaction. a State does not make the State of User permit. A permit issued to a per- temporary stay the State of residence. son authorizing him (a) to acquire for Theatrical flash powder. Flash powder his own use explosive materials from a commercially manufactured in licensee in a State other than the premeasured kits not exceeding 1 ounce State in which he resides or from a for- and mixed immediately prior to use eign country, and (b) to transport ex- and intended for use in theatrical plosive materials in interstate or for- shows, stage plays, band concerts, eign commerce. magic acts, thrill shows, and clown Water gels. Explosives or blasting acts in circuses. agents that contain a substantial pro- Unlawful user of or addicted to any portion of water. controlled substance. A person who uses a controlled substance and has lost the (18 U.S.C. 847 (84 Stat. 959); 18 U.S.C. 926 (82 power of self-control with reference to Stat. 1226) the use of a controlled substance; and [T.D. ATF–87, 46 FR 40384, Aug. 7, 1981]

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EDITORIAL NOTE: For FEDERAL REGISTER ci- cedure, he shall submit a written appli- tations affecting § 555.11, see the List of CFR cation to the regional director (compli- Sections Affected, which appears in the ance), for transmittal to the Director. Finding Aids section of the printed volume The application shall specifically de- and on GPO Access. scribe the proposed alternate method or procedure and shall set forth the Subpart C—Administrative and reasons for it. Alternate methods or Miscellaneous Provisions procedures may not be employed until the application is approved by the Di- § 555.21 Forms prescribed. rector. The permittee or licensee shall, (a) The Director is authorized to pre- during the period of authorization of scribe all forms required by this part. an alternate method or procedure, All of the information called for in comply with the terms of the approved each form shall be furnished as indi- application. Authorization of any al- cated by the headings on the form and ternate method or procedure may be the instructions on or pertaining to the withdrawn whenever, in the judgment form. In addition, information called of the Director, the effective adminis- for in each form shall be furnished as tration of this part is hindered by the required by this part. continuation of the authorization. As (b) Requests for forms should be used in this paragraph, alternate meth- mailed to the ATF Distribution Center, ods or procedures include alternate 7664 K Fullerton Road, Springfield, Vir- construction or equipment. ginia 22150. (b) Emergency variations from requirements. The Director may approve con- [T.D. ATF–92, 46 FR 46916, Sept. 23, 1981, as amended by T.D. ATF–249, 52 FR 5961, Feb. struction, equipment, and methods of 27, 1987; T.D. 372, 61 FR 20724, May 8, 1996; operation other than as specified in ATF–11F, 73 FR 57242, Oct. 2, 2008] this part, where he finds that an emergency exists and the proposed vari- § 555.22 Alternate methods or proce- ations from the specified requirements dures; emergency variations from are necessary and the proposed vari- requirements. ations: (a) Alternate methods or procedures. (1) Will afford security and protec- The permittee or licensee, on specific tion that are substantially equivalent approval by the Director as provided by to those prescribed in this part; this paragraph, may use an alternate (2) Will not hinder the effective ad- method or procedure in lieu of a meth- ministration of this part; and od or procedure specifically prescribed (3) Will not be contrary to any provi- in this part. The Director may approve sions of law. an alternate method or procedure, sub- Variations from requirements granted ject to stated conditions, when he finds under this paragraph are conditioned that: on compliance with the procedures, (1) Good cause is shown for the use of conditions, and limitations set forth in the alternate method or procedure; the approval of the application. Failure (2) The alternate method or proce- to comply in good faith with the procedure is within the purpose of, and con- dures, conditions, and limitations shall sistent with the effect intended by, the automatically terminate the authority specifically prescribed method or pro- for the variations and the licensee or cedure and that the alternate method permittee shall fully comply with the or procedure is substantially equiva- prescribed requirements of regulations lent to that specifically prescribed from which the variations were author- method or procedure; and ized. Authority for any variation may (3) The alternate method or proce- be withdrawn whenever, in the judg- dure will not be contrary to any provi- ment of the Director, the effective ad- sion of law and will not result in an in- ministration of this part is hindered by crease in cost to the Government or the continuation of the variation. hinder the effective administration of Where the licensee or permittee desires this part. to employ an emergency variation, he Where the permittee or licensee desires shall submit a written application to to employ an alternate method or pro- the regional director (compliance) for

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transmittal to the Director. The appli- § 555.25 Disclosure of information. cation shall describe the proposed vari- Upon receipt of written request from ation and set forth the reasons for it. any State or any political subdivision Variations may not be employed until of a State, the regional director (com- the application is approved, except pliance) may make available to the when the emergency requires imme- State or political subdivision any in- diate action to correct a situation that formation which the regional director is threatening to life or property. Cor- (compliance) may obtain under the Act rective action may then be taken con- with respect to the identification of current with the filing of the applica- persons within the State or political tion and notification of the Director subdivision, who have purchased or re- via telephone. ceived explosive materials, together (c) Retention of approved variations. with a description of the explosive ma- The licensee or permittee shall retain, terials. as part of his records available for examination by ATF officers, any appli- § 555.26 Prohibited shipment, trans- cation approved by the Director under portation, receipt, possession, or this section. distribution of explosive materials. (a) General. No person, other than a § 555.23 List of explosive materials. licensee or permittee knowingly may transport, ship, cause to be trans- The Director shall compile a list of ported, or receive any explosive mate- explosive materials, which shall be rials: Provided, That the provisions of published and revised at least annually this paragraph (a) do not apply to the in the FEDERAL REGISTER. The ‘‘List of lawful purchase by a nonlicensee or Explosive Materials’’ (ATF Publication nonpermittee of commercially manu- 5400.8) is available at no cost upon re- factured black powder in quantities not quest from the ATF Distribution Cen- to exceed 50 pounds, if the black pow- ter (See § 555.21). der is intended to be used solely for [T.D. ATF–290, 54 FR 53054, Dec. 27, 1989, as sporting, recreational, or cultural pur- amended by T.D. ATF–446, 66 FR 16602, Mar. poses in antique firearms as defined in 27, 2001; ATF–11F, 73 FR 57242, Oct. 2, 2008] 18 U.S.C. 921(a)(16), or in antique devices as exempted from the term ‘‘de- § 555.24 Right of entry and examina- structive device’’ in 18 U.S.C. 921(a)(4). tion. (b) Holders of a limited permit. No per- (a) Any ATF officer may enter during son who is a holder of a limited permit business hours the premises, including may— places of storage, of any licensee or (1) Transport, ship, cause to be trans- holder of a user permit for the purpose ported, or receive in interstate or for- of inspecting or examining any records eign commerce any explosive mate- or documents required to be kept under rials; this part, and any facilities in which (2) Receive explosive materials from explosive materials are kept or stored. a licensee or permittee, whose premises (b) Any ATF officer may inspect the are located outside the State of resi- places of storage for explosive mate- dence of the limited permit holder; or rials of an applicant for a limited per- (3) Receive explosive materials on mit or, in the case of a holder of a lim- more than 6 separate occasions, during ited permit, at the time of renewal of the period of the permit, from one or such permit. more licensees or permittees whose premises are located within the State (c) The provisions of paragraph (b) of of residence of the limited permit hold- this section do not apply to an appli- er. (See § 555.105(b) for the definition of cant for the renewal of a limited per- ‘‘6 separate occasions.’’) mit if an ATF officer has, within the (c) Possession by prohibited persons. No preceding 3 years, verified by inspec- person may ship or transport any ex- tion that the applicant’s place of stor- plosive material in or affecting inter- age for explosive materials meets the state or foreign commerce or receive or requirements of subpart K of this part. possess any explosive materials which [ATF No. 1, 68 FR 13781, Mar. 20, 2003] have been shipped or transported in or

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affecting interstate or foreign com- is in furtherance of the military pur- merce who: pose; or (1) Is under indictment or informa- (D) Is lawfully present in the United tion for, or who has been convicted in States in cooperation with the Director any court of, a crime punishable by im- of Central Intelligence, and the ship- prisonment for a term exceeding one ment, transportation, receipt, or pos- year; session of the explosive materials is in (2) Is a fugitive from justice; furtherance of such cooperation; (3) Is an unlawful user of or addicted (6) Has been discharged from the to any controlled substance (as defined armed forces under dishonorable condi- in section 102 of the Controlled Sub- tions; or stances Act (21 U.S.C. 802) and § 555.11); (7) Having been a citizen of the (4) Has been adjudicated as a mental United States, has renounced citizen- defective or has been committed to a ship. mental institution; (d) Distribution to prohibited persons. (5) Is an alien, other than an alien No person may knowingly distribute who— explosive materials to any individual (i) Is lawfully admitted for perma- who: nent residence (as that term is defined (1) Is under twenty-one years of age; in section 101(a)(20) of the Immigration (2) Is under indictment or informa- and Nationality Act (8 U.S.C. 1101)); or tion for, or who has been convicted in (ii) Is in lawful nonimmigrant status, any court of, a crime punishable by im- is a refugee admitted under section 207 prisonment for a term exceeding one of the Immigration and Nationality year; Act (8 U.S.C. 1157), or is in asylum sta- (3) Is a fugitive from justice; tus under section 208 of the Immigra- (4) Is an unlawful user of or addicted tion and Nationality Act (8 U.S.C. to any controlled substance (as defined 1158), and— in section 102 of the Controlled Sub- (A) Is a foreign law enforcement offi- stances Act (21 U.S.C. 802) and § 555.11); cer of a friendly foreign government, as (5) Has been adjudicated as a mental determined by the Attorney General in defective or has been committed to a consultation with the Secretary of mental institution; State, entering the United States on (6) Is an alien, other than an alien official law enforcement business, and the shipping, transporting, possession, who— or receipt of explosive materials is in (i) Is lawfully admitted for perma- furtherance of this official law enforce- nent residence (as that term is defined ment business; in section 101(a)(20) of the Immigration (B) Is a person having the power to and Nationality Act (8 U.S.C. 1101)); or direct or cause the direction of the (ii) Is in lawful nonimmigrant status, management and policies of a corpora- is a refugee admitted under section 207 tion, partnership, or association li- of the Immigration and Nationality censed pursuant to section 843(a) of the Act (8 U.S.C. 1157), or is in asylum sta- Act, and the shipping, transporting, tus under section 208 of the Immigra- possession, or receipt of explosive mation and Nationality Act (8 U.S.C. terials is in furtherance of such power; 1158), and— (C) Is a member of a North Atlantic (A) Is a foreign law enforcement offi- Treaty Organization (NATO) or other cer of a friendly foreign government, as friendly foreign military force, as de- determined by the Attorney General in termined by the Attorney General in consultation with the Secretary of consultation with the Secretary of De- State, entering the United States on fense, (whether or not admitted in a official law enforcement business, and nonimmigrant status) who is present in the shipping, transporting, possession, the United States under military or- or receipt of explosive materials is in ders for training or other military pur- furtherance of this official law enforce- pose authorized by the United States, ment business; and the shipping, transporting, posses- (B) Is a person having the power to sion, or receipt of explosive materials direct or cause the direction of the

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management and policies of a corpora- cause to believe that the explosive mation, partnership, or association li- terials were stolen. censed pursuant to section 843(a) of the Act, and the shipping, transporting, § 555.29 Unlawful storage. possession, or receipt of explosive ma- No person shall store any explosive terials is in furtherance of such power; materials in a manner not in con- (C) Is a member of a North Atlantic formity with this part. Treaty Organization (NATO) or other friendly foreign military force, as de- § 555.30 Reporting theft or loss of ex- termined by the Attorney General in plosive materials. consultation with the Secretary of De- (a) Any licensee or permittee who has fense, (whether or not admitted in a knowledge of the theft or loss of any nonimmigrant status) who is present in explosive materials from his stock the United States under military or- shall, within 24 hours of discovery, re- ders for training or other military pur- port the theft or loss by telephoning 1– pose authorized by the United States, 800–800–3855 (nationwide toll free num- and the shipping, transporting, posses- ber) and on ATF F 5400.5 (formerly sion, or receipt of explosive materials Form 4712) in accordance with the in- is in furtherance of the military pur- structions on the form. Theft or loss of pose; or any explosive materials shall also be (D) Is lawfully present in the United reported to appropriate local authori- States in cooperation with the Director ties. of Central Intelligence, and the ship- (b) Any other person, except a carrier ment, transportation, receipt, or pos- of explosive materials, who has knowl- session of the explosive materials is in edge of the theft or loss of any explo- furtherance of such cooperation; sive materials from his stock shall, (7) Has been discharged from the within 24 hours of discovery, report the armed forces under dishonorable condi- theft or loss by telephoning 1–800–800– tions; or 3855 (nationwide toll free number) and (8) Having been a citizen of the in writing to the nearest ATF office. United States, has renounced citizen- Theft or loss shall be reported to ap- ship. propriate local authorities. (e) See § 555.180 for regulations con- (c) Reports of theft or loss of explo- cerning the prohibited manufacture, sive materials under paragraphs (a) and importation, exportation, shipment, (b) of this section must include the fol- transportation, receipt, transfer, or lowing information, if known: possession of plastic explosives that do (1) The manufacturer or brand name. not contain a detection agent. (2) The manufacturer’s marks of identification (date and shift code). [ATF No. 1, 68 FR 13781, Mar. 20, 2003] (3) Quantity (applicable quantity § 555.27 Out-of-State disposition of ex- units, such as pounds of explosives, plosive materials. number of detonators, etc.). (4) Description (dynamite, blasting (a) No nonlicensee or nonpermittee agents, detonators, etc.) and United may distribute any explosive materials Nations (UN) identification number, to any other nonlicensee or nonper- hazard division number, and classifica- mittee who the distributor knows or tion letter, e.g., 1.1D, as classified by who has reasonable cause to believe the U.S. Department of Transportation does not reside in the State in which at 49 CFR 172.101 and 173.52. the distributor resides. (5) Size (length and diameter). (b) The provisions of this section do (d) A carrier of explosive materials not apply on and after May 24, 2003. who has knowledge of the theft or loss [ATF No. 1, 68 FR 13782, Mar. 20, 2003] of any explosive materials shall, within 24 hours of discovery, report the theft § 555.28 Stolen explosive materials. or loss by telephoning 1–800–800–3855 No person shall receive, conceal, (nationwide toll free number). Theft or transport, ship, store, barter, sell, or loss shall also be reported to appro- dispose of any stolen explosive mate- priate local authorities. Reports of rials knowing or having reasonable theft or loss of explosive materials by

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carriers shall include the following in- § 555.33 Background checks and clear- formation, if known: ances (effective May 24, 2003). (1) The manufacturer or brand name. (a) Background checks. (1) If the Di- (2) Quantity (applicable quantity rector receives from a licensee or per- units, such as pounds of explosives, mittee the names and appropriate iden- number of detonators, etc.). tifying information of responsible per- (3) Description (United Nations (UN) sons and employees who will be author- identification number, hazard division ized by the employer to possess explo- number, and classification letter, e.g., sive materials in the course of employ- 1.1D) as classified by the U.S. Depart- ment with the employer, the Director ment of Transportation at 49 CFR will conduct a background check in ac- 172.101 and 173.52. cordance with this section. (2) The Director will determine [T.D. ATF–87, 46 FR 40384, Aug. 7, 1981, as whether the responsible person or em- amended by T.D. ATF–400, 63 FR 45002, Aug. ployee is one of the persons described 24, 1998] in any paragraph of section 842(i) of the Act (see § 555.26). In making such deter- § 555.31 Inspection of site accidents or mination, the Director may take into fires; right of entry. account a letter or document issued Any ATF officer may inspect the site under paragraph (a)(3) of this section. of any accident or fire in which there is (3)(i) If the Director determines that reason to believe that explosive mate- the responsible person or the employee rials were involved. Any ATF officer is not one of the persons described in may enter into or upon any property any paragraph of section 842(i) of the where explosive materials have been Act (see § 555.26), the Director will notify the employer in writing or elec- used, are suspected of having been tronically of the determination and used, or have been found in an other- issue, to the responsible person or em- wise unauthorized location. ployee, as the case may be, a letter of clearance which confirms the deter- § 555.32 Special explosive devices. mination. The Director may exempt certain ex- (ii) If the Director determines that plosive actuated devices, explosive ac- the responsible person or employee is tuated tools, or similar devices from one of the persons described in any the requirements of this part. A person paragraph of section 842(i) of the Act who desires to obtain an exemption (see § 555.26), ATF will notify the em- under this section for any special ex- ployer in writing or electronically of plosive device, which as designed does the determination and issue to the re- not constitute a public safety or secu- sponsible person or the employee, as rity hazard, shall submit a written re- the case may be, a document that con- quest to the Director. Each request firms the determination; explains the shall be executed under the penalties of grounds for the determination; pro- perjury and contain a complete and ac- vides information on how the disability curate description of the device, the may be relieved; and explains how the determination may be appealed. The name and address of the manufacturer employer will retain the notification or importer, the purpose of and use for as part of his permanent records in ac- which it is intended, and any photo- cordance with § 555.121. The employer graphs, diagrams, or drawings as may will take immediate steps to remove be necessary to enable the Director to the responsible person from his posi- make a determination. The Director tion directing the management or poli- may require that a sample of the de- cies of the business or operations as vice be submitted for examination and they relate to explosive materials or, evaluation. If it is not possible to sub- as the case may be, to remove the em- mit the device, the person requesting ployee from a position requiring the the exemption shall advise the Director possession of explosive materials. Also, and designate the place where the de- if the employer has listed the employee vice will be available for examination as a person authorized to accept deliv- and evaluation. ery of explosive materials, as specified

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in § 555.103 or § 555.105, the employer agency and take all necessary steps to must remove the employee from such contact the agency responsible for the list and immediately, and in no event record system and correct the record. later than the second business day The employee may provide to ATF ad- after such change, notify distributors ditional and appropriate documenta- of such change. tion or record(s) establishing the legal (b) Appeals and correction of erroneous and/or factual basis for the challenge system information—(1) In general. A re- to ATF’s decision to uphold the initial sponsible person or employee may denial. If ATF does not receive such ad- challenge the adverse determination ditional documentation or record(s) set out in the letter of denial, in writ- within 45 days of the date of the deci- ing and within 45 days of issuance of sion upholding the initial denial, ATF the determination, by directing his or will close the appeal. her challenge to the basis for the ad- (3) Responsible persons. The letter of verse determination, or to the accu- denial, among other things, will advise racy of the record upon which the ad- a responsible person of the agency verse determination is based, to the Di- name and address which originated the rector. The appeal request must in- record containing the information clude appropriate documentation or causing the adverse determination record(s) establishing the legal and/or (‘‘originating agency’’). A responsible factual basis for the challenge. Any person who elects to challenge the ad- record or document of a court or other verse determination, where appro- government entity or official furnished priate, is encouraged to apply to the in support of an appeal must be cer- originating agency to challenge the ac- tified by the court or other government curacy of the record(s) upon which the entity or official as a true copy. In the denial is based. The originating agency case of an employee, or responsible per- may respond to the individual’s appli- son who did not submit fingerprints, cation by addressing the individual’s such appeal must be accompanied by specific reasons for the challenge, and two properly completed FBI Forms by indicating whether additional infor- FD–258 (fingerprint card). The Director mation or documents are required. If will advise the individual in writing of the record is corrected as a result of his decision and the reasons for the de- the application to the originating cision. agency, the individual may so notify (2) Employees. The letter of denial, ATF which will, in turn, verify the among other things, will advise an em- record correction with the originating ployee who elects to challenge an ad- agency and take all necessary steps to verse determination to submit the fin- contact the agency responsible for the gerprint cards as described above. The record system and correct the record. employee also will be advised of the A responsible person may provide addi- agency name and address that origi- tional documentation or records as nated the record containing the infor- specified for employees in paragraph mation causing the adverse determina- (b)(2) of this section. tion (‘‘originating agency’’). At that (Approved by the Office of Management and time, and where appropriate, an em- Budget under control number 1140–0081) ployee is encouraged to apply to the [ATF No. 1, 68 FR 13783, Mar. 20, 2003] originating agency to challenge the ac- curacy of the record(s) upon which the § 555.34 Replacement of stolen or lost denial is based. The originating agency ATF Form 5400.30 (Intrastate Pur- may respond to the individual’s appli- chase of Explosives Coupon cation by addressing the individual’s (IPEC)). specific reasons for the challenge, and When any Form 5400.30 is stolen, lost, by indicating whether additional infor- or destroyed, the person losing posses- mation or documents are required. If sion will, upon discovery of the theft, the record is corrected as a result of loss, or destruction, immediately, but the application to the originating in all cases before 24 hours have agency, the individual may so notify elapsed since discovery, report the ATF which will, in turn, verify the matter to the Director by telephoning record correction with the originating 1–888–ATF-BOMB (nationwide toll free

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number). The report will explain in de- interstate or foreign commerce, and to tail the circumstances of the theft, engage in the business specified by the loss, or destruction and will include all license, at the location described on known facts that may serve to identify the license. A separate license must be the document. Upon receipt of the re- obtained for each business premises at port, the Director will make such in- which the applicant is to manufacture, vestigation as appears appropriate and import, or distribute explosive mate- may issue a duplicate document upon rials except under the following cir- such conditions as the circumstances cumstances: warrant. (i) A separate license will not be required for storage facilities operated (Approved by the Office of Management and Budget under control number 1140–0077) by the licensee as an integral part of one business premises or to cover a lo- [ATF No. 1, 68 FR 13783, Mar. 20, 2003] cation used by the licensee solely for maintaining the records required by Subpart D—Licenses and Permits this part. (ii) A separate license will not be re- § 555.41 General. quired of a licensed manufacturer with (a) Licenses and permits issued prior to respect to his on-site manufacturing. May 24, 2003. (1) Each person intending (iii) It will not be necessary for a li- to engage in business as an importer or censed importer or a licensed manufac- manufacturer of, or a dealer in, explo- turer (for purposes of sale or distribu- sive materials, including black powder, tion) to also obtain a dealer’s license in must, before commencing business, ob- order to engage in business on his li- tain the license required by this sub- censed premises as a dealer in explo- part for the business to be operated. sive materials. Each person who intends to acquire for (iv) A separate license will not be reuse explosive materials from a licensee quired of licensed manufacturers with in a State other than the State in respect to their on-site manufacture of which he resides, or from a foreign theatrical flash powder. country, or who intends to transport (3) Except as provided in paragraph explosive materials in interstate or (a)(1) of this section, each person in- foreign commerce, must obtain a per- tending to acquire explosive materials mit under this subpart; except that it from a licensee in a State other than a is not necessary to obtain a permit if State in which he resides, or from a the user intends to lawfully purchase: foreign country, or who intends to (i) Explosive materials from a li- transport explosive materials in inter- censee in a State contiguous to the state or foreign commerce, must file an user’s State of residence and the user’s application, with the required fee (see State of residence has enacted legisla- § 555.43), with ATF in accordance with tion, currently in force, specifically au- the instructions on the form (see thorizing a resident of that State to § 555.45). A permit will, subject to law, purchase explosive materials in a con- entitle the permittee to acquire, trans- tiguous State; or port, ship, and receive in interstate or (ii) Commercially manufactured foreign commerce explosive materials. black powder in quantities not to ex- Only one permit is required under this ceed 50 pounds, intended to be used part. solely for sporting, recreational, or cul- (b) Licenses and permits issued on and tural purposes in antique firearms or in after May 24, 2003—(1) In general. (i) antique devices. Each person intending to engage in (2) Each person intending to engage business as an importer or manufac- in business as an explosive materials turer of, or a dealer in, explosive mate- importer, manufacturer, or dealer must rials, including black powder, must, be- file an application, with the required fore commencing business, obtain the fee (see § 555.42), with ATF in accord- license required by this subpart for the ance with the instructions on the form business to be operated. (see § 555.45). A license will, subject to (ii) Each person who intends to ac- law, entitle the licensee to transport, quire for use explosive materials with- ship, and receive explosive materials in in the State in which he resides on no

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more than 6 separate occasions during tion) to also obtain a dealer’s license in the 12-month period in which the per- order to engage in business on his li- mit is valid must obtain a limited per- censed premises as a dealer in explo- mit under this subpart. (See § 555.105(b) sive materials. No licensee will be re- for definition of ‘‘6 separate occa- quired to obtain a user permit to law- sions.’’) fully transport, ship, or receive explo- (iii) Each person who intends to ac- sive materials in interstate or foreign quire for use explosive materials from commerce. a licensee or permittee in a State other (iv) A separate license will not be re- than the State in which he resides, or quired of licensed manufacturers with from a foreign country, or who intends respect to their on-site manufacture of to transport explosive materials in theatrical flash powder. interstate or foreign commerce, or who (3) Users of explosive materials. (i) A intends to acquire for use explosive limited permit will, subject to law, en- materials within the State in which he title the holder of such permit to re- resides on more than 6 separate occa- ceive for his use explosive materials sions during a 12-month period, must from a licensee or permittee in his obtain a user permit under this sub- state of residence on no more than 6 part. separate occasions during the 12-month (iv) It is not necessary to obtain a period in which the permit is valid. A permit if the user intends only to law- limited permit does not authorize the fully purchase commercially manufac- receipt or transportation of explosive tured black powder in quantities not to materials in interstate or foreign com- exceed 50 pounds, intended to be used merce. Holders of limited permits who solely for sporting, recreational, or cul- need to receive explosive materials on tural purposes in antique firearms or in more than 6 separate occasions during antique devices. a 12-month period must obtain a user (2) Importers, manufacturers, and deal- permit in accordance with this subpart. ers. Each person intending to engage in (ii) Each person intending to acquire business as an explosive materials im- explosive materials from a licensee in a porter, manufacturer, or dealer must State other than a State in which he file an application, with the required resides, or from a foreign country, or fee (see § 555.42), with ATF in accord- who intends to transport explosive ma- ance with the instructions on the form terials in interstate or foreign com- (see § 555.45). A license will, subject to merce, must file an application for a law, entitle the licensee to transport, user permit, with the required fee (see ship, and receive explosive materials in § 555.43), with ATF in accordance with the instructions on the form ( interstate or foreign commerce, and to see § 555.45). A user permit will, subject to engage in the business specified by the law, entitle the permittee to transport, license, at the location described on ship, and receive in interstate or for- the license. A separate license must be eign commerce explosive materials. obtained for each business premises at Only one user permit per person is re- which the applicant is to manufacture, quired under this part, irrespective of import, or distribute explosive mate- the number of locations relating to ex- rials except under the following cir- plosive materials operated by the hold- cumstances: er of the user permit. (i) A separate license will not be required for storage facilities operated (Approved by the Office of Management and by the licensee as an integral part of Budget under control number 1140–0083) one business premises or to cover a lo- [ATF No. 1, 68 FR 13783, Mar. 20, 2003, as cation used by the licensee solely for amended by ATF 5F, 70 FR 30633, May 27, maintaining the records required by 2005] this part. (ii) A separate license will not be re- § 555.42 License fees. quired of a licensed manufacturer with (a) Each applicant shall pay a fee for respect to his on-site manufacturing. obtaining a three year license, a sepa- (iii) It will not be necessary for a li- rate fee being required for each busi- censed importer or a licensed manufac- ness premises, as follows: turer (for purposes of sale or distribu- (1) Manufacturer—$200.

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(2) Importer—$200. payable to the Bureau of Alcohol, To- (3) Dealer—$200. bacco and Firearms. ATF F 5400.13 may (b) Each applicant for a renewal of a be obtained from any ATF office. The license shall pay a fee for a three year Chief, Firearms and Explosives Licens- license as follows: ing Center, will not approve an applica- (1) Manufacturer—$100. tion postmarked on or after March 20, (2) Importer—$100. 2003, unless it is submitted with a Re- (3) Dealer—$100. sponsible Person Questionnaire, ATF [T.D. ATF–400, 63 FR 45002, Aug. 24, 1998] Form 5400.28. Form 5400.28 must be completed in accordance with the in- § 555.43 Permit fees. structions on the form. (a) Each applicant must pay a fee for (b) Permits issued prior to May 24, 2003. obtaining a permit as follows: Any person, except as provided in (1) User—$100 for a three-year period. § 555.41(a), who intends to acquire ex- (2) User-limited (nonrenewable)—$75. plosive materials from a licensee in a (3) Limited—$25 for a one-year pe- state other than the State in which riod. that person resides, or from a foreign (b)(1) Each applicant for renewal of a country, or who intends to transport user permit must pay a fee of $50 for a explosive materials in interstate or three-year period. foreign commerce, or who has not (2) Each applicant for renewal of a timely submitted application for re- limited permit must pay a fee of $12 for newal of a previous permit issued under a one-year period. this part, shall file an application for [ATF No. 1, 68 FR 13785, Mar. 20, 2003] Permit, Explosives, ATF F 5400.16 or Permit, User Limited Special Fire- § 555.44 License or permit fee not re- works, ATF F 5400.21 with ATF in ac- fundable. cordance with the instructions on the No refund of any part of the amount form. The application must be exe- paid as a license or permit fee will be cuted under the penalties of perjury made where the operations of the li- and the penalties imposed by 18 U.S.C. censee or permittee are, for any reason, 844(a). The application is to be accom- discontinued during the period of an panied by the appropriate fee in the issued license or permit. However, the form of a money order or check made license or permit fee submitted with an payable to the Bureau of Alcohol, To- application for a license or permit will bacco and Firearms. ATF F 5400.16 and be refunded if that application is de- ATF F 5400.21 may be obtained from nied, withdrawn, or abandoned, or if a any ATF office. The Chief, Firearms license is cancelled subsequent to hav- and Explosives Licensing Center, will ing been issued through administrative not approve an application postmarked error. on or after March 20, 2003, unless it is submitted with a Responsible Person § 555.45 Original license or permit. Questionnaire, ATF Form 5400.28. Form (a) Licenses issued prior to May 24, 5400.28 must be completed in accord- 2003. Any person who intends to engage ance with the instructions on the form. in business as an explosive materials (c) Licenses and permits issued on and importer, manufacturer, or dealer, or after May 24, 2003—(1) License. Any per- who has not timely submitted applica- son who intends to engage in the busi- tion for renewal of a previous license ness as an importer of, manufacturer issued under this part, shall file with of, or dealer in explosive materials, or ATF an application for License, Explo- who has not timely submitted an appli- sives, ATF F 5400.13 with ATF in ac- cation for renewal of a previous license cordance with the instructions on the issued under this part, must file an ap- form. The application must be exe- plication for License, Explosives, ATF cuted under the penalties of perjury F 5400.13, with ATF in accordance with and the penalties imposed by 18 U.S.C. the instructions on the form. ATF 844(a). The application is to be accom- Form 5400.13 may be obtained by con- panied by the appropriate fee in the tacting any ATF office. The applica- form of a money order or check made tion must:

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(i) Be executed under the penalties of sons and employees authorized by the perjury and the penalties imposed by 18 applicant to possess explosive mate- U.S.C. 844(a); rials in accordance with § 555.33. If it is (ii) Include appropriate identifying determined that any responsible person information concerning each respon- or employee is described in any para- sible person; graph of section 842(i) of the Act, the (iii) Include a photograph and finger- applicant must submit an amended ap- prints for each responsible person; plication indicating removal or reas- (iv) Include the names of and appro- signment of that person before the li- priate identifying information regard- cense or permit will be issued. ing all employees who will be authorized by the applicant to possess explo- (Approved by the Office of Management and sive materials by submitting ATF F Budget under control number 1140–0083) 5400.28 for each employee; and (18 U.S.C. 847 (84 Stat. 959); 18 U.S.C. 926 (82 (v) Include the appropriate fee in the Stat. 1226)) form of money order or check made [T.D. ATF–200, 50 FR 10497, Mar. 15, 1985, as payable to the Bureau of Alcohol, To- amended by T.D. ATF–400, 63 FR 45002, Aug. bacco, Firearms and Explosives. 24, 1998; ATF No. 1, 68 FR 13785, Mar. 20, 2003] (2) User permit and limited permit. Ex- cept as provided in § 555.41(b)(1)(iv), any § 555.46 Renewal of license or permit. person who intends to acquire explo- (a) If a licensee or permittee intends sive materials in the State in which to continue the business or operation that person resides or acquire explosive described on a license or permit issued materials from a licensee or holder of a user permit in a State other than the under this part after the expiration State in which that person resides, or date of the license or permit, he shall, from a foreign country, or who intends unless otherwise notified in writing by to transport explosive materials in the Chief, Firearms and Explosives Li- interstate or foreign commerce, or who censing Center, execute and file prior has not timely submitted an applica- to the expiration of his license or per- tion for renewal of a previous permit mit an application for license renewal, issued under this part, must file an ap- ATF F 5400.14 (Part III), or an applica- plication for Permit, Explosives, ATF tion for permit renewal, ATF F 5400.15 F 5400.16 or Permit, User Limited Dis- (Part III), accompanied by the required play Fireworks, ATF F 5400.21 with fee, with ATF in accordance with the ATF in accordance with the instruc- instructions on the form. In the event tions on the form. ATF Form 5400.16 the licensee or permittee does not and ATF Form 5400.21 may be obtained timely file a renewal application, he by contacting any ATF office. The ap- shall file an original application as re- plication must: quired by § 555.45, and obtain the re- (i) Be executed under the penalties of quired license or permit in order to perjury and the penalties imposed by 18 continue business or operations. U.S.C. 844(a); (b) A user-limited permit is not re- (ii) Include a photograph, finger- newable and is valid for a single pur- prints, and appropriate identifying in- chase transaction. Applications for all formation for each responsible person; user-limited permits must be filed on (iii) Include the names of and appro- ATF F 5400.16 or ATF F 5400.21, as re- priate identifying information regard- quired by § 555.45. ing all employees who will be authorized by the applicant to possess explo- (18 U.S.C. 847 (84 Stat. 959); 18 U.S.C. 926 (82 sive materials by submitting ATF F Stat. 1226)) 5400.28 for each employee; and [T.D. ATF–87, 46 FR 40384, Aug. 7, 1981, as (iv) Include the appropriate fee in the amended by T.D. ATF–200, 50 FR 10497, Mar. form of money order or check made 15, 1985; T.D. ATF–290, 54 FR 53054, Dec. 27, payable to the Bureau of Alcohol, To- 1989; T.D. ATF–400, 63 FR 45002, Aug. 24, 1998] bacco, Firearms and Explosives. (3) The Chief, Firearms and Explo- § 555.47 Insufficient fee. sives Licensing Center, will conduct If an application is filed with an in- background checks on responsible per- sufficient fee, the application and fee

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submitted will be returned to the appli- intends to conduct business or oper- cant. ations; (vi) The applicant has storage for the (18 U.S.C. 847 (84 Stat. 959); 18 U.S.C. 926 (82 Stat. 1226)) class (as described in § 555.202) of explosive materials described on the applica- [T.D. ATF–200, 50 FR 10498, Mar. 15, 1985] tion, unless he establishes to the satisfaction of the Chief, Firearms and Ex- § 555.48 Abandoned application. plosives Licensing Center, that the Upon receipt of an incomplete or im- business or operations to be conducted properly executed application, the ap- will not require the storage of explo- plicant will be notified of the defi- sive materials; ciency in the application. If the appli- (vii) The applicant has certified in cation is not corrected and returned writing that he is familiar with and un- within 30 days following the date of no- derstands all published State laws and tification, the application will be con- local ordinances relating to explosive sidered as having been abandoned and materials for the location in which he the license or permit fee returned. intends to do business; and § 555.49 Issuance of license or permit. (viii) The applicant for a license has submitted the certificate required by (a) Issuance of license or permit prior to section 21 of the Federal Water Pollu- May 24, 2003. (1) The Chief, Firearms tion Control Act, as amended (33 U.S.C. and Explosives Licensing Center, will 1341). issue a license or permit if— (3) The Chief, Firearms and Explo- (i) A properly executed application sives Licensing Center, will approve or for the license or permit is received; and the regional director (compliance) will deny any application for a license or (ii) Through further inquiry or investigation, or otherwise, it is found that permit within the 45-day period begin- the applicant is entitled to the license ning on the date a properly executed or permit. application was received. However, (2) The Chief, Firearms and Explo- when an applicant for license or permit sives Licensing Center, will approve a renewal is a person who is, under the properly executed application for a li- provisions of § 555.83 or § 555.142, con- cense or permit, if: ducting business or operations under a (i) The applicant is 21 years of age or previously issued license or permit, ac- over; tion regarding the application will be (ii) The applicant (including, in the held in abeyance pending the comple- case of a corporation, partnership, or tion of the proceedings against the ap- association, any individual possessing, plicant’s existing license or permit, or directly or indirectly, the power to di- renewal application, or final action by rect or cause the direction of the man- the Director on an application for re- agement and policies of the corpora- lief submitted under § 555.142, as the tion, partnership, or association) is not case may be. a person to whom distribution of explo- (4) The license or permit and one sive materials is prohibited under the copy will be forwarded to the appli- Act; cant, except that in the case of a user- (iii) The applicant has not willfully limited permit, the original only will violated any provisions of the Act or be issued. this part; (5) Each license or permit will bear a (iv) The applicant has not knowingly serial number and this number may be withheld information or has not made assigned to the licensee or permittee to any false or fictitious statement in- whom issued for as long as he main- tended or likely to deceive, in connec- tains continuity of renewal in the same tion with his application; region. (v) The applicant has in a State, (b) Issuance of license or permit on and premises from which he conducts busi- after May 24, 2003. (1) The Chief, Fire- ness or operations subject to license or arms and Explosives Licensing Center, permit under the Act or from which he will issue a license or permit if:

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(i) A properly executed application (3) The Chief, Firearms and Explo- for the license or permit is received; sives Licensing Center, will approve or and the regional director (compliance) will (ii) Through further inquiry or inves- deny any application for a license or tigation, or otherwise, it is found that permit within the 90-day period begin- the applicant is entitled to the license ning on the date a properly executed or permit. application was received. However, (2) The Chief, Firearms and Explo- when an applicant for license or permit sives Licensing Center, will approve a renewal is a person who is, under the properly executed application for a li- provisions of § 555.83 or § 555.142, con- cense or permit, if: ducting business or operations under a (i) The applicant (or, if the applicant previously issued license or permit, ac- is a corporation, partnership, or asso- tion regarding the application will be ciation, each responsible person with held in abeyance pending the comple- respect to the applicant) is not a per- tion of the proceedings against the ap- son described in any paragraph of sec- plicant’s existing license or permit, or tion 842(i) of the Act; renewal application, or final action by (ii) The applicant has not willfully the Director on an application for re- violated any provisions of the Act or lief submitted under § 555.142, as the this part; case may be. (iii) The applicant has not knowingly (4) The license or permit and one withheld information or has not made copy will be forwarded to the appli- any false or fictitious statement in- cant, except that in the case of a user- tended or likely to deceive, in connec- limited permit, the original only will tion with his application; be issued. (iv) The applicant has in a State, (5) Each license or permit will bear a premises from which he conducts busi- serial number and this number may be ness or operations subject to license or assigned to the licensee or permittee to permit under the Act or from which he whom issued for as long as he main- intends to conduct business or oper- tains continuity of renewal in the same ations; region. (v) The applicant has storage for the (Approved by the Office of Management and class (as described in § 555.202) of explo- Budget under control number 1140–0082) sive materials described on the applica- [ATF No. 1, 68 FR 13785, Mar. 20, 2003] tion; (vi) The applicant has certified in § 555.50 Correction of error on license writing that he is familiar with and un- or permit. derstands all published State laws and (a) Upon receipt of a license or per- local ordinances relating to explosive mit issued under this part, each li- materials for the location in which he censee or permittee shall examine the intends to do business; license or permit to insure that the in- (vii) The applicant for a license has formation on it is accurate. If the li- submitted the certificate required by cense or permit is incorrect, the li- section 21 of the Federal Water Pollu- censee or permittee shall return the li- tion Control Act, as amended (33 U.S.C. cense or permit to the Chief, Firearms 1341); and Explosives Licensing Center, with (viii) None of the employees of the a statement showing the nature of the applicant who will be authorized by the error. The Chief, Firearms and Explo- applicant to possess explosive mate- sives Licensing Center, shall correct rials is a person described in any para- the error, if the error was made in his graph of section 842(i) of the Act; and office, and return the license or permit. (ix) In the case of an applicant for a However, if the error resulted from in- limited permit, the applicant has cer- formation contained in the licensee’s tified in writing that the applicant will or permittee’s application for the li- not receive explosive materials on cense or permit, the Chief, Firearms more than 6 separate occasions during and Explosives Licensing Center, shall the 12-month period for which the lim- require the licensee or permittee to file ited permit is valid. an amended application setting forth

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the correct information and a state- permit is also issued for a period of one ment explaining the error contained in year. the application. Upon receipt of the [ATF No. 1, 68 FR 13786, Mar. 20, 2003] amended application and a satisfactory explanation of the error, the Chief, § 555.52 Limitations on license or per- Firearms and Explosives Licensing mit. Center, shall make the correction on (a) The license covers the business of the license or permit and return it to explosive materials specified in the li- the licensee or permittee. cense at the licensee’s business prem- (b) When the Chief, Firearms and Ex- ises (see § 555.41(b)). plosives Licensing Center, finds (b) The permit is valid with respect through any means other than notice to the type of operations of explosive from the licensee or permittee that an materials specified in the permit. incorrect license or permit has been [T.D. ATF–87, 46 FR 40384, Aug. 7, 1981, as issued, (1) the Chief, Firearms and Ex- amended by T.D. ATF–387, 62 FR 8376, Feb. plosives Licensing Center, may require 25, 1997; ATF 5F, 70 FR 30633, May 27, 2005] the holder of the incorrect license or permit to return the license or permit § 555.53 License and permit not trans- for correction, and (2) if the error re- ferable. sulted from information contained in Licenses and permits issued under the licensee’s or permittee’s applica- this part are not transferable to an- tion for the license or permit, the other person. In the event of the lease, Chief, Firearms and Explosives Licens- sale, or other transfer of the business ing Center, shall require the licensee or or operations covered by the license or permittee to file an amended applica- permit, the successor must obtain the tion setting forth the correct informa- license or permit required by this part tion, and a statement satisfactorily ex- before commencing business or oper- plaining the error contained in the ap- ations. However, for rules on right of plication. The Chief, Firearms and Ex- succession, see § 555.59. plosives Licensing Center, then shall make the correction on the license or § 555.54 Change of address. permit and return it to the licensee or (a) During the term of a license or permittee. permit, a licensee or permittee may move his business or operations to a [T.D. ATF–87, 46 FR 40384, Aug. 7, 1981, as amended by T.D. ATF–290, 54 FR 53054, Dec. new address at which he intends to reg- 27, 1989] ularly carry on his business or operations, without procuring a new license § 555.51 Duration of license or permit. or permit. However, in every case, the licensee or permittee shall— (a) Prior to May 24, 2003. An original (1) Give notification of the new loca- license or permit is issued for a period tion of the business or operations to of three years. A renewal license or the Chief, Firearms and Explosives Li- permit is issued for a period of three censing Center at least 10 days before years. However, a user-limited permit the move; and is valid only for a single purchase (2) Submit the license or permit to transaction. the Chief, Firearms and Explosives Li- (b) On and after May 24, 2003. (1) An censing Center. The Chief, Firearms original license or user permit is issued and Explosives Licensing Center will for a period of three years. A renewal issue an amended license or permit, license or user permit is also issued for which will contain the new address a period of three years. However, a (and new license or permit number, if user-limited permit is valid only for a any). single purchase transaction. (b) Licensees and permittees whose (2) A limited permit is issued for a mailing address will change must no- period of one year. A renewal limited tify the Chief, Firearms and Explosives

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Licensing Center, at least 10 days be- thorized to possess explosive materials. fore the change. Such report must be submitted within 30 days of the change and must include (Paragraph (b) approved by the Office of Management and Budget under control num- appropriate identifying information for ber 1140–0080) each responsible person. Reports relating to newly hired employees author- [T.D. ATF–87, 46 FR 40384, Aug. 7, 1981, as ized to possess explosive materials amended by T.D. ATF–290, 54 FR 53054, Dec. 27, 1989; ATF No. 1, 68 FR 13786, Mar. 20, 2003] must be submitted on ATF F 5400.28 for each employee. § 555.56 Change in trade name. (c) Upon receipt of a report, the A licensee or permittee continuing to Chief, Firearms and Explosives Licens- conduct business or operations at the ing Center, will conduct a background location shown on his license or permit check, if appropriate, in accordance is not required to obtain a new license with § 555.33. or permit by reason of a mere change (d) The reports required by paragraph in trade name under which he conducts (b) of this section must be retained as his business or operations. However, part of a licensee’s or permittee’s per- the licensee or permittee shall furnish manent records for the period specified his license or permit and any copies in § 555.121. furnished with the license or permit for (Approved by the Office of Management and endorsement of the change to the Budget under control number 1140–0074) Chief, Firearms and Explosives Licens- [T.D. ATF–87, 46 FR 40384, Aug. 7, 1981, as ing Center, within 30 days from the amended by T.D. ATF–290, 54 FR 53054, Dec. date the licensee or permittee begins 27, 1989; ATF No. 1, 68 FR 13786, Mar. 20, 2003] his business or operations under the new trade name. § 555.58 Continuing partnerships. [T.D. ATF–87, 46 FR 40384, Aug. 7, 1981, as Where, under the laws of the par- amended by T.D. ATF–290, 54 FR 53054, Dec. ticular State, the partnership is not 27, 1989] terminated on death or insolvency of a partner, but continues until the wind- § 555.57 Change of control, change in ing up of the partnership affairs is responsible persons, and change of completed, and the surviving partner employees. has the exclusive right to the control (a) In the case of a corporation or as- and possession of the partnership association holding a license or permit sets for the purpose of liquidation and under this part, if actual or legal con- settlement, the surviving partner may trol of the corporation or association continue to conduct the business or op- changes, directly or indirectly, wheth- erations under the license or permit of er by reason of change in stock owner- the partnership. If the surviving part- ship or control (in the corporation ner acquires the business or operations holding a license or permit or in any on completion of settlement of the other corporation), by operation of law, partnership, he shall obtain a license or in any other manner, the licensee or or permit in his own name from the permittee shall, within 30 days of the date of acquisition, as provided in change, give written notification exe- § 555.45. The rule set forth in this sec- cuted under the penalties of perjury, to tion will also apply where there is the Chief, Firearms and Explosives Li- more than one surviving partner. censing Center. Upon expiration of the license or permit, the corporation or § 555.59 Right of succession by certain association shall file an ATF F 5400.13 persons. or an ATF F 5400.16 as required by (a) Certain persons other than the li- § 555.45, and pay the fee prescribed in censee or permittee may secure the § 555.42(b) or § 555.43(b). right to carry on the same explosive (b) For all licenses or permits issued materials business or operations at the on and after May 24, 2003, each person same business premises for the remain- holding the license or permit must re- der of the term of license or permit. port to the Chief, Firearms and Explo- These persons are: sives Licensing Center, any change in (1) The surviving spouse or child, or responsible persons or employees au- executor, administrator, or other legal

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representative of a deceased licensee or that license or permit, immune from permittee; and punishment for conducting an explo- (2) A receiver or trustee in bank- sive materials business or operations in ruptcy, or an assignee for benefit of violation of the provisions of any State creditors. or other law. Similarly, compliance (b) In order to secure the right of suc- with the provisions of any State or cession, the person or persons con- other law affords no immunity under tinuing the business or operations shall Federal law or regulations. submit the license or permit and all copies furnished with the license or § 555.63 Explosives magazine changes. permit for endorsement of the succes- (a) General. (1) The requirements of sion to the Chief, Firearms and Explo- this section are applicable to maga- sives Licensing Center, within 30 days zines used for other than temporary from the date on which the successor (under 24 hours) storage of explosives. begins to carry on the business or oper- (2) A magazine is considered suitable ations. for the storage of explosives if the construction requirements of this part are [T.D. ATF–87, 46 FR 40384, Aug. 7, 1981, as amended by T.D. ATF–290, 54 FR 53054, Dec. met during the time explosives are 27, 1989] stored in the magazine. (3) A magazine is considered suitable § 555.60 Certain continuances of busi- for the storage of explosives if posi- ness or operations. tioned in accordance with the applica- A licensee or permittee who furnishes ble table of distances as specified in his license or permit to the Chief, Fire- this part during the time explosives are arms and Explosives Licensing Center, stored in the magazine. for correction, amendment, or endorse- (4) For the purposes of this section, ment, as provided in this subpart, may notification of the regional director continue his business or operations (compliance) may be by telephone or in while awaiting its return. writing. However, if notification of the regional director (compliance) is in [T.D. ATF–87, 46 FR 40384, Aug. 7, 1981, as writing it must be at least three busi- amended by T.D. ATF–290, 54 FR 53054, Dec. ness days in advance of making 27, 1989] changes in construction to an existing § 555.61 Discontinuance of business or magazine or constructing a new maga- operations. zine, and at least five business days in advance of using any reconstructed Where an explosive materials busi- magazine or added magazine for the ness or operations is either discon- storage of explosives. tinued or succeeded by a new owner, (b) Exception. Mobile or portable type the owner of the business or operations 5 magazines are exempt from the re- discontinued or succeeded shall, within quirements of paragraphs (c) and (d) of 30 days, furnish notification of the dis- this section, but must otherwise be in continuance or succession and submit compliance with paragraphs (a) (2) and his license or permit and any copies (3) of this section during the time ex- furnished with the license or permit to plosives are stored in such magazines. the Chief, Firearms and Explosives Li- (c) Changes in magazine construction. censing Center. (See also § 555.128.) A licensee or permittee who intends to [T.D. ATF–87, 46 FR 40384, Aug. 7, 1981, as make changes in construction of an ex- amended by T.D. ATF–290, 54 FR 53054, Dec. isting magazine shall notify the re- 27, 1989] gional director (compliance) describing the proposed changes prior to making § 555.62 State or other law. any changes. Unless otherwise advised A license or permit issued under this by the regional director (compliance), part confers no right or privilege to changes in construction may com- conduct business or operations, includ- mence after explosives are removed ing storage, contrary to State or other from the magazine. Explosives may not law. The holder of a license or permit be stored in a reconstructed magazine issued under this part is not, by reason before the regional director (compli- of the rights and privileges granted by ance) has been notified in accordance

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with paragraph (a)(4) of this section tions, he will proceed as provided in that the changes have been completed. § 555.74. (d) Magazines acquired or constructed [T.D. ATF–87, 46 FR 40384, Aug. 7 1981, as after permit or license is issued. A li- amended by T.D. ATF–446, 66 FR 16602, Mar. censee or permittee who intends to 27, 2001] construct or acquire additional magazines shall notify the regional director § 555.72 Denial of initial application. (compliance) in accordance with para- Whenever the regional director (com- graph (a)(4) of this section describing pliance) has reason to believe that an the additional magazines and the class applicant for an original license or per- and quantity of explosives to be stored mit is not eligible to receive a license in the magazine. Unless otherwise ad- or permit under the provisions of vised by the regional director (compli- § 555.49, he shall issue a notice of denial ance), additional magazines may be on ATF F 5400.11. The notice will set constructed, or acquired magazines forth the matters of fact and law relied may be used for the storage of explo- upon in determining that the applica- sives. Explosives must not be stored in tion should be denied, and will afford a magazine under construction. The re- the applicant 15 days from the date of gional director (compliance) must be receipt of the notice in which to re- notified that construction has been quest a hearing to review the denial. If completed. no request for a hearing is filed within [T.D. ATF–87, 46 FR 40384, Aug. 7, 1981, as that time, a copy of the application, amended by T.D. ATF–400, 63 FR 45002, Aug. marked ‘‘Disapproved’’, will be re- 24, 1998] turned to the applicant.

Subpart E—License and Permit § 555.73 Hearing after initial applica- Proceedings tion is denied. If the applicant for an original li- § 555.71 Opportunity for compliance. cense or permit desires a hearing, he Except in cases of willfulness or shall file a request with the regional those in which the public interest re- director (compliance) within 15 days quires otherwise, and the regional di- after receipt of the notice of denial. rector (compliance) so alleges in the The request should include a statement notice of denial of an application or of the reasons for a hearing. On receipt revocation of a license or permit, no li- of the request, the regional director cense or permit will be revoked or re- (compliance) shall refer the matter to newal application denied without first an administrative law judge who shall calling to the attention of the licensee set a time and place (see § 555.77) for a or permittee the reasons for the con- hearing and shall serve notice of the templated action and affording him an hearing upon the applicant and the re- opportunity to demonstrate or achieve gional director (compliance) at least 10 compliance with all lawful require- days in advance of the hearing date. ments and to submit facts, arguments, The hearing will be conducted in ac- or proposals of adjustment. The notice cordance with the hearing procedures of contemplated action, ATF F 5400.12, prescribed in part 71 of this chapter will afford the licensee or permittee 15 (see § 555.82). Within a reasonable time days from the date of receipt of the no- after the conclusion of the hearing, and tice to respond. If no response is reas expeditiously as possible, the admin- ceived within the 15 days, or if after istrative law judge shall render his rec- consideration of relevant matters pre- ommended decision. He shall certify to sented by the licensee or permittee, the the complete record of the proceedings regional director (compliance) finds before him and shall immediately for- that the licensee or permittee is not ward the complete certified record, to- likely to abide by the law and regula- gether with four copies of his recommended decision, to the regional director (compliance) for decision.

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§ 555.74 Denial of renewal application the stay of the effective date of the or revocation of license or permit. revocation is denied, the licensee or If following the opportunity for com- permittee may request an immediate pliance under § 555.71, or without oppor- hearing. In this event, the regional di- tunity for compliance under § 555.71, as rector (compliance) shall immediately circumstances warrant, the regional di- refer the matter to an administrative rector (compliance) finds that the li- law judge who shall set a date and censee or permittee is not likely to place for a hearing, which date shall be comply with the law or regulations or no later than 10 days from the date the is otherwise not eligible to continue licensee or permittee requested an im- operations authorized under his license mediate hearing. The hearing will be or permit, the regional director (com- held in accordance with the applicable pliance) shall issue a notice of denial of provisions of part 71 of this chapter. the renewal application or revocation Within a reasonable time after the con- of the license or permit, ATF F 5400.11 clusion of the hearing, and as expedi- or ATF F 5400.10, as appropriate. In ei- tiously as possible, the administrative ther case, the notice will set forth the law judge shall render his decision. He matters of fact constituting the viola- shall certify to the complete record of tions specified, dates, places, and the the proceeding before him and shall sections of law and regulations vio- immediately forward the complete cer- lated. The notice will, in the case of tified record, together with two copies revocation of a license or permit, speci- of his decision, to the regional director fy the date on which the action is effec- (compliance), serve one copy of his de- tive, which date will be on or after the cision on the licensee or permittee or date the notice is served on the li- his counsel, and transmit a copy to the censee or permittee. The notice will attorney for the Government. also advise the licensee or permittee that he may, within 15 days after re- § 555.76 Action by regional director ceipt of the notice, request a hearing (compliance). and, if applicable, a stay of the effec- (a) Initial application proceedings. If, tive date of the revocation of his li- upon receipt of the record and the rec- cense or permit. ommended decision of the administrative law judge, the regional director § 555.75 Hearing after denial of re- (compliance) decides that the license newal application or revocation of or permit should be issued, the regional license or permit. director (compliance) shall cause the If a licensee or permittee whose re- application to be approved, briefly newal application has been denied or stating, for the record, his reasons. If whose license or permit has been re- he contemplates that the denial should voked desires a hearing, he shall file a stand, he shall serve a copy of the ad- request for a hearing with the regional ministrative law judge’s recommended director (compliance). In the case of decision on the applicant, informing the revocation of a license or permit, the applicant of his contemplated ac- he may include a request for a stay of tion and affording the applicant not the effective date of the revocation. On more than 10 days in which to submit receipt of the request the regional di- proposed findings and conclusions or rector (compliance) shall advise the li- exceptions to the recommended deci- censee or permittee whether the stay sion with supporting reasons. If the re- of the effective date of the revocation gional director (compliance), after con- is granted. If the stay of the effective sideration of the record of the hearing date of the revocation is granted, the and of any proposed findings, conclu- regional director (compliance) shall sions, or exceptions filed with him by refer the matter to an administrative the applicant, approves the findings, law judge who shall set a time and conclusions and recommended decision place (see § 555.77) for a hearing and of the administrative law judge, the re- shall serve notice of the hearing upon gional director (compliance) shall the licensee or permittee and the re- cause the license or permit to be issued gional director (compliance) at least 10 or disapproved the application accord- days in advance of the hearing date. If ingly. If he disapproves the findings,

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conclusions, and recommendation of ceedings involve the revocation of a li- the administrative law judge, in whole cense or permit which expired before a or in part, he shall by order make such decision is in favor of the licensee or findings and conclusions as in his opin- permittee, the regional director (com- ion are warranted by the law and the pliance) shall: facts in the record. Any decision of the (1) If renewal application was timely regional director (compliance) ordering filed and a stay of the effective date of the disapproval of an initial applica- the revocation was granted, cause to be tion for a license or permit shall state issued a license or permit effective on the findings and conclusions upon the date of issuance; which it is based, including his ruling (2) If renewal application was not upon each proposed finding, conclusion, timely filed but a stay of the effective and exception to the administrative date of the revocation had been grant- law judge’s recommended decision, to- ed, request that a renewal application gether with a statement of his findings be filed and, following that, cause to be and conclusions, and reasons or basis issued a license or permit to be effec- for his findings and conclusions, upon tive on issuance; or all material issues of fact, law or dis- (3) If a stay of the effective date of cretion presented on the record. A the revocation had not been granted, signed duplicate original of the deci- request that an application be filed as sion will be served upon the applicant provided in § 555.45, and process it in and the original copy containing cer- the same manner as for an application tificate of service will be placed in the for an original license or permit. official record of the proceedings. If the (c) Curtailment of stay of revocation ef- decision of the regional director (com- fective date. If, after approval of a re- pliance) is in favor of the applicant, he quest for a stay of the effective date of shall issue the license or permit, to be an order revoking a license or permit effective on issuance. but before actions are completed under (b) Renewal application and revocation this subpart, the regional director proceedings. Upon receipt of the com- (compliance) finds that it is contrary plete certified records of the hearing, to the public interest for the licensee the regional director (compliance) or permittee to continue the oper- shall enter an order confirming the ations or activities covered by his li- revocation of the license or permit, or cense or permit, the regional director disapproving the application, in ac- (compliance) may issue a notice of cordance with the administrative law withdrawal of the approval, effective judge’s findings and decision, unless he on the date of issuance. Notice of with- disagrees with the findings and deci- drawal will be served upon the licensee sion. A signed duplicate original of the or permittee in the manner provided in order, ATF F 5400.9, will be served upon § 555.81. the licensee or permittee and the origi- [T.D. ATF–87, 46 FR 40384, Aug. 7, 1981, as nal copy containing certificate of serv- amended by T.D. ATF–290, 54 FR 53054, Dec. ice will be placed in the official record 27, 1989] of the proceedings. If the regional director (compliance) disagrees with the § 555.77 Designated place of hearing. findings and decision of the adminis- The designated place of hearing set trative law judge, he shall file a peti- as provided in § 555.73 or § 555.75, will be tion with the Director for review of the at the location convenient to the ag- findings and decision, as provided in grieved party. § 555.79. In either case, if the renewal application denial is sustained, a copy § 555.78 Representation at a hearing. of the application marked ‘‘Dis- An applicant, licensee, or permittee approved’’ will be returned to the ap- may be represented by an attorney, plicant. If the renewal application de- certified public accountant, or other nial is reversed, a license or permit person recognized to practice before will be issued to become effective on the Bureau of Alcohol, Tobacco and expiration of the license or permit Firearms as provided in 31 CFR Part 8, being renewed, or on the date of if he has otherwise complied with the issuance, whichever is later. If the pro- applicable requirements of 26 CFR

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601.521 through 601.527. The regional di- file a petition for a judicial review of rector (compliance) shall be rep- the decision, with the U.S. Court of Ap- resented in proceedings under §§ 555.73 peals for the district in which he re- and 555.75 by an attorney in the office sides or has his principal place of busi- of the chief counsel or regional counsel ness. The Director, upon notification who is authorized to execute and file that a petition has been filed, shall motions, briefs, and other papers in the have prepared a complete transcript of proceedings, on behalf of the regional the record of the proceedings. The re- director (compliance), in his own name gional director (compliance) or the Di- as ‘‘Attorney for the Government’’. rector, as the case may be, shall certify [T.D. ATF–87, 46 FR 40384, Aug. 7, 1981, as to the correctness of the transcript of amended by T.D. ATF–92, 46 FR 46916, Sept. the record, forward one copy to the at- 23, 1981] torney for the Government in the re- § 555.79 Appeal on petition to the Di- view of the case, and file the original rector. record of the proceedings with the An appeal to the Director is not re- original certificate in the U.S. Court of quired prior to filing an appeal with Appeals. the U.S. Court of Appeals for judicial review. An appeal may be taken by the § 555.81 Service on applicant, licensee, applicant, licensee, or permittee to the or permittee. Director from a decision resulting from All notices and other formal docu- a hearing under § 555.73 or § 555.75. An ments required to be served on an ap- appeal may also be taken by a regional plicant, licensee, or permittee under director (compliance) from a decision this subpart will be served by certified resulting from a hearing under § 555.75 mail or by personal delivery. Where as provided in § 555.76(b). The appeal service is by personal delivery, the shall be taken by filing a petition for signed duplicate original copy of the review on appeal with the Director formal document will be delivered to within 15 days of the service of an ad- the applicant, licensee, or permittee, ministrative law judge’s decision or an or, in the case of a corporation, part- order. The petition will set forth facts nership, or association, by delivering it tending to show (a) action of an arbi- to an officer, manager, or general trary nature, (b) action without rea- agent, or to its attorney of record. sonable warrant in fact, or (c) action contrary to law and regulations. A § 555.82 Provisions of part 200 made copy of the petition will be filed with applicable. the regional director (compliance) or served on the applicant, licensee, or The provisions of subpart G of part permittee, as the case may be. In the 200 of this chapter, as well as those pro- event of appeal, the regional director visions of part 71 relative to failure to (compliance) shall immediately for- appear, withdrawal of an application or ward the complete original record, by surrender of a permit, the conduct of certified mail, to the Director for his hearings before an administrative law consideration, review, and disposition judge, and record of testimony, are as provided in subpart I of part 71 of hereby made applicable to application, this chapter. When, on appeal, the Di- license, and permit proceedings under rector affirms the initial decision of this subpart to the extent that they are the regional director (compliance) or not contrary to or incompatible with the administrative law judge, as the this subpart. case may be, the initial decision will be final. § 555.83 Operations by licensees or permittees after notice of denial or § 555.80 Court review. revocation. An applicant, licensee, or permittee In any case where a notice of revoca- may, within 60 days after receipt of the tion has been issued and a request for a decision of the administrative law stay of the effective date of the revoca- judge or the final order of the regional tion has not been granted, the licensee director (compliance) or the Director,

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or permittee shall not engage in the ac- rials. However, permittees may dispose tivities covered by the license or per- of surplus stocks of explosive materials mit pending the outcome of pro- to other licensees or permittees in ac- ceedings under this subpart. In any cordance with § 555.103, and to non- case where notice of revocation has licensees or to nonpermittees in ac- been issued but a stay of the effective cordance with § 555.105(a)(4). date of the revocation has been grant- (2) Distributions of surplus stocks on ed, the licensee or permittee may con- and after May 24, 2003. Permittees are tinue to engage in the activities cov- not authorized to engage in the busi- ered by his license or permit unless, or ness of sale or distribution of explosive until, formally notified to the con- materials. However, permittees may trary: Provided, That in the event the dispose of surplus stocks of explosive license or permit would have expired materials to other licensees or permit- before proceedings under this subpart tees in accordance with § 555.103 and are completed, timely renewal applica- § 555.105. tion must have been filed to continue the license or permit beyond its expira- [T.D. ATF–400, 63 FR 45002, Aug. 24, 1998, as tion date. In any case where a notice of amended by ATF No. 1, 68 FR 13787, Mar. 20, 2003] denial of a renewal application has been issued, the licensee or permittee § 555.103 Transactions among licens- may continue to engage in the activi- ees/permittees and transactions ties covered by the existing license or among licensees and holders of user permit after the date of expiration of permits. the license or permit until proceedings (a) Transactions among licensees/per- under this subpart are completed. mittees prior to May 24, 2003—(1) General. (i) A licensed importer, licensed manu- Subpart F—Conduct of Business or facturer or licensed dealer selling or Operations otherwise distributing explosive materials (or a permittee disposing of sur- § 555.101 Posting of license or user plus stock to a licensee or another per- permit. mittee) who has the certified informa- A license or user permit issued under tion required by this section may sell this part, or a copy of a license or user or distribute explosive materials to a permit, will be posted and available for licensee or permittee for not more than inspection on the business premises at 45 days following the expiration date of each place where explosive materials the distributee’s license or permit, un- are manufactured, imported, or distrib- less the distributor knows or has rea- uted. son to believe that the distributee’s au- [T.D. ATF–87, 46 FR 40384, Aug. 7, 1981. Re- thority to continue business or oper- designated by T.D. ATF–487, 68 FR 3748, Jan. ations under this part has been termi- 24, 2003. ATF No. 1, 68 FR 13786, Mar. 20, 2003] nated. (ii) A licensed importer, licensed § 555.102 Authorized operations by manufacturer or licensed dealer selling permittees. or otherwise distributing explosive ma- (a) In general. A permit issued under terials (or a permittee disposing of sur- this part does not authorize the per- plus stock to another licensee or permittee to engage in the business of mittee) must verify the license or per- manufacturing, importing, or dealing mit status of the distributee prior to in explosive materials. Accordingly, if the release of explosive materials or- a permittee’s operations bring him dered, as required by this section. within the definition of manufacturer, (iii) Licensees or permittees desiring importer, or dealer under this part, he to return explosive materials to a li- shall qualify for the appropriate licensed manufacturer may do so with- cense. out obtaining a certified copy of the (b) Distributions of surplus stocks—(1) manufacturer’s license. Distributions of surplus stocks prior to (iv) Where possession of explosive May 24, 2003. Permittees are not au- materials is transferred at the distribu- thorized to engage in the business of tor’s premises, the distributor must in sale or distribution of explosive mate- all instances verify the identity of the

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person accepting possession on behalf (ii) A business organization must, of the distributee before relinquishing prior to ordering explosive materials, possession. Before the delivery at the furnish the licensee or permittee a cur- distributor’s premises of explosive ma- rent certified list of the representa- terials to an employee of a licensee or tives or agents authorized to order ex- permittee, or to an employee of a com- plosive materials on behalf of the busi- mon or contract carrier transporting ness organization showing the name, explosive materials to a licensee or address, and date and place of birth of permittee, the distributor delivering each representative or agent. A li- explosive materials must obtain an ex- censee or permittee may not distribute ecuted ATF F 5400.8, Explosives Deliv- explosive materials to a business orga- ery Record, from the employee before nization on the order of a person who releasing the explosive materials. The does not appear on the certified list of ATF F 5400.8 must contain all of the in- representatives or agents and, if the formation required on the form and re- person does appear on the certified list, quired by this part. the licensee or permittee must verify Example 1. An ATF F 5400.8 is required the identity of such person. when: (4) Licensee/permittee certified state- a. An employee of the purchaser takes pos- ment. (i) A licensee or permittee order- session at the distributor’s premises. ing explosive materials from another b. An employee of a common or contract licensee or permittee must furnish a carrier hired by the purchaser takes posses- current, certified statement of the in- sion at the distributor’s premises. tended use of the explosive materials, Example 2. An ATF F 5400.8 is not required e.g., resale, mining, quarrying, agri- when: a. An employee of the distributor takes culture, construction, sport rocketry, possession of the explosives for the purpose road building, oil well drilling, seis- of transport to the purchaser. mographic research, to the distributor. b. An employee of a common or contract (ii) For individuals, the certified carrier hired by the distributor takes posses- statement of intended use must specify sion of the explosives for the purpose of the name, address, date and place of transport to the purchaser. birth, and social security number of (2) License/permit verification of indi- the distributee. viduals. (i) The distributee must fur- (iii) For business organizations, the nish a certified copy (or, in the case of certified statement of intended use a user-limited, the original) of the li- must specify the taxpayer identifica- cense or permit. The certified copy tion number, the identity and the prin- need be furnished only once during the cipal and local places of business. current term of the license or permit. (iv) The licensee or permittee pur- Also, a licensee need not furnish cer- chasing explosive materials must re- tified copies of licenses to other li- vise the furnished copy of the certified censed locations operated by such li- statement only when the information censee. is no longer current. (ii) The distributor may obtain any (5) User-limited permit transactions. A additional verification as the dis- user-limited permit issued under the tributor deems necessary. provisions of this part is valid for only (3) License/permit verification of busi- a single purchase transaction and is ness organizations. (i) A business organi- not renewable (see § 555.51). Accord- zation may (in lieu of furnishing a cer- ingly, at the time a user-limited per- tified copy of a license) furnish the dis- mittee orders explosive materials, the tributor a certified list which contains licensed distributor must write on the the name, address, license number and front of the user-limited permit the date of license expiration of each li- transaction date, his signature, and the censed location. The certified list need distributor’s license number prior to be furnished only once during the cur- returning the permit to the user-lim- rent term of the license or permit. ited permittee. Also, a business organization need not (b) Transactions among licensees/per- furnish a certified list to other licensed mittees on and after May 24, 2003—(1) locations operated by such business or- General. (i) A licensed importer, li- ganization. censed manufacturer or licensed dealer

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selling or otherwise distributing explo- current list of names of persons au- sive materials (or a holder of a user thorized to accept delivery of explosive permit disposing of surplus stock to a materials on behalf of the distributee. licensee; a holder of a user permit; or a Except as provided in paragraph (b)(3) holder of a limited permit who is with- of this section, in all instances the dis- in the same State as the distributor) tributor must verify the identity of the who has the certified information re- distributee, or the employee of the dis- quired by this section may sell or distributee accepting possession of explo- tribute explosive materials to a li- sive materials on behalf of the dis- censee or permittee for not more than tributee, by examining an identifica- 45 days following the expiration date of tion document (as defined in § 555.11) the distributee’s license or permit, un- before relinquishing possession. less the distributor knows or has rea- (iii) A licensee or holder of a user son to believe that the distributee’s au- permit ordering explosive materials thority to continue business or oper- from another licensee or permittee ations under this part has been termi- must provide to the distributor a cur- nated. rent, certified statement of the in- (ii) A licensed importer, licensed tended use of the explosive materials, manufacturer or licensed dealer selling e.g., resale, mining, quarrying, agri- or otherwise distributing explosive ma- culture, construction, sport rocketry, terials (or a holder of a user permit dis- road building, oil well drilling, seis- posing of surplus stock to another li- mographic research, etc. censee or permittee) must verify the li- (A) For individuals, the certified cense or permit status of the dis- statement of intended use must specify tributee prior to the release of explo- the name, address, date and place of sive materials ordered, as required by birth, and social security number of this section. the distributee. (iii) Licensees or permittees desiring (B) For business organizations, the to return explosive materials to a li- certified statement of intended use censed manufacturer may do so with- must specify the taxpayer identifica- out obtaining a certified copy of the tion number, the identity and the prin- manufacturer’s license. cipal and local places of business. (2) Verification of license/user permit. (C) The licensee or holder of a user (i) Prior to or with the first order of ex- permit purchasing explosive materials plosive materials, the distributee must must revise the furnished copy of the provide the distributor a certified copy certified statement only when the in- (or, in the case of a user-limited, the formation is no longer current. original) of the distributee’s license or (3) Delivery of explosive materials by user permit. However, licensees or common or contract carrier. When a com- holders of user permits that are busi- mon or contract carrier will transport ness organizations may (in lieu of a explosive materials from a distributor certified copy of a license or user per- to a distributee who is a licensee or mit) provide the distributor with a cer- holder of a user permit, the distributor tified list that contains the name, ad- must take the following actions before dress, license or user permit number, relinquishing possession of the explo- and date of the license or user permit sive materials: expiration of each location. (i) Verify the identity of the person (ii) The distributee must also provide accepting possession for the common the distributor with a current list of or contract carrier by examining such the names of persons authorized to ac- person’s valid, unexpired driver’s li- cept delivery of explosive materials on cense issued by any State, Canada, or behalf of the distributee. The dis- Mexico; and tributee ordering explosive materials (ii) Record the name of the common must keep the list current and provide or contract carrier (i.e., the name of updated lists to licensees and holders the driver’s employer) and the full of user permits on a timely basis. A name of the driver. This information distributor may not transfer possession must be maintained in the distributor’s of explosive materials to any person permanent records in accordance with whose name does not appear on the § 555.121.

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(4) User-limited permit transactions. A § 555.105 Distributions to nonlicensees, user-limited permit issued under the nonpermittees, and limited permit- provisions of this part is valid for only tees. a single purchase transaction and is (a) Distributions to nonlicensees and not renewable (see § 555.51). Accord- nonpermittees prior to May 24, 2003. (1) ingly, at the time a user-limited per- This section will apply in any case mittee orders explosive materials, the where distribution of explosive mate- licensed distributor must write on the rials to the distributee is not otherwise front of the user-limited permit the prohibited by the Act or this part. transaction date, his signature, and the (2) Except as provided in paragraph distributor’s license number prior to (a)(3) of this section, a licensed im- returning the permit to the user-lim- porter, licensed manufacturer, or li- ited permittee. censed dealer may distribute explosive (Approved by the Office of Management and materials to a nonlicensee or nonper- Budget under control number 1140–0079) mittee if the nonlicensee or nonpermittee is a resident of the same State [ATF No. 1, 68 FR 13787, Mar. 20, 2003, as amended by ATF No. 2, 68 FR 53512, Sept. 11, in which the licensee’s business prem- 2003] ises are located, and the nonlicensee or nonpermittee furnishes to the licensee § 555.104 Certified copy of license or the explosives transaction record, ATF permit. F 5400.4, required by § 555.126. Disposi- Except as provided in § 555.49(a), each tion of ATF F 5400.4 will be made in ac- person issued a license or permit under cordance with § 555.126. this part shall be furnished together (3) A licensed importer, licensed with his license or permit a copy for manufacturer, or licensed dealer may his certification. If a person desires an sell or distribute explosive materials to additional copy of his license or permit a resident of a State contiguous to the for certification and for use under State in which the licensee’s place of § 555.103, he shall: business is located if the purchaser’s (a) Make a reproduction of the copy State of residence has enacted legisla- of his license or permit and execute the tion, currently in force, specifically au- certification on it; thorizing a resident of that State to (b) Make a reproduction of his license purchase explosive materials in a con- or permit, enter on the reproduction tiguous State and the purchaser and the statement: ‘‘I certify that this is a the licensee have, prior to the distribu- true copy of a (insert the word license or tion of the explosive materials, com- permit) issued to me to engage in the plied with all the requirements of para- specified business or operations’’, and graphs (a)(2), (a)(5), and (a)(6) of this sign his name next to the statement; or section applicable to intrastate trans- (c) Submit a request, in writing, for actions occurring on the licensee’s certified copies of his license or permit business premises. to the Chief, Firearms and Explosives (4) A permittee may dispose of sur- Licensing Center. The request will plus stocks of explosive materials to a show the name, trade name (if any), nonlicensee or nonpermittee if the non- and address of the licensee or per- licensee or nonpermittee is a resident mittee and the number of copies of the of the same State in which the permit- license or permit desired. There is a fee tee’s business premises or operations of $1 for each copy of a license or per- are located, or is a resident of a State mit issued by the Chief, Firearms and contiguous to the State in which the Explosives Licensing Center under this permittee’s place of business or oper- paragraph. Fee payment must accom- ations are located, and if the require- pany each request for additional copies ments of paragraphs (a)(2), (a)(3), (a)(5), of a license or permit. The fee must be and (a)(6) of this section are fully met. paid by (1) cash, or (2) money order or (5) A licensed importer, licensed check made payable to the Bureau of manufacturer, or licensed dealer sell- Alcohol, Tobacco and Firearms. ing or otherwise distributing explosive [T.D. ATF–87, 46 FR 40384, Aug. 7, 1981, as materials to a business entity must amended by T.D. ATF–290, 54 FR 53054, Dec. verify the identity of the representa- 27, 1989] tive or agent of the business entity

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who is authorized to order explosive in which the licensee’s business prem- materials on behalf of the business en- ises are located, the holder of the lim- tity. Each business entity ordering ex- ited permit presents in person or by plosive materials must furnish the dis- mail ATF Form 5400.4, Limited Per- tributing licensee prior to or with the mittee Transaction Report (LPTR), first order of explosive materials a cur- and the licensee completes Form 5400.4 rent certified list of the names of rep- in accordance with § 555.126(b). In no resentatives or agents authorized to event will a licensee distribute explo- order explosive materials on behalf of sive materials to a holder of a limited the business entity. The business enti- permit unless the holder presents a ty ordering explosive materials is re- Form 5400.4 with an original unaltered sponsible for keeping the certified list and unexpired Intrastate Purchase of current. A licensee may not distribute Explosives Coupon (IPEC), ATF Form explosive materials to a business enti- 5400.30, affixed. The coupon must bear ty on the order of a person whose name the name, address, permit number, and does not appear on the certified list. the coupon number of the limited per- (6) Where the possession of explosive mittee seeking distribution of the ex- materials is transferred at the distribu- plosives. tor’s premises, the distributor must in (3) A holder of a limited permit is au- all instances verify the identity of the thorized to receive explosive materials person accepting possession on behalf from a licensee or permittee whose of the distributee before relinquishing premises are located in the same State possession. Before the delivery at the of residence in which the premises of distributor’s premises of explosive ma- the holder of the limited permit are lo- terials to an employee of a nonlicensee cated on no more than 6 separate occa- or nonpermittee, or to an employee of sions during the one-year period of the a common or contract carrier trans- permit. For purposes of this section, porting explosive materials to a non- the term ‘‘6 separate occasions’’ means licensee or nonpermittee, the dis- six deliveries of explosive materials. tributor delivering explosive materials Each delivery must— must obtain an executed ATF F 5400.8 (i) Relate to a single purchase trans- from the employee before releasing the action made on one ATF F 5400.4; explosive materials. The ATF F 5400.8 must contain all of the information re- (ii) Be referenced on one commercial quired on the form and by this part. invoice or purchase order; and (See examples in § 555.103(a)). (iii) Be delivered to the holder of the (7) A licensee or permittee disposing limited permit in one shipment deliv- of surplus stock may sell or distribute ered at the same time. commercially manufactured black (4) A holder of a user permit may dis- powder in quantities of 50 pounds or pose of surplus stocks of explosive ma- less to a nonlicensee or nonpermittee if terials to a licensee or holder of a user the black powder is intended to be used permit, or a holder of a limited permit solely for sporting, recreational, or cul- who is a resident of the same State in tural purposes in antique firearms as which the premises of the holder of the defined in 18 U.S.C. 921(a)(16), or in an- user permit are located. A holder of a tique devices as exempted from the limited permit may dispose of surplus term ‘‘destructive device’’ in 18 U.S.C. stocks of explosive materials to an- 921(a)(4). other holder of a limited permit who is (b) Distributions to holders of limited a resident of the same State in which permits on and after May 24, 2003. (1) the premises of the distributor are lo- This section will apply in any case cated, if the transaction complies with where distribution of explosive mate- the requirements of paragraph (b)(2) of rials to the distributee is not otherwise this section and § 555.126(b). A holder of prohibited by the Act or this part. a limited permit may also dispose of (2) A licensed importer, licensed surplus stocks of explosive materials to manufacturer or a licensed dealer may a licensee or holder of a user permit if distribute explosive materials to a the disposition occurs in the State of holder of a limited permit if such per- residence of the holder of the limited mittee is a resident of the same State permit. (See § 555.103.)

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(5) Each holder of a limited permit one of the six IPECs he has been issued, ordering explosive materials must fur- and provide the form to the distributor nish the distributing licensee prior to in person or by mail. or with the first order of the explosive (B) The distributor must, before re- materials a current list of the names of linquishing possession of the explosive employees authorized to accept deliv- materials to the common or contract ery of explosive materials on behalf of carrier: the limited permittee. The distributee (1) Verify the identity of the person ordering explosive materials must keep accepting possession for the common the list current and provide updated or contract carrier by examining such lists to licensees and holders of user person’s valid, unexpired driver’s li- permits on a timely basis. A licensed cense issued by any State, Canada, or importer, licensed manufacturer, li- Mexico; and censed dealer, or permittee, selling or (2) Record the name of the common otherwise distributing explosive mate- or contract carrier (i.e., the name of rials to a holder of a limited permit the driver’s employer) and the full must, prior to delivering the explosive name of the driver. This information materials, obtain from the limited per- must be maintained in the distributor’s mittee a current list of persons who are permanent records in accordance with authorized to accept deliveries of ex- § 555.121. plosive materials on behalf of the lim- (C) At the time of delivery of the ex- ited permittee. A licensee or permittee plosive materials, the common or con- may not deliver explosive materials to tract carrier, as agent for the dis- a person whose name does not appear tributor, must verify the identity of on the list. the person accepting delivery on behalf (6)(i) Delivery at the distributor’s prem- of the distributee, note the type and ises. Where possession of explosive ma- number of the identification document terials is transferred directly to the (as defined in § 555.11) and provide this distributee at the distributor’s prem- information to the distributor. The dis- ises, the distributor must obtain an ex- tributor must enter this information in ecuted Form 5400.4 in accordance with the appropriate section on Form 5400.4. § 555.126(b) and must in all instances (iv) Delivery by common or contract verify the identity of the person ac- carrier hired by the distributee. Where a cepting possession on behalf of the dis- common or contract carrier hired by tributee by examining an identifica- the distributee will transport explosive tion document (as defined in § 555.11) materials from the distributor to a before relinquishing possession. holder of a limited permit: (ii) Delivery by distributor. Where pos- (A) The limited permittee must, session of explosive materials is trans- prior to delivery of the explosive mate- ferred by the distributor to the dis- rials, complete the appropriate section tributee away from the distributor’s on Form 5400.4, affix to the Form 5400.4 premises, the distributor must obtain one of the six IPECs he has been issued, an executed Form 5400.4 in accordance and provide the form to the distributor with § 555.126(b) and must in all in- in person or by mail. stances verify the identity of the per- (B) Before the delivery at the dis- son accepting possession on behalf of tributor’s premises to the common or the distributee by examining an identi- contract carrier who will transport ex- fication document (as defined in plosive materials to the holder of a § 555.11) before relinquishing possession. limited permit, the distributor must: (iii) Delivery by common or contract (1) Verify the identity of the person carrier hired by the distributor. Where a accepting possession for the common common or contract carrier hired by or contract carrier by examining such the distributor will transport explosive person’s valid, unexpired driver’s li- materials from the distributor to a cense issued by any State, Canada, or holder of a limited permit: Mexico; and (A) The limited permittee must, (2) Record the name of the common prior to delivery of the explosive mate- or contract carrier (i.e., the name of rials, complete the appropriate section the driver’s employer) and the full on Form 5400.4, affix to the Form 5400.4 name of the driver. This information

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must be maintained in the distributor’s knowing or having reason to believe permanent records in accordance with that the person: § 555.121. (1) Is, except as provided under (7) A licensee or permittee disposing § 555.142 (d) and (e), under indictment or of surplus stock may sell or distribute information for, or was convicted in commercially manufactured black any court of, a crime punishable by im- powder in quantities of 50 pounds or prisonment for a term exceeding 1 less to a holder of a limited permit, year; nonlicensee, or nonpermittee if the (2) Is a fugitive from justice; black powder is intended to be used (3) Is an unlawful user of marijuana, solely for sporting, recreational, or cul- or any depressant or stimulant drug, or tural purposes in antique firearms as narcotic drug (as these terms are de- defined in 18 U.S.C. 921(a)(16), or in an- fined in the Controlled Substances Act, tique devices as exempted from the 21 U.S.C. 802); term ‘‘destructive device’’ in 18 U.S.C. (4) Was adjudicated as a mental de- 921(a)(4). fective or was committed to a mental (Approved by the Office of Management and institution; Budget under control number 1140–0075) (5) Is an alien, other than an alien [ATF No. 1, 68 FR 13788, Mar. 20, 2003, as who— amended by ATF No. 2, 68 FR 53513, Sept. 11, (i) Is lawfully admitted for perma- 2003] nent residence (as that term is defined in section 101(a)(20) of the Immigration § 555.106 Certain prohibited distribu- and Nationality Act (8 U.S.C. 1101)); tions. (ii) Is in lawful nonimmigrant status, (a) A licensee or permittee may not is a refugee admitted under section 207 distribute explosive materials to any of the Immigration and Nationality person except— Act (8 U.S.C. 1157), or is in asylum sta- (1) A licensee; tus under section 208 of the Immigra- (2) A holder of a user permit; or tion and Nationality Act (8 U.S.C. (3) A holder of a limited permit who 1158), and— is a resident of the State where dis- (A) Is a foreign law enforcement offi- tribution is made and in which the cer of a friendly foreign government, as premises of the transferor are located. determined by the Attorney General in (b) A licensee shall not distribute any consultation with the Secretary of explosive materials to any person: State, entering the United States on (1) Who the licensee knows is less official law enforcement business, and than 21 years of age; the shipping, transporting, possession, (2) In any State where the purchase, or receipt of explosive materials is in possession, or use by a person of explo- furtherance of this official law enforce- sive materials would be in violation of ment business; any State law or any published ordi- (B) Is a person having the power to nance applicable at the place of dis- direct or cause the direction of the tribution; management and policies of a corpora- (3) Who the licensee has reason to be- tion, partnership, or association li- lieve intends to transport the explosive censed pursuant to section 843(a), and materials into a State where the pur- the shipping, transporting, possession, chase, possession, or use of explosive or receipt of explosive materials is in materials is prohibited or which does furtherance of such power; not permit its residents to transport or (C) Is a member of a North Atlantic ship explosive materials into the State Treaty Organization (NATO) or other or to receive explosive materials in the friendly foreign military force, as de- State; or termined by the Attorney General in (4) Who the licensee has reasonable consultation with the Secretary of De- cause to believe intends to use the ex- fense, (whether or not admitted in a plosive materials for other than a law- nonimmigrant status) who is present in ful purpose. the United States under military or- (c) A licensee shall not distribute any ders for training or other military pur- explosive materials to any person pose authorized by the United States,

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and the shipping, transporting, posses- of the executed ATF F 5400.3 will be in sion, or receipt of explosive materials accordance with the instructions on is in furtherance of the military pur- the form. pose; or (c) The provisions of this section are (D) Is lawfully present in the United in addition to, and are not in lieu of, States in cooperation with the Director any applicable requirement under 27 of Central Intelligence, and the ship- CFR Part 447. ment, transportation, receipt, or pos- (d) For additional requirements re- session of the explosive materials is in lating to the importation of plastic ex- furtherance of such cooperation; plosives into the United States on or (6) Has been discharged from the after April 24, 1997, see § 555.183. armed forces under dishonorable condi- (e) For requirements relating to the tions; or marking of imported explosive mate- (7) Having been a citizen of the rials, see § 555.109. United States, has renounced citizenship. [T.D. ATF–87, 46 FR 40384, Aug. 7, 1981, as amended by T.D. ATF–387, 62 FR 8376, Feb. (d) The provisions of this section do 25, 1997; ATF No. 1, 68 FR 13790, Mar. 20, 2003; not apply to the purchase of commer- ATF 5F, 70 FR 30633, May 27, 2005] cially manufactured black powder in quantities not to exceed 50 pounds, in- § 555.109 Identification of explosive tended to be used solely for sporting, materials. recreational, or cultural purposes in (a) General. Explosive materials, antique firearms or in antique devices, whether manufactured in the United if the requirements of § 555.105(a)(7) or States or imported, must contain cer- (b)(7) are fully met. tain marks of identification. [T.D. ATF–87, 46 FR 40384, Aug. 7, 1981. Re- (b) Required marks—(1) Licensed manu- designated by T.D. ATF–487, 68 FR 3748, Jan. facturers. Licensed manufacturers who 24, 2003. ATF No. 1, 68 FR 13790, Mar. 20, 2003] manufacture explosive materials for sale or distribution must place the fol- § 555.107 Record of transactions. lowing marks of identification on ex- Each licensee and permittee shall plosive materials at the time of manu- keep records of explosive materials as facture: required by subpart G of this part. (i) The name of the manufacturer; and § 555.108 Importation. (ii) The location, date, and shift of (a) Explosive materials imported or manufacture. Where a manufacturer brought into the United States by a li- operates his plant for only one shift censed importer or holder of a user per- during the day, he does not need to mit may be released from customs cus- show the shift of manufacture. tody to the licensed importer or holder (2) Licensed importers. (i) Licensed im- of a user permit upon proof of his sta- porters who import explosive materials tus as a licensed importer or holder of for sale or distribution must place the a user permit. Proof of status must be following marks of identification on made by the licensed importer or hold- the explosive materials they import: er of a user permit furnishing to the (A) The name and address (city and customs officer a certified copy of his state) of the importer; and license or permit (see § 555.103). (B) The location (city and country) (b) A nonlicensee or nonpermittee where the explosive materials were may import or bring into the United manufactured, date, and shift of manu- States commercially manufactured facture. Where the foreign manufac- black powder in quantities not to ex- turer operates his plant for only one ceed 50 pounds. Upon submitting to the shift during the day, he does not need customs officer completed ATF F to show the shift of manufacture. 5400.3, certifying that the black powder (ii) Licensed importers must place is intended to be used solely for sport- the required marks on all explosive ing, recreational, or cultural purposes materials imported prior to distribu- in antique firearms or in antique de- tion or shipment for use, and in no vices, black powder may be released event later than 15 days after the date from customs custody. The disposition of release from Customs custody.

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(c) General requirements. (1) The re- § 555.110 Furnishing of samples (Effec- quired marks prescribed in this section tive on and after January 24, 2003). must be permanent and legible. (a) In general. Licensed manufactur- (2) The required marks prescribed in ers and licensed importers and persons this section must be in the English lan- who manufacture or import explosive guage, using Roman letters and Arabic materials or ammonium nitrate must, numerals. when required by letter issued by the (3) Licensed manufacturers and li- Director, furnish— censed importers must place the re- (1) Samples of such explosive mate- quired marks on each cartridge, bag, or rials or ammonium nitrate; other immediate container of explosive (2) Information on chemical composi- materials that they manufacture or tion of those products; and import, as well as on any outside con- (3) Any other information that the tainer used for the packaging of such Director determines is relevant to the explosive materials. identification of the explosive mate- (4) Licensed manufacturers and li- rials or to identification of the ammo- censed importers may use any method, nium nitrate. or combination of methods, to affix the (b) Reimbursement. The Director will required marks to the immediate con- reimburse the fair market value of tainer of explosive materials, or out- samples furnished pursuant to para- side containers used for the packaging graph (a) of this section, as well as rea- thereof, provided the identifying marks sonable costs of shipment. are legible, permanent, show all the required information, and are not ren- (Approved by the Office of Management and dered unreadable by extended periods Budget under control number 1140–0073) of storage. [ATF No. 1, 68 FR 13790, Mar. 20, 2003] (5) If licensed manufacturers or licensed importers desire to use a coding Subpart G—Records and Reports system and omit printed markings on the container that show all the re- § 555.121 General. quired information specified in para- (a)(1) Licensees and permittees shall graphs (b)(1) and (2) of this section, keep records pertaining to explosive they must file with ATF a letterhead materials in permanent form (i.e., com- application displaying the coding that mercial invoices, record books) and in they plan to use and explaining the the manner required in this subpart. manner of its application. The Director (2) Licensees and permittees shall must approve the application before keep records required by this part on the proposed coding can be used. the business premises for five years (d) Exceptions—(1) Blasting caps. Li- from the date a transaction occurs or censed manufacturers or licensed im- until discontinuance of business or op- porters are only required to place the erations by the licensee or permittee. identification marks prescribed in this (See also § 555.128 for discontinuance of section on the containers used for the business or operations.) packaging of blasting caps. (b) ATF officers may enter the prem- (2) Alternate means of identification. ises of any licensee or holder of a user The Director may authorize other permit for the purpose of examining or means of identifying explosive mate- inspecting any record or document re- rials, including fireworks, upon receipt quired by or obtained under this part of a letter application from the li- (see § 555.24). Section 843(f) of the Act censed manufacturer or licensed im- requires licensees and holders of user porter showing that such other identi- permits to make all required records fication is reasonable and will not available for examination or inspection hinder the effective administration of at all reasonable times. Section 843(f) this part. of the Act also requires licensees and (Approved by the Office of Management and permittees (including holders of lim- Budget under control numbers 1140–0055 and ited permits) to submit all reports and 1140–0062) information relating to all required [ATF 5F, 70 FR 30633, May 27, 2005, as amend- records and their contents, as the regu- ed by ATF–11F, 73 FR 57242, Oct. 2, 2008] lations in this part prescribe.

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(c) Each licensee and permittee shall materials, enter the following informa- maintain all records of importation, tion in a separate record: production, shipment, receipt, sale, or (1) Date of importation or other ac- other disposition, whether temporary quisition. or permanent, of explosive materials as (2) Name or brand name of manufac- the regulations in this part prescribe. turer and country of manufacture. Sections 842(f) and 842(g) of the Act (3) Manufacturer’s marks of identi- make it unlawful for any licensee or fication. permittee knowingly to make any false (4) Quantity (applicable quantity entry in, or fail to make entry in, any units, such as pounds of explosives, record required to be kept under the number of detonators, number of dis- Act and the regulations in this part. play fireworks, etc.). (5) Description (dynamite (dyn), (Approved by the Office of Management and blasting agents (ba), detonators (det), Budget under control number 1140–0030) display fireworks (df), etc.) and size [T.D. ATF–87, 46 FR 40384, Aug. 7, 1981, as (length and diameter or diameter only amended by T.D. ATF–172, 49 FR 14941, Apr. of display fireworks). 16, 1984; ATF No. 1, 68 FR 13790, Mar. 20, 2003; (c) Each licensed importer shall, not ATF–11F, 73 FR 57242, Oct. 2, 2008] later than the close of the next busi- § 555.122 Records maintained by li- ness day following the date of distribu- censed importers. tion of any explosive materials to another licensee or a permittee, enter in (a) Each licensed importer shall take a separate record the following infor- true and accurate physical inventories mation: which will include all explosive mate- (1) Date of disposition. rials on hand required to be accounted (2) Name or brand name of manufac- for in the records kept under this part. turer and country of manufacture. The licensed importer shall take a spe- (3) Manufacturer’s marks of identi- cial inventory fication. (1) At the time of commencing busi- (4) Quantity (applicable quantity ness, which is the effective date of the units, such as pounds of explosives, license issued upon original qualifica- number of detonators, number of dis- tion under this part; play fireworks, etc.). (2) At the time of changing the loca- (5) Description (dynamite (dyn), tion of his business to another region; blasting agents (ba), detonators (det), (3) At the time of discontinuing busi- display fireworks (df), etc.) and size ness; and (length and diameter or diameter only (4) At any time the regional director of display fireworks). (compliance) may in writing require. (6) License or permit number of li- Each special inventory is to be pre- censee or permittee to whom the explo- pared in duplicate, the original of sive materials are distributed. which is submitted to the regional di- (d) The regional director (compli- rector (compliance), and the duplicate ance) may authorize alternate records retained by the licensed importer. If a to be maintained by a licensed im- special inventory specified by para- porter to record his distribution of ex- graphs (a) (1) through (4) of this section plosive materials when it is shown by has not been taken during the calendar the licensed importer that alternate year, at least one physical inventory records will accurately and readily dis- will be taken. However, the record of close the information required by para- the yearly inventory, other than a spe- graph (c) of this section. A licensed im- cial inventory required by paragraphs porter who proposes to use alternate (a) (1) through (4) of this section, will records shall submit a letter applica- remain on file for inspection instead of tion to the regional director (compli- being sent to the regional director ance) and shall describe the proposed (compliance). (See also § 555.127.) alternate records and the need for (b) Each licensed importer shall, not them. Alternate records are not to be later than the close of the next busi- employed by the licensed importer ness day following the date of importa- until approval is received from the re- tion or other acquisition of explosive gional director (compliance).

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(e) Each licensed importer shall (3) Quantity (applicable quantity maintain separate records of the sales units, such as pounds of explosives, or other distribution made of explosive number of detonators, number of dis- materials to nonlicensees or non- play fireworks, etc.). permittees. These records are main- (4) Name, brand name or description tained as prescribed by § 555.126. (dynamite (dyn), blasting agents (ba), (Approved by the Office of Management and detonators (det), display fireworks (df), Budget under control number 1140–0030) etc.) and size (length and diameter or diameter only of display fireworks). [T.D. ATF–87, 46 FR 40384, Aug. 7, 1981, as (c) Each licensed manufacturer shall, amended by T.D. ATF–172, 49 FR 14941, Apr. 16, 1984; T.D. ATF–293, 55 FR 3721, Feb. 5, not later than the close of the next 1990; T.D. ATF–400, 63 FR 45003, Aug. 24, 1998; business day following the date of dis- ATF–11F, 73 FR 57242, Oct. 2, 2008] tribution of any explosive materials to another licensee or a permittee, enter § 555.123 Records maintained by li- in a separate record the following in- censed manufacturers. formation: (a) Each licensed manufacturer shall (1) Date of disposition. take true and accurate physical inven- (2) Name or brand name of manufac- tories which will include all explosive turer or name of importer, as applica- materials on hand required to be ac- ble, if acquired other than by his own counted for in the records kept under manufacture. this part. The licensed manufacturer (3) Manufacturer’s marks of identi- shall take a special inventory fication. (1) At the time of commencing busi- (4) Quantity (applicable quantity ness, which is the effective date of the units, such as pounds of explosives, license issued upon original qualifica- number of detonators, number of dis- tion under this part; play fireworks, etc.). (2) At the time of changing the loca- (5) Description (dynamite (dyn), tion of his premises to another region; blasting agents (ba), detonators (det), (3) At the time of discontinuing busi- display fireworks (df), etc.) and size ness; and (length and diameter or diameter only (4) At any other time the regional di- of display fireworks). rector (compliance) may in writing re- (6) License or permit number of li- quire. Each special inventory is to be censee or permittee to whom the explo- prepared in duplicate, the original of sive materials are distributed. which is submitted to the regional di- (d) Each licensed manufacturer who rector (compliance), and the duplicate manufactures explosive materials for retained by the licensed manufacturer. his own use shall, not later than the If a special inventory required by para- close of the next business day following graphs (a) (1) through (4) of this section the date of use, enter in a separate has not been taken during the calendar record the following information: year, at least one physical inventory (1) Date of use. will be taken. However, the record of (2) Quantity (applicable quantity the yearly inventory, other than a spe- units, such as pounds of explosives, cial inventory required by paragraphs number of detonators, number of spe- (a) (1) through (4) of this section, will cial fireworks, etc.). remain on file for inspection instead of (3) Description (dynamite (dyn), being sent to the regional director blasting agents (ba), detonators (det), (compliance). (See also § 555.127.) display fireworks (df), etc.) and size (b) Each licensed manufacturer shall (length and diameter or diameter only not later than the close of the next of display fireworks). business day following the date of manufacture or other acquisition of explo- Exception: A licensed manufacturer is exempt sive materials, enter the following in- from the recordkeeping requirements of this formation in a separate record: subsection if the explosive materials are (1) Date of manufacture or other ac- manufactured for his own use and used within a 24 hour period at the same site. quisition. (2) Manufacturer’s marks of identi- (e) The regional director (compli- fication. ance) may authorize alternate records

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to be maintained by a licensed manu- will be taken. However, the record of facturer to record his distribution or the yearly inventory, other than a spe- use of explosive materials when it is cial inventory required by paragraphs shown by the licensed manufacturer (a) (1) through (4) of this section, will that alternate records will accurately remain on file for inspection instead of and readily disclose the information being sent to the regional director required by paragraph (c) of this sec- (compliance). (See also § 555.127.) tion. A licensed manufacturer who pro- (b) Each licensed dealer shall, not poses to use alternate records shall later than the close of the next busi- submit a letter application to the re- ness day following the date of purchase gional director (compliance) and shall or other acquisition of explosive mate- describe the proposed alternate records rials (except as provided in paragraph and the need for them. Alternate (d) of this section), enter the following records are not to be employed by the information in a separate record: licensed manufacturer until approval is (1) Date of acquisition. received from the regional director (2) Name or brand name of manufac- (compliance). turer and name of importer (if any). (f) Each licensed manufacturer shall (3) Manufacturer’s marks of identi- maintain separate records of the sales fication. or other distribution made of explosive (4) Quantity (applicable quantity materials to nonlicensees or non- units, such as pounds of explosives, permittees. These records are main- number of detonators, number of dis- tained as prescribed by § 555.126. play fireworks, etc.). (Approved by the Office of Management and (5) Description (dynamite (dyn), Budget under control number 1140–0030) blasting agents (ba), detonators (det), [T.D. ATF–87, 46 FR 40384, Aug. 7, 1981, as display fireworks (df), etc.) and size amended by T.D. ATF–172, 49 FR 14941, Apr. (length and diameter or diameter only 16, 1984; T.D. ATF–293, 55 FR 3721, Feb. 5, of display fireworks). 1990; T.D. ATF–400, 63 FR 45003, Aug. 24, 1998; (6) Name, address, and license or per- ATF–11F, 73 FR 57242, Oct. 2, 2008] mit number of the person from whom § 555.124 Records maintained by li- the explosive materials are received. censed dealers. (c) Each licensed dealer shall, not later than the close of the next busi- (a) Each licensed dealer shall take ness day following the date of use (if true and accurate physical inventories the explosives are used by the dealer) which will include all explosive mate- or the date of distribution of any explo- rials on hand required to be accounted sive materials to another licensee or a for in the records kept under this part. permittee (except as provided in para- The licensed dealer shall take a special graph (d) of this section), enter in a inventory separate record the following informa- (1) At the time of commencing busi- tion: ness, which is the effective date of the license issued upon original qualifica- (1) Date of disposition. tion under this part; (2) Name or brand name of manufac- (2) At the time of changing the loca- turer and name of importer (if any). tion of his premises to another region; (3) Manufacturer’s marks of identi- (3) At the time of discontinuing busi- fication. ness; and (4) Quantity (applicable quantity (4) At any other time the regional di- units, such as pounds of explosives, rector (compliance) may in writing re- number of detonators, number of dis- quire. Each special inventory is to be play fireworks, etc.). prepared in duplicate, the original of (5) Description (dynamite (dyn), which is submitted to the regional di- blasting agents (ba), detonators (det), rector (compliance), and the duplicate display fireworks (df), etc.) and size retained by the licensed dealer. If a (length and diameter or diameter only special inventory required by para- of display fireworks). graphs (a) (1) through (4) of this section (6) License or permit number of li- has not been taken during the calendar censee or permittee to whom the explo- year, at least one physical inventory sive materials are distributed.

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(d) When a commercial record is kept must take true and accurate physical by a licensed dealer showing the pur- inventories that will include all explo- chase or other acquisition information sive materials on hand required to be required for the permanent record pre- accounted for in the records kept under scribed by paragraph (b) of this section, this part. The permittee must take a or showing the distribution informa- special inventory— tion required for the permanent record (i) At the time of commencing busi- prescribed by paragraph (c) of this sec- ness, which is the effective date of the tion, the licensed dealer acquiring or permit issued upon original qualifica- distributing the explosive materials tion under this part; may, for a period not exceeding seven (ii) At the time of changing the loca- days following the date of acquisition tion of his premises to another region; of distribution of the explosive mate- (iii) At the time of discontinuing rials, delay making the required entry business; and into the permanent record of acquisi- (iv) At any other time the regional tion or distribution. However, until the director (compliance) may in writing required entry of acquisition or dis- require. Each special inventory is to be position is made in the permanent prepared in duplicate, the original of record, the commercial record must be which is submitted to the regional di- (1) kept by the licensed dealer separate rector (compliance) and the duplicate from other commercial documents retained by the permittee. If a special kept by the licensee, and (2) readily inventory required by paragraphs available for inspection on the licensed (a)(1)(i) through (iv) of this section has premises. not been taken during the calendar (e) The regional director (compli- year, a permittee is required to take at ance) may authorize alternate records least one physical inventory. However, to be maintained by a licensed dealer the record of the yearly inventory, to record his acquisition or disposition other than a special inventory required of explosive materials, when it is by paragraphs (a)(1)(i) through (iv) of shown by the licensed dealer that al- this section, will remain on file for in- ternate records will accurately and spection instead of being sent to the re- readily disclose the required informa- gional director (compliance). (See also tion. A licensed dealer who proposes to § 555.127.) use alternate records shall submit a (2) Each permittee must, not later letter application to the regional direc- than the close of the next business day tor (compliance) and shall describe the following the date of acquisition of ex- proposed alternate records and the plosive materials, enter the following need for them. Alternate records are information in a separate record: not to be employed by the licensed (i) Date of acquisition; dealer until approval is received from (ii) Name or brand name of manufac- the regional director (compliance). turer; (f) Each licensed dealer shall main- (iii) Manufacturer’s marks of identi- tain separate records of the sales or fication; other distribution made of explosive (iv) Quantity (applicable quantity materials to nonlicensees or non- units, such as pounds of explosives, permittees. These records are main- number of detonators, number of dis- tained as prescribed by § 555.126. play fireworks, etc.); (Approved by the Office of Management and (v) Description (dynamite (dyn), Budget under control number 1140–0030) blasting agents (ba), detonators (det), display fireworks (df), etc., and size [T.D. ATF–87, 46 FR 40384, Aug. 7, 1981, as amended by T.D. ATF–172, 49 FR 14941, Apr. (length and diameter or diameter only 16, 1984; T.D. ATF–293, 55 FR 3721, Feb. 5, of display fireworks)); and 1990; T.D. ATF–400, 63 FR 45003, Aug. 24, 1998; (vi) Name, address, and license num- ATF–11F, 73 FR 57242, Oct. 2, 2008] ber of the persons from whom the explosive materials are received. § 555.125 Records maintained by per- (3) Each permittee must, not later mittees. than the close of the next business day (a) Records maintained by permittees following the date of disposition of sur- prior to May 24, 2003. (1) Each permittee plus explosive materials to another

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permittee or a licensee, enter in a sepa- gional director (compliance). (See also rate record the information prescribed § 555.127.) in § 555.124(c). (2) Each holder of a limited permit (4) Each permittee must maintain must take true and accurate physical separate records of disposition of sur- inventories, at least annually, that will plus stocks of explosive materials to include all explosive materials on hand nonlicensees or nonpermittees as pre- required to be accounted for in the scribed in § 555.126. records kept under this part. (5) The regional director (compli- (3) Each holder of a user permit or a ance) may authorize alternate records limited permit must, not later than the to be maintained by a permittee to close of the next business day following record his acquisition of explosive ma- the date of acquisition of explosive materials, when it is shown by the per- terials, enter the following information mittee that alternate records will ac- in a separate record: curately and readily disclose the re- (i) Date of acquisition; quired information. A permittee who (ii) Name or brand name of manufac- proposes to use alternate records must turer; submit a letter application to the re- (iii) Manufacturer’s marks of identi- gional director (compliance) and must fication; describe the proposed alternate records (iv) Quantity (applicable quantity and the need for them. Alternate units, such as pounds of explosives, records are not to be employed by the number of detonators, number of dis- permittee until approval is received play fireworks, etc.); from the regional director (compli- (v) Description (dynamite (dyn), ance). blasting agents (ba), detonators (det), (b) Records maintained by permittees on display fireworks (df), etc., and size and after May 24, 2003. (1) Each holder (length and diameter or diameter only of a user permit must take true and ac- of display fireworks)); and curate physical inventories that will (vi) Name, address, and license num- include all explosive materials on hand ber of the persons from whom the ex- required to be accounted for in the plosive materials are received. records kept under this part. The per- (4) Each holder of a user permit or a mittee must take a special inventory— limited permit must, not later than the (i) At the time of commencing busi- close of the next business day following ness, which is the effective date of the the date of disposition of surplus explo- permit issued upon original qualifica- sive materials to another permittee or tion under this part; a licensee, enter in a separate record (ii) At the time of changing the loca- the information prescribed in tion of his premises; § 555.124(c). (iii) At the time of discontinuing (5) When a record book is used as a business; and permittee’s permanent record the per- (iv) At any other time the regional mittee may delay entry of the required director (compliance) may in writing information for a period not to exceed require. Each special inventory is to be seven days if the commercial record prepared in duplicate, the original of contains all of the required informa- which is submitted to the regional dition prescribed by paragraphs (b)(3) and rector (compliance) and the duplicate (b)(4) of this section. However, the retained by the permittee. If a special commercial record may be used instead inventory required by paragraphs of a record book as a permanent record (b)(1)(i) through (iv) of this section has provided that the record contains all of not been taken during the calendar the required information prescribed by year, a permittee is required to take at paragraphs (b)(3) and (b)(4) of this sec- least one physical inventory. The tion. record of the yearly inventory, other (6) Each holder of a user permit or a than a special inventory required by limited permit must maintain separate paragraphs (b)(1)(i) through (iv) of this records of disposition of surplus stocks section, will remain on file for inspec- of explosive materials to holders of a tion instead of being sent to the re- limited permit as prescribed in § 555.126.

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(7) The regional director (compli- (4) Each ATF F 5400.4 is retained in ance) may authorize alternate records numerical (by transaction serial num- to be maintained by a holder of a user ber) order commencing with ‘‘1’’ and permit or a limited permit to record continuing in regular sequence. When his acquisition of explosive materials, the numbering of any series reaches when it is shown by the permittee that ‘‘1,000,000,’’ the licensee or permittee alternate records will accurately and may recommence the series. The re- readily disclose the required informa- commenced series is to be given an al- tion. A permittee who proposes to use phabetical prefix or suffix. Where there alternate records must submit a letter is a change in proprietorship, or in the application to the regional director individual, firm, corporate name or (compliance) and must describe the trade name, the series in use at the proposed alternate records and the time of the change may be continued. need for them. Alternate records are (5) The requirements of this section not to be employed by the permittee are in addition to any other record- until approval is received from the re- keeping requirement contained in this gional director (compliance). part. (6) A licensee or permittee may ob- (Approved by the Office of Management and tain, upon request, a supply of ATF F Budget under control number 1140–0030) 5400.4 from the Director. [ATF No. 1, 68 FR 13790, Mar. 20, 2003] (b) Limited Permittee Transaction Re- port for distribution of explosive materials § 555.126 Explosives transaction on and after May 24, 2003. (1) A licensee record for distribution of explosive or permittee may not distribute explo- materials prior to May 24, 2003 and sive materials to any person who is not Limited Permittee Transaction Re- a licensee or permittee. A licensee or port for distribution of explosive permittee may not distribute explosive materials on and after May 24, 2003. materials to a limited permittee unless (a) Explosives transaction record for the distributor records the transaction distribution of explosive materials prior to on ATF Form 5400.4, Limited Per- May 24, 2003. (1) A licensee or permittee mittee Transaction Report. shall not temporarily or permanently (2) Before distributing explosive ma- distribute explosive materials to any terials to a limited permittee, the li- person, other than another licensee or censee or permittee must obtain an ex- permittee, unless he records the trans- ecuted Form 5400.4 from the limited action on an explosives transaction permittee with an original unaltered record, ATF F 5400.4. and unexpired Intrastate Purchase of (2) Before the distribution of explo- Explosives Coupon (IPEC) affixed. Ex- sive materials to a nonlicensee or non- cept when delivery of explosive mate- permittee who is a resident of the rials is made by a common or contract State in which the licensee or per- carrier who is an agent of the limited mittee maintains his business prem- permittee, the licensee, permittee, or ises, or to a nonlicensee or nonper- an agent of the licensee or permittee, mittee who is not a resident of the must verify the identity of the of the State in which the licensee or per- holder of the limited permit by exam- mittee maintains his business premises ining an identification document (as and is acquiring explosive materials defined in § 555.11) and noting on the under § 555.105(a)(3), the licensee or per- Form 5400.4 the type of document pre- mittee distributing the explosive mate- sented. The licensee or permittee must rials shall obtain an executed ATF F complete the appropriate section on 5400.4 from the distributee which con- Form 5400.4 to indicate the type and tains all of the information required on quantity of explosive materials distrib- the form and by the regulations in this uted, the license or permit number of part. the seller, and the date of the trans- (3) Completed ATF F 5400.4 is to be action. The licensee or permittee must retained by the licensee or permittee sign and date the form and include any as part of his permanent records in ac- other information required by the in- cordance with paragraph (a)(4) of this structions on the form and the regula- section. tions in this part.

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(3) One copy of Form 5400.4 must be display segment or packaged display retained by the distributor as part of shall be provided to any ATF officer on his permanent records in accordance request. Any discrepancy which might with paragraph (b)(4) of this section indicate a theft or loss of explosive ma- and for the period specified in § 555.121. terials is to be reported in accordance The distributor must mail the other with § 555.30. copy of Form 5400.4 to the Bureau of Alcohol, Tobacco, Firearms and Explo- [T.D. ATF–293, 55 FR 3722, Feb. 5, 1990, as sives in accordance with the instruc- amended by T.D. ATF–400, 63 FR 45003, Aug. tions on the form. 24, 1998] (4) Each Form 5400.4 must be retained in chronological order by date of dis- § 555.128 Discontinuance of business. position, or in alphabetical order by Where an explosive materials busi- name of limited permittee. A licensee ness or operations is discontinued and may not, however, use both methods in succeeded by a new licensee or new per- a single recordkeeping system. Where mittee, the records prescribed by this there is a change in proprietorship by a subpart shall appropriately reflect such limited permittee, the forms may con- facts and shall be delivered to the suc- tinue to be filed together after such cessor. Where discontinuance of the change. business or operations is absolute, the (5) The requirements of this section records required by this subpart must are in addition to any other record- be delivered within 30 days following keeping requirement contained in this the business or operations discontinu- part. ance to any ATF office located in the (Approved by the Office of Management and region in which the business was lo- Budget under control number 1140–0078) cated, or to the ATF Out-of-Business [T.D. ATF–87, 46 FR 40384, Aug. 7, 1981, as Records Center, 244 Needy Road, Mar- amended by T.D. ATF–93, 46 FR 50787, Oct. tinsburg, West Virginia 25405. Where 15, 1981; T.D. ATF–172, 49 FR 14941, Apr. 16, State law or local ordinance requires 1984; T.D. ATF–446, 66 FR 16602, Mar. 27, 2001; ATF No. 1, 68 FR 13791, Mar. 20, 2003] the delivery of records to other responsible authority, the Chief, Firearms § 555.127 Daily summary of magazine and Explosives Licensing Center may transactions. arrange for the delivery of the records In taking the inventory required by required by this subpart to such au- §§ 555.122, 555.123, 555.124, and 555.125, a thority. (See also, § 555.61.) licensee or permittee shall enter the [T.D. ATF–290, 54 FR 53054, Dec. 27, 1989, as inventory in a record of daily summary amended by T.D. ATF–446a, 66 FR 19089, Apr. transactions to be kept at each maga- 13, 2001; ATF No. 1, 68 FR 13792, Mar. 20, 2003; zine of an approved storage facility; ATF–11F, 73 FR 57242, Oct. 2, 2008] however, these records may be kept at one central location on the business § 555.129 Exportation. premises if separate records of daily Exportation of explosive materials is transactions are kept for each maga- to be in accordance with the applicable zine. Not later than the close of the next business day, each licensee and provisions of section 38 of the Arms Ex- permittee shall record by manufactur- port Control Act (22 U.S.C. 2778) and er’s name or brand name, the total implementing regulations. However, a quantity received in and removed from licensed importer, licensed manufac- each magazine during the day, and the turer, or licensed dealer exporting ex- total remaining on hand at the end of plosive materials shall maintain the day. Quantity entries for display records showing the manufacture or ac- fireworks may be expressed as the quisition of explosive materials as re- number and size of individual display quired by this part and records showing fireworks in a finished state or as the the quantity, the manufacturer’s name number of packaged display segments or brand name of explosive materials, or packaged displays. Information as to the name and address of the foreign the number and size of display fire- consignee of the explosive materials, works contained in any one packaged and the date the explosive materials

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were exported. See § 555.180 for regula- or naval services or other agencies of tions concerning the exportation of the United States. plastic explosives. (6) Arsenals, navy yards, depots, or [T.D. ATF–87, 46 FR 40384, Aug. 7, 1981, as other establishments owned by, or op- amended by T.D. ATF–387, 62 FR 8377, Feb. erated by or on behalf of, the United 25, 1997] States. (7) The importation, distribution, and § 555.130 [Reserved] storage of fireworks classified as UN0336, UN0337, UN0431, or UN0432 ex- Subpart H—Exemptions plosives by the U.S. Department of Transportation at 49 CFR 172.101 and § 555.141 Exemptions. generally known as ‘‘consumer fire- (a) General. Except for the provisions works’’ or ‘‘articles pyrotechnic.’’ of §§ 555.180 and 555.181, this part does (8) Gasoline, fertilizers, propellant not apply to: actuated devices, or propellant actu- (1) Any aspect of the transportation ated industrial tools manufactured, im- of explosive materials via railroad, ported, or distributed for their in- water, highway, or air which is regu- tended purposes. lated by the U.S. Department of Trans- (9) Industrial and laboratory chemi- portation and its agencies, and which cals which are intended for use as re- pertains to safety. For example, regu- agents and which are packaged and lations issued by the Department of shipped pursuant to U.S. Department Transportation addressing the security of Transportation regulations, 49 CFR risk of aliens transporting explosives Parts 100 to 177, which do not require by commercial motor or railroad car- explosives hazard warning labels. rier from Canada preclude the enforce- (10) Model rocket motors that meet ment of 18 U.S.C. 842(i)(5) against per- all of the following criteria— sons shipping, transporting, receiving, (i) Consist of ammonium perchlorate or possessing explosives incident to and composite propellant, black powder, or in connection with the commercial other similar low explosives; transportation of explosives by truck (ii) Contain no more than 62.5 grams or rail from Canada into the United of total propellant weight; and States. Questions concerning this ex- (iii) Are designed as single-use mo- ception should be directed to ATF’s tors or as reload kits capable of reload- Public Safety Branch in Washington, ing no more than 62.5 grams of propel- DC. lant into a reusable motor casing. (2) The use of explosive materials in (b) Black powder. Except for the pro- medicines and medicinal agents in the visions applicable to persons required forms prescribed by the official United to be licensed under subpart D, this States Pharmacopeia or the National part does not apply with respect to Formulary. ‘‘The United States Phar- commercially manufactured black macopeia and The National For- powder in quantities not to exceed 50 mulary,’’ USP and NF Compendia, are pounds, percussion caps, safety and py- available from the United States rotechnic fuses, quills, quick and slow Pharmacopeial Convention, Inc., 12601 matches, and friction primers, if the Twinbrook Parkway, Rockville, Mary- black powder is intended to be used land 20852. solely for sporting, recreational, or cul- (3) The transportation, shipment, re- tural purposes in antique firearms, as ceipt, or importation of explosive ma- defined in 18 U.S.C. 921(a)(16) or antique terials for delivery to any agency of devices, as exempted from the term the United States or to any State or its ‘‘destructive devices’’ in 18 U.S.C. political subdivision. 921(a)(4). (4) Small arms ammunition and components of small arms ammunition. [T.D. ATF–87, 46 FR 40384, Aug. 7, 1981 as (5) The manufacture under the regu- amended by T.D. ATF–87, 46 FR 46916, Sept. 23, 1981; T.D. ATF–293, 55 FR 3722, Feb. 5, lation of the military department of 1990; T.D. ATF–387, 62 FR 8377, Feb. 25, 1997; the United States of explosive mate- T.D. ATF–400, 63 FR 45003, Aug. 24, 1998; ATF rials for, or their distribution to or No. 1, 68 FR 13792, Mar. 20, 2003; ATF 6F, 71 storage or possession by, the military FR 46101, Aug. 11, 2006]

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§ 555.142 Relief from disabilities (effec- receiving or possessing explosive mate- tive January 24, 2003). rials. (a) Any person prohibited from ship- (3)(i) The Director may grant relief ping or transporting any explosive in to aliens who have been lawfully ad- or affecting interstate or foreign committed to the United States or to per- merce or from receiving or possessing sons who have not been discharged any explosive which has been shipped from parole or probation for a period of or transported in or affecting inter- at least 2 years if he determines that state or foreign commerce may make the applicant has a compelling need to application for relief from disabilities possess explosives, such as for purposes under section 845(b) of the Act . of employment. (b) An application for relief from dis- (ii) The Director may grant relief to abilities must be filed with the Direc- the persons identified in paragraph tor by submitting ATF Form 5400.29, (c)(2) of this section in extraordinary Application for Restoration of Explo- circumstances where the granting of sives Privileges, in accordance with the such relief is consistent with the public instructions on the form. The applica- interest. tion must be supported by appropriate (d) A person who has been granted re- data, including the information speci- lief under this section is relieved of all fied in paragraph (f) of this section. disabilities imposed by the Act for the Upon receipt of an incomplete or im- disabilities disclosed in the applica- properly executed application for re- tion. The granting of relief will not af- lief, the applicant will be notified of fect any disabilities incurred subse- the deficiency in the application. If the quent to the date the application was application is not corrected and re- filed. Relief from disabilities granted turned within 30 days following the to aliens will be effective only so long date of notification, the application as the alien retains his or her lawful will be considered abandoned. immigration status. (c)(1) The Director may grant relief (e)(1) A licensee or permittee who is to an applicant if it is established to under indictment or information for, or the satisfaction of the Director that convicted of, a crime punishable by im- the circumstances regarding the dis- prisonment for a term exceeding one ability and the applicant’s record and year during the term of a current li- reputation are such that the applicant cense or permit, or while he has pend- will not be likely to act in a manner ing a license or permit renewal applica- dangerous to public safety and that the tion, shall not be barred from licensed granting of such relief is not contrary or permit operations for 30 days after to the public interest. the date of indictment or information (2) Except as provided in paragraph or 30 days after the date upon which his (c)(3) of this section, the Director will conviction becomes final. Also, if he not grant relief if the applicant— files his application for relief under (i) Has not been discharged from pa- this section within such 30 day period, role or probation for a period of at he may further continue licensed or least 2 years; permit operations while his application (ii) Is a fugitive from justice; is pending. A licensee or permittee who (iii) Is a prohibited alien; does not file an application within 30 (iv) Is an unlawful user of or addicted days from the date of his indictment or to any controlled substance; information, or within 30 days from the (v) Has been adjudicated a mental de- date his conviction becomes final, shall fective or committed to a mental insti- not continue licensed or permit oper- tution, unless the applicant was subse- ations beyond 30 days from the date of quently determined by a court, board, his indictment or information or be- commission, or other lawful authority yond 30 days from the date his convic- to have been restored to mental com- tion becomes final. petency, to be no longer suffering from (2) In the event the term of a license a mental disorder, and to have had all or permit of a person expires during rights restored; or the 30 day period following the date of (vi) Is prohibited by the law of the indictment of information of during State where the applicant resides from the 30 day period after the date upon

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which his conviction becomes final or able by imprisonment for a term ex- while his application for relief is pend- ceeding one year, a copy of the indict- ing, he shall file a timely application ment or information on which the ap- for renewal of his license or permit in plicant was convicted, the judgment of order to continue licensed or permit conviction or record of any plea of nolo operations. The license or permit appli- contendere or plea of guilty or finding cation is to show that the applicant of guilt by the court; has been indicted or under information (v) In the case of an applicant under for, or convicted of, a crime punishable indictment, a copy of the indictment or by imprisonment for a term exceeding information; one year. (vi) In the case of an applicant who (3) A licensee or permittee shall not has been adjudicated a mental defec- continue licensed or permit operations tive or committed to a mental institu- beyond 30 days following the date the tion, a copy of the order of a court, Director issues notification that the li- board, commission, or other lawful au- censee’s or permittee’s application for thority that made the adjudication or removal of the disabilities resulting ordered the commitment, any petition from an indictment, information or that sought to have the applicant so conviction has been denied. adjudicated or committed, any medical (4) When a licensee or permittee may records reflecting the reasons for com- no longer continue licensed or permit mitment and diagnoses of the appli- operations under this section, any ap- cant, and any court order or finding of plication for renewal of license of per- a court, board, commission, or other mit filed by the licensee or permittee lawful authority showing the appli- while his application for removal of cant’s discharge from commitment, disabilities resulting from an indict- restoration of mental competency and ment, information or conviction is the restoration of rights; pending, will be denied by the regional (vii) In the case of an applicant who director (compliance). has been discharged from the Armed (f)(1) Applications for relief from dis- Forces under dishonorable conditions, abilities must include the following in- a copy of the applicant’s Certificate of formation: Release or Discharge from Active Duty (i) In the case of a corporation, or of (Department of Defense Form 214), any person having the power to direct Charge Sheet (Department of Defense or control the management of the cor- Form 458), and final court martial poration, information as to the absence order; of culpability in the offense for which (viii) In the case of an applicant who, the corporation, or any such person, having been a citizen of the United was indicted, formally accused or con- States, has renounced his or her citi- victed; zenship, a copy of the formal renunci- (ii) In the case of an applicant who is ation of nationality before a diplo- an individual, two properly completed matic or consular officer of the United FBI Forms FD–258 (fingerprint card), States in a foreign state or before an and a written statement from each of officer designated by the Attorney three references who are not related to General when the United States was in the applicant by blood or marriage and a state of war (see 8 U.S.C. 1481(a)(5) have known the applicant for at least 3 and (6)); and years, recommending the granting of (ix) In the case of an applicant who is relief; an alien, documentation that the appli- (iii) Written consent to examine and cant is an alien who has been lawfully obtain copies of records and to receive admitted to the United States; certifi- statements and information regarding cation from the applicant including the the applicant’s background, including applicant’s INS-issued alien number or records, statements and other informa- admission number, country/countries tion concerning employment, medical of citizenship, and immigration status, history, military service, immigration and certifying that the applicant is le- status, and criminal record; gally authorized to work in the United (iv) In the case of an applicant hav- States, or other purposes for which ing been convicted of a crime punish- possession of explosives is required;

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certification from an appropriate law who knowingly makes any false entry enforcement agency of the applicant’s in any record required to be kept under country of citizenship stating that the subpart G of this part, shall be fined applicant does not have a criminal not more than $10,000 or imprisoned not record; and, if applicable, certification more than 10 years, or both. from a Federal explosives licensee or [T.D. ATF–87, 46 FR 40384, Aug. 7, 1981, as permittee or other employer stating amended by T.D. ATF–400, 63 FR 45003, Aug. that the applicant is employed by the 24, 1998] employer and must possess explosive materials for purposes of employment. § 555.164 Unlawful storage. These certifications must be submitted Any person who stores any explosive in English. material in a manner not in con- (2) Any record or document of a court formity with this part, shall be fined or other government entity or official not more than $1,000 or imprisoned not required by paragraph (f)(1) of this sec- more than one year, or both. tion must be certified by the court or other government entity or official as § 555.165 Failure to report theft or a true copy. loss. (Approved by the Office of Management and (a) Any person who has knowledge of Budget under control number 1140–0076) the theft or loss of any explosive mate- [T.D. ATF–87, 46 FR 40384, Aug. 7, 1981. Re- rials from his stock and fails to report designated by T.D. ATF–487, 68 FR 3748, Jan. the theft or loss within 24 hours of dis- 24, 2003. ATF No. 1, 68 FR 13792, Mar. 20, 2003] covery in accordance with § 555.30, shall be fined not more than $1,000 or impris- Subpart I—Unlawful Acts, oned not more than one year, or both. Penalties, Seizures and Forfeitures (b) On and after January 24, 2003, any licensee or permittee who fails to re- § 555.161 Engaging in business without port a theft of explosive materials in a license. accordance with § 555.30 will be fined under title 18 U.S.C., imprisoned not Any person engaging in the business more than 5 years, or both. of importing, manufacturing, or dealing in explosive materials without a li- [T.D. ATF–87, 46 FR 40384, Aug. 7, 1981, as cense issued under the Act, shall be amended by ATF No. 1, 68 FR 13793, Mar. 20, fined not more than $10,000 or impris- 2003] oned not more than 10 years, or both. § 555.166 Seizure or forfeiture. § 555.162 False statement or represen- Any explosive materials involved or tation. used or intended to be used in any vio- Any person who knowingly withholds lation of the Act or of this part or in information or makes any false or fic- any violation of any criminal law of titious oral or written statement or the United States are subject to seizure furnishes or exhibits any false, ficti- and forfeiture, and all provisions of tious, or misrepresented identification, title 26, U.S.C. relating to the seizure, intended or likely to deceive for the forfeiture, and disposition of firearms, purpose of obtaining explosive mate- as defined in 26 U.S.C. 5845(a), will, so rials, or a license, permit, exemption, far as applicable, extend to seizures or relief from disability under the Act, and forfeitures under the Act. (See shall be fined not more than $10,000 or § 72.27 of this title for regulations on imprisoned not more than 10 years, or summary destruction of explosive ma- both. terials which are impracticable or un- safe to remove to a place of storage.) § 555.163 False entry in record. [T.D. ATF–87, 46 FR 40384, Aug. 7, 1981, as Any licensed importer, licensed man- amended by T.D. ATF–363, 60 FR 17449, Apr. ufacturer, licensed dealer, or permittee 6, 1995]

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Subpart J—Marking of Plastic (1) Convention on the Marking of Plas- Explosives tic Explosives means the Convention on the Marking of Plastic Explosives for § 555.180 Prohibitions relating to un- the Purposes of Detection, Done at marked plastic explosives. Montreal on 1 March 1991. (a) No person shall manufacture any (2) ‘‘Date of entry into force’’ of the plastic explosive that does not contain Convention on the Marking of Plastic a detection agent. Explosives means that date on which (b) No person shall import or bring the Convention enters into force with into the United States, or export from respect to the U.S. in accordance with the United States, any plastic explo- the provisions of Article XIII of the sive that does not contain a detection Convention on the Marking of Plastic agent. This paragraph does not apply Explosives. The Convention entered to the importation or bringing into the into force on June 21, 1998. United States, or the exportation from (3) Detection agent means any one of the United States, of any plastic explo- the substances specified in this para- sive that was imported or brought into, graph when introduced into a plastic or manufactured in the United States explosive or formulated in such explo- prior to April 24, 1996, by or on behalf sive as a part of the manufacturing of any agency of the United States per- process in such a manner as to achieve forming military or police functions homogeneous distribution in the fin- (including any military reserve compo- ished explosive, including— nent) or by or on behalf of the National (i) Ethylene glycol dinitrate (EGDN), Guard of any State, not later than 15 C2H4(NO3)2, molecular weight 152, when years after the date of entry into force the minimum concentration in the fin- of the Convention on the Marking of ished explosive is 0.2 percent by mass; Plastic Explosives with respect to the (ii) 2,3-Dimethyl-2,3-dinitrobutane United States, i.e., not later than June (DMNB), C H (NO ) , molecular weight 21, 2013. 6 12 2 2 176, when the minimum concentration (c) No person shall ship, transport, transfer, receive, or possess any plastic in the finished explosive is 0.1 percent explosive that does not contain a de- by mass; tection agent. This paragraph does not (iii) Para-Mononitrotoluene (p-MNT), apply to: C7H7NO2, molecular weight 137, when (1) The shipment, transportation, the minimum concentration in the fin- transfer, receipt, or possession of any ished explosive is 0.5 percent by mass; plastic explosive that was imported or (iv) Ortho-Mononitrotoluene (o- brought into, or manufactured in the MNT), C7H7NO2, molecular weight 137, United States prior to April 24, 1996, by when the minimum concentration in any person during the period beginning the finished explosive is 0.5 percent by on that date and ending on April 24, mass; and 1999; or (v) Any other substance in the con- (2) The shipment, transportation, centration specified by the Director, transfer, receipt, or possession of any after consultation with the Secretary plastic explosive that was imported or of State and Secretary of Defense, that brought into, or manufactured in the has been added to the table in Part 2 of United States prior to April 24, 1996, by the Technical Annex to the Convention or on behalf of any agency of the on the Marking of Plastic Explosives. United States performing a military or (4) Plastic explosive means an explo- police function (including any military sive material in flexible or elastic reserve component) or by or on behalf sheet form formulated with one or of the National Guard of any State, not more high explosives which in their later than 15 years after the date of pure form has a vapor pressure less entry into force of the Convention on than 10¥4 Pa at a temperature of 25 °C, the Marking of Plastic Explosives with is formulated with a binder material, respect to the United States, i.e., not and is as a mixture malleable or flexi- later than June 21, 2013. ble at normal room temperature. High (d) When used in this subpart, terms explosives, as defined in § 555.202(a), are are defined as follows: explosive materials which can be

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caused to detonate by means of a blast- serve component) or the National ing cap when unconfined. Guard of any State, wherever such de- [T.D. ATF–387, 62 FR 8376, Feb. 25, 1997, as vice is located. For purposes of this amended by T.D. ATF–419, 64 FR 55628, Oct. paragraph, the term ‘‘military device’’ 14, 1999] includes, but is not restricted to, shells, bombs, projectiles, mines, mis- § 555.181 Reporting of plastic explo- siles, rockets, shaped charges, gre- sives. nades, perforators, and similar devices All persons, other than an agency of lawfully manufactured exclusively for the United States (including any mili- military or police purposes. tary reserve component) or the Na- tional Guard of any State, possessing [T.D. ATF–387, 62 FR 8377, Feb. 25, 1997] any plastic explosive on April 24, 1996, shall submit a report to the Director § 555.183 Importation of plastic explo- no later than August 22, 1996. The re- sives on or after April 24, 1997. port shall be in writing and mailed by Persons filing Form 6 applications certified mail (return receipt re- for the importation of plastic explo- quested) to the Director at P.O. Box sives on or after April 24, 1997, shall at- 50204, Washington, DC 20091–0204. The tach to the application the following report shall include the quantity of written statement, prepared in trip- plastic explosives possessed on April 24, licate, executed under the penalties of 1996; any marks of identification on perjury: such explosives; the name and address of the manufacturer or importer; the (a) ‘‘I declare under the penalties of storage location of such explosives, in- perjury that the plastic explosive to be cluding the city and State; and the imported contains a detection agent as name and address of the person pos- required by 27 CFR 555.180(b)’’; or sessing the plastic explosives. (b) ‘‘I declare under the penalties of perjury that the plastic explosive to be [T.D. ATF–382, 61 FR 38085, July 23, 1996, as amended by T.D. ATF–387, 62 FR 8377, Feb. imported is a ‘‘small amount’’ to be 25, 1997; ATF–11F, 73 FR 57242, Oct. 2, 2008] used for research, training, or testing purposes and is exempt from the detec- § 555.182 Exceptions. tion agent requirement pursuant to 27 It is an affirmative defense against CFR 555.182.’’ any proceeding involving §§ 555.180 and [T.D. ATF–387, 62 FR 8377, Feb. 25, 1997] 555.181 if the proponent proves by a pre- ponderance of the evidence that the § 555.184 Statements of process and plastic explosive— samples. (a) Consisted of a small amount of plastic explosive intended for and uti- (a) A complete and accurate state- lized solely in lawful— ment of process with regard to any (1) Research, development, or testing plastic explosive or to any detection of new or modified explosive materials; agent that is to be introduced into a (2) Training in explosives detection plastic explosive or formulated in such or development or testing of explosives plastic explosive shall be submitted by detection equipment; or a licensed manufacturer or licensed im- (3) Forensic science purposes; or porter, upon request, to the Director. (b) Was plastic explosive that, by (b) Samples of any plastic explosive April 24, 1999, will be or is incorporated or detection agent shall be submitted in a military device within the terri- by a licensed manufacturer or licensed tory of the United States and remains importer, upon request, to the Direc- an integral part of such military de- tor. vice, or is intended to be, or is incorporated in, and remains an integral (Paragraph (a) approved by the Office of part of a military device that is in- Management and Budget under control num- tended to become, or has become, the ber 1140–0042) property of any agency of the United [T.D. ATF–387, 62 FR 8378, Feb. 25, 1997, as States performing military or police amended by ATF–11F, 73 FR 57242, Oct. 2, functions (including any military re- 2008]

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§ 555.185 Criminal sanctions. the applicant has been notified that the application has been approved. Any person who violates the provisions of 18 U.S.C. 842(l)–(o) shall be (c) A licensee or permittee who in- fined under title 18, U.S.C., imprisoned tends to make changes in his maga- for not more than 10 years, or both. zines, or who intends to construct or acquire additional magazines, shall [T.D. ATF–387, 62 FR 8378, Feb. 25, 1997] comply with § 555.63. (d) The regulations set forth in § 555.186 Seizure or forfeiture. §§ 555.221 through 555.224 pertain to the Any plastic explosive that does not storage of display fireworks, pyro- contain a detection agent in violation technic compositions, and explosive of 18 U.S.C. 842(l)–(n) is subject to sei- materials used in assembling fireworks zure and forfeiture, and all provisions and articles pyrotechnic. of 19 U.S.C. 1595a, relating to seizure, (e) The provisions of § 555.202(a) forfeiture, and disposition of merchan- classifying flash powder and bulk sa- dise introduced or attempted to be in- lutes as high explosives are mandatory troduced into the U.S. contrary to law, after March 7, 1990: Provided, that those shall extend to seizures and forfeitures persons who hold licenses or permits under this subpart. See § 72.27 of this under this part on that date shall, with chapter for regulations on summary respect to the premises covered by such destruction of plastic explosives that licenses or permits, comply with the do not contain a detection agent. high explosives storage requirements [T.D. ATF–387, 62 FR 8378, Feb. 25, 1997] for flash powder and bulk salutes by March 7, 1991. Subpart K—Storage (f) Any person who stores explosive materials shall notify the authority § 555.201 General. having jurisdiction for fire safety in the locality in which the explosive ma- (a) Section 842(j) of the Act and terials are being stored of the type, § 555.29 of this part require that the magazine capacity, and location of storage of explosive materials by any each site where such explosive mate- person must be in accordance with the rials are stored. Such notification shall regulations in this part. Further, sec- be made orally before the end of the tion 846 of this Act authorizes regula- day on which storage of the explosive tions to prevent the recurrence of acci- materials commenced and in writing dental explosions in which explosive within 48 hours from the time such materials were involved. The storage storage commenced. standards prescribed by this subpart confer no right or privileges to store (Paragraph (f) approved by the Office of Man- explosive materials in a manner con- agement and Budget under control number trary to State or local law. 1140–0071) (b) The Director may authorize alter- [T.D. ATF–87, 46 FR 40384, Aug. 7, 1981, as nate construction for explosives stor- amended by T.D. ATF–293, 55 FR 3722, Feb. 5, age magazines when it is shown that 1990; T.D. ATF–400, 63 FR 45003, Aug. 24, 1998; the alternate magazine construction is ATF–11F, 73 FR 57242, Oct. 2, 2008] substantially equivalent to the standards of safety and security contained in § 555.202 Classes of explosive mate- this subpart. Any alternate explosive rials. magazine construction approved by the For purposes of this part, there are Director prior to August 9, 1982, will three classes of explosive materials. continue as approved unless notified in These classes, together with the de- writing by the Director. Any person in- scription of explosive materials com- tending to use alternate magazine con- prising each class, are as follows: struction shall submit a letter applica- (a) High explosives. Explosive mate- tion to the regional director (compli- rials which can be caused to detonate ance) for transmittal to the Director, by means of a blasting cap when specifically describing the proposed unconfined, (for example, dynamite, magazine. Explosive materials may not flash powders, and bulk salutes). See be stored in alternate magazines before also § 555.201(e).

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(b) Low explosives. Explosive mate- § 555.204 Inspection of magazines. rials which can be caused to deflagrate Any person storing explosive mate- when confined (for example, black pow- rials shall inspect his magazines at der, safety fuses, igniters, igniter least every seven days. This inspection cords, fuse lighters, and ‘‘display fire- need not be an inventory, but must be works’’ classified as UN0333, UN0334, or sufficient to determine whether there UN0335 by the U.S. Department of Transportation regulations at 49 CFR has been unauthorized entry or at- 172.101, except for bulk salutes). tempted entry into the magazines, or (c) Blasting agents. (For example, am- unauthorized removal of the contents monium nitrate-fuel oil and certain of the magazines. water-gels (see also § 555.11). § 555.205 Movement of explosive mate- [T.D. ATF–87, 46 FR 40384, Aug. 7, 1981, as rials. amended by T.D. ATF–293, 55 FR 3722, Feb. 5, All explosive materials must be kept 1990; T.D. ATF–400, 63 FR 45003, Aug. 24, 1998] in locked magazines meeting the § 555.203 Types of magazines. standards in this subpart unless they are: For purposes of this part, there are (a) In the process of manufacture; five types of magazines. These types, (b) Being physically handled in the together with the classes of explosive operating process of a licensee or user; materials, as defined in § 555.202, which will be stored in them, are as follows: (c) Being used; or (a) Type 1 magazines. Permanent mag- (d) Being transported to a place of azines for the storage of high explo- storage or use by a licensee or per- sives, subject to the limitations pre- mittee or by a person who has lawfully scribed by §§ 555.206 and 555.213. Other acquired explosive materials under classes of explosive materials may also § 555.106. be stored in type 1 magazines. § 555.206 Location of magazines. (b) Type 2 magazines. Mobile and portable indoor and outdoor magazines for (a) Outdoor magazines in which high the storage of high explosives, subject explosives are stored must be located to the limitations prescribed by no closer to inhabited buildings, pas- §§ 555.206, 555.208(b), and 555.213. Other senger railways, public highways, or classes of explosive materials may also other magazines in which high explo- be stored in type 2 magazines. sives are stored, than the minimum (c) Type 3 magazines. Portable out- distances specified in the table of dis- door magazines for the temporary stor- tances for storage of explosive mate- age of high explosives while attended rials in § 555.218. (for example, a ‘‘day-box’’), subject to (b) Outdoor magazines in which low the limitations prescribed by §§ 555.206 explosives are stored must be located and 555.213. Other classes of explosives no closer to inhibited buildings, pas- materials may also be stored in type 3 senger railways, public highways, or magazines. other magazines in which explosive (d) Type 4 magazines. Magazines for materials are stored, than the min- the storage of low explosives, subject imum distances specified in the table to the limitations prescribed by of distances for storage of low explo- §§ 555.206(b), 555.210(b), and 555.213. sives in § 555.219, except that the table Blasting agents may be stored in type of distances in § 555.224 shall apply to 4 magazines, subject to the limitations the storage of display fireworks. The prescribed by §§ 555.206(c), 555.211(b), distances shown in § 555.219 may not be and 555.213. Detonators that will not reduced by the presence of barricades. mass detonate may also be stored in (c)(1) Outdoor magazines in which type 4 magazines, subject to the limita- blasting agents in quantities of more tions prescribed by §§ 555.206(a), than 50 pounds are stored must be lo- 555.210(b), and 555.213. cated no closer to inhabited buildings, (e) Type 5 magazines. Magazines for passenger railways, or public highways the storage of blasting agents, subject than the minimum distances specified to the limitations prescribed by in the table of distances for storage of §§ 555.206(c), 555.211(b), and 555.213. explosive materials in § 555.218.

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(2) Ammonium nitrate and magazines walls. Interior walls are to be con- in which blasting agents are stored structed of, or covered with, a non- must be located no closer to magazines sparking material. in which high explosives or other blast- (3) Wood frame wall construction. The ing agents are stored than the min- exterior of outer wood walls is to be imum distances specified in the table covered with iron or aluminum not less of distances for the separation of am- than number 26-gauge. An inner wall monium nitrate and blasting agents in of, or covered with nonsparking mate- § 555.220. However, the minimum dis- rial will be constructed so as to provide tances for magazines in which explo- a space of not less than six inches be- sives and blasting agents are stored tween the outer and inner walls. The from inhabited buildings, etc., may not space is to be filled with coarse, dry be less than the distances specified in sand or weak concrete. the table of distances for storage of ex- (4) Floors. Floors are to be con- plosives materials in § 555.218. structed of, or covered with, a non- [T.D. ATF–87, 46 FR 40384, Aug. 7, 1981, as sparking material and shall be strong amended by T.D. ATF–293, 55 FR 3722, Feb. 5, enough to bear the weight of the max- 1990; T.D. ATF–400, 63 FR 45003, Aug. 24, 1998] imum quantity to be stored. Use of pal- lets covered with a nonsparking mate- § 555.207 Construction of type 1 maga- rial is considered equivalent to a floor zines. constructed of or covered with a non- A type 1 magazine is a permanent sparking material. structure: a building, an igloo or (5) Foundations. Foundations are to ‘‘Army-type structure’’, a tunnel, or a be constructed of brick, concrete, ce- dugout. It is to be bullet-resistant, fire- ment block, stone, or wood posts. If resistant, weather-resistant, theft-re- piers or posts are used, in lieu of a con- sistant, and ventilated. tinuous foundation, the space under (a) Buildings. All building type maga- the buildings is to be enclosed with zines are to be constructed of masonry, metal. wood, metal, or a combination of these (6) Roof. Except for buildings with materials, and have no openings except fabricated metal roofs, the outer roof is for entrances and ventilation. The to be covered with no less than number ground around building magazines 26-guage iron or aluminum, fastened to must slope away for drainage or other at least 7⁄8 inch sheathing. adequate drainage provided. (7) Bullet-resistant ceilings or roofs. (1) Masonry wall construction. Ma- Where it is possible for a bullet to be sonry wall construction is to consist of fired directly through the roof and into brick, concrete, tile, cement block, or the magazine at such an angle that the cinder block and be not less than 6 bullet would strike the explosives with- inches in thickness. Hollow masonry in, the magazine is to be protected by units used in construction must have one of the following methods: all hollow spaces filled with well- (i) A sand tray lined with a layer of tamped, coarse, dry sand or weak con- building paper, plastic, or other non- crete (at least a mixture of one part ce- porous material, and filled with not ment and eight parts of sand with less than four inches of coarse, dry enough water to dampen the mixture sand, and located at the tops of inner while tamping in place). Interior walls walls covering the entire ceiling area, are to be constructed of, or covered except that portion necessary for ven- with, a nonsparking material. tilation. (2) Fabricated metal wall construction. (ii) A fabricated metal roof con- Metal wall construction is to consist of structed of 3⁄16-inch plate steel lined sectional sheets of steel or aluminum with four inches of hardwood. (For not less than number 14-gauge, se- each additional 1⁄16 inch of plate steel, curely fastened to a metal framework. the hardwood lining may be decreased Metal wall construction is either lined one inch.) inside with brick, solid cement blocks, (8) Doors. All doors are to be con- hardwood not less than four inches structed of not less than 1⁄4 inch plate thick, or will have at least a six inch steel and lined with at least two inches sand fill between interior and exterior of hardwood. Hinges and hasps are to

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be attached to the doors by welding, requirements of paragraph (a)(7) of this riveting or bolting (nuts on inside of section. Interior walls and floors must door). They are to be installed in such be constructed of, or covered with, a a manner that the hinges and hasps nonsparking material. Magazines of cannot be removed when the doors are this type are also to be constructed in closed and locked. conformity with the requirements of (9) Locks. Each door is to be equipped paragraph (a)(4) and paragraphs (a)(8) with (i) two mortise locks; (ii) two pad- through (11) of this section. lock fastened in separate hasps and staples; (iii) a combination of a mortise § 555.208 Construction of type 2 maga- lock and a padlock; (iv) a mortise lock zines. that requires two keys to open; or (v) a A type 2 magazine is a box, trailer, three-point lock. Padlocks must have semitrailer, or other mobile facility. at least five tumblers and a case- (a) Outdoor magazines—(1) General. hardened shackle of at least 3⁄8 inch di- Outdoor magazines are to be bullet-re- ameter. Padlocks must be protected sistant, fire-resistant, weather-resist- with not less than 1⁄4 inch steel hoods ant, theft-resistant, and ventilated. constructed so as to prevent sawing or They are to be supported to prevent di- lever action on the locks, hasps, and rect contact with the ground and, if staples. These requirements do not less than one cubic yard in size, must apply to magazine doors that are ade- be securely fastened to a fixed object. quately secured on the inside by means The ground around outdoor magazines of a bolt, lock, or bar that cannot be must slope away for drainage or other actuated from the outside. adequate drainage provided. When un- (10) Ventilation. Ventilation is to be attended, vehicular magazines must provided to prevent dampness and have wheels removed or otherwise ef- heating of stored explosive materials. fectively immobilized by kingpin lock- Ventilation openings must be screened ing devices or other methods approved to prevent the entrance of sparks. Ven- by the Director. tilation openings in side walls and (2) Exterior construction. The exterior foundations must be offset or shielded and doors are to be constructed of not for bullet-resistant purposes. Maga- less than 1⁄4-inch steel and lined with at zines having foundation and roof ven- least two inches of hardwood. Maga- tilators with the air circulating be- zines with top openings will have lids tween the side walls and the floors and with water-resistant seals or which between the side walls and the ceiling overlap the sides by at least one inch must have a wooden lattice lining or when in a closed position. equivalent to prevent the packages of (3) Hinges and hasps. Hinges and hasps explosive materials from being stacked are to be attached to doors by welding, against the side walls and blocking the riveting, or bolting (nuts on inside of air circulation. door). Hinges and hasps must be in- (11) Exposed metal. No sparking mate- stalled so that they cannot be removed rial is to be exposed to contact with when the doors are closed and locked. the stored explosive materials. All fer- (4) Locks. Each door is to be equipped rous metal nails in the floor and side with (i) two mortise locks; (ii) two pad- walls, which might be exposed to con- locks fastened in separate hasps and tact with explosive materials, must be staples; (iii) a combination of a mortise blind nailed, countersunk, or covered lock and a padlock; (iv) a mortise lock with a nonsparking lattice work or that requires two keys to open; or (v) a other nonsparking material. three-point lock. Padlocks must have (b) Igloos, ‘‘Army-type structures’’, tun- at least five tumblers and a case-hard- nels, and dugouts. Igloo, ‘‘Army-type ened shackle of at least 3⁄8-inch diame- structure’’, tunnel, and dugout maga- ter. Padlocks must be protected with zines are to be constructed of rein- not less than 1⁄4-inch steel hoods con- forced concrete, masonry, metal, or a structed so as to prevent sawing or combination of these materials. They lever action on the locks, hasps, and must have an earthmound covering of staples. These requirements do not not less than 24 inches on the top, sides apply to magazine doors that are ade- and rear unless the magazine meets the quately secured on the inside by means

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of a bolt, lock, or bar that cannot be lever action on the locks, hasps, and actuated from the outside. staples. Indoor magazines located in se- (b) Indoor magazines—(1) General. In- cure rooms that are locked as provided door magazines are to be fire-resistant in this subparagraph may have each and theft-resistant. They need not be door locked with one steel padlock bullet-resistant and weather-resistant (which need not be protected by a steel if the buildings in which they are hood) having at least five tumblers and stored provide protection from the a case-hardened shackle of at least 3⁄8- weather and from bullet penetration. inch diameter, if the door hinges and No indoor magazine is to be located in lock hasp are securely fastened to the a residence or dwelling. The indoor magazine. These requirements do not storage of high explosives must not ex- apply to magazine doors that are ade- ceed a quantity of 50 pounds. More quately secured on the inside by means than one indoor magazine may be lo- of a bolt, lock, or bar that cannot be cated in the same building if the total actuated from the outside. quantity of explosive materials stored (c) Detonator boxes. Magazines for does not exceed 50 pounds. Detonators detonators in quantities of 100 or less must be stored in a separate magazine are to have sides, bottoms and doors (except as provided in § 555.213) and the constructed of not less than number 12- total quantity of detonators must not gauge (.1046 inches) metal and lined exceed 5,000. with a nonsparking material. Hinges (2) Exterior construction. Indoor maga- and hasps must be attached so they zines are to be constructed of wood or cannot be removed from the outside. metal according to one of the following One steel padlock (which need not be specifications: protected by a steel hood) having at (i) Wood indoor magazines are to least five tumblers and a case-hardened have sides, bottoms and doors con- shackle of at least 3⁄8-inch diameter is structed of at least two inches of hard- sufficient for locking purposes. wood and are to be well braced at the corners. They are to be covered with § 555.209 Construction of type 3 maga- sheet metal of not less than number 26- zines. gauge (.0179 inches). Nails exposed to the interior of magazines must be A type 3 magazine is a ‘‘day-box’’ or countersunk. other portable magazine. It must be (ii) Metal indoor magazines are to fire-resistant, weather-resistant, and have sides, bottoms and doors con- theft-resistant. A type 3 magazine is to structed of not less than number 12- be constructed of not less than number gauge (.1046 inches) metal and be lined 12-gauge (.1046 inches) steel, lined with 1 1 inside with a nonsparking material. at least either ⁄2-inch plywood or ⁄2- Edges of metal covers must overlap inch Masonite-type hardboard. Doors sides at least one inch. must overlap sides by at least one inch. (3) Hinges and hasps. Hinges and hasps Hinges and hasps are to be attached by are to be attached to doors by welding, welding, riveting or bolting (nuts on riveting, or bolting (nuts on inside of inside). One steel padlock (which need door). Hinges and hasps must be in- not be protected by a steel hood) hav- stalled so that they cannot be removed ing at least five tumblers and a case- when the doors are closed and locked. hardened shackle of at least 3⁄8-inch di- (4) Locks. Each door is to be equipped ameter is sufficient for locking pur- with (i) two mortise locks; (ii) two pad- poses. Explosive materials are not to locks fastened in separate hasps and be left unattended in type 3 magazines staples; (iii) a combination of a mortise and must be removed to type 1 or 2 lock and a padlock; (iv) a mortise lock magazines for unattended storage. that requires two keys to open; or (v) a three-point lock. Padlocks must have § 555.210 Construction of type 4 maga- at least five tumblers and a case-hard- zines. ened shackle of at least 3⁄8-inch diame- A type 4 magazine is a building, igloo ter. Padlocks must be protected with or ‘‘Army-type structure’’, tunnel, dug- not less than 1⁄4-inch steel hoods con- out, box, trailer, or a semitrailer or structed so as to prevent sawing or other mobile magazine.

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(a) Outdoor magazines—(1) General. 50 pounds. More than one indoor maga- Outdoor magazines are to be fire-resist- zine may be located in the same build- ant, weather-resistant, and theft-re- ing if the total quantity of explosive sistant. The ground around outdoor materials stored does not exceed 50 magazines must slope away for drain- pounds. Detonators that will not mass age or other adequate drainage be pro- detonate must be stored in a separate vided. When unattended, vehicular magazine and the total number of elec- magazines must have wheels removed tric detonators must not exceed 5,000. or otherwise be effectively immobilized (2) Construction. Indoor magazines are by kingpin locking devices or other to be constructed of masonry, metal- methods approved by the Director. covered wood, fabricated metal, or a (2) Construction. Outdoor magazines combination of these materials. The are to be constructed of masonry, walls and floors are to be constructed metal-covered wood, fabricated metal, of, or covered with, a nonsparking ma- or a combination of these materials. terial. The doors must be metal or Foundations are to be constructed of solid wood covered with metal. brick, concrete, cement block, stone, (3) Hinges and hasps. Hinges and hasps or metal or wood posts. If piers or posts are to be attached to doors by welding, are used, in lieu of a continuous foun- riveting, or bolting (nuts on inside of dation, the space under the building is door). Hinges and hasps must be in- to be enclosed with fire-resistant mate- stalled so that they cannot be removed rial. The walls and floors are to be con- when the doors are closed and locked. structed of, or covered with, a non- (4) Locks. Each door is to be equipped sparking material or lattice work. The with (i) two mortise locks; (ii) two pad- doors must be metal or solid wood cov- locks fastened in separate hasps and ered with metal. staples; (iii) a combination of a mortise (3) Hinges and hasps. Hinges and hasps lock and padlock; (iv) a mortise lock are to be attached to doors by welding, that requires two keys to open; or (v) a riveting, or bolting (nuts on inside of three-point lock. Padlocks must have door). Hinges and hasps must be in- at least five tumblers and a case-hard- stalled so that they cannot be removed ened shackle of at least 3⁄8 inch diame- when the doors are closed and locked. ter. Padlocks must be protected with (4) Locks. Each door is to be equipped not less than 1⁄4 inch steel hoods con- with (i) two mortise locks; (ii) two pad- structed so as to prevent sawing or locks fastened in separate hasps and lever action on the locks, hasps, and staples; (iii) a combination of a mortise staples. Indoor magazines located in se- lock and a padlock; (iv) a mortise lock cure rooms that are locked as provided that requires two keys to open; or (v) a in this subparagraph may have each three-point lock. Padlocks must have door locked with one steel padlock at least five tumblers and case-hard- (which need not be protected by a steel ened shackle of at least 3⁄8 inch diame- hood) having at least five tumblers and ter. Padlocks must be protected with a case-hardened shackle of at least 3⁄8 not less than 1⁄4 inch steel hoods con- inch diameter, if the door hinges and structed so as to prevent sawing or lock hasp are securely fastened to the lever action on the locks, hasps, and magazine. These requirements do not staples. These requirements do not apply to magazine doors that are ade- apply to magazine doors that are adequately secured on the inside by means quately secured on the inside by means of a bolt, lock, or bar that cannot be of a bolt, lock, or bar that cannot be actuated from the outside. actuated from the outside. (b) Indoor magazine—(1) General. In- § 555.211 Construction of type 5 maga- door magazines are to be fire-resistant zines. and theft-resistant. They need not be A type 5 magazine is a building, igloo weather-resistant if the buildings in or ‘‘Army-type structure’’, tunnel, dug- which they are stored provide protec- out, bin, box, trailer, or a semitrailer tion from the weather. No indoor mag- or other mobile facility. azine is to be located in a residence or (a) Outdoor magazines—(1) General. dwelling. The indoor storage of low ex- Outdoor magazines are to be weather- plosives must not exceed a quantity of resistant and theft-resistant. The

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ground around magazines must slope (2) Construction. The doors are to be away for drainage or other adequate constructed of wood or metal. drainage be provided. When unat- (3) Hinges and hasps. Hinges and hasps tended, vehicular magazines must have are to be attached to doors by welding, wheels removed or otherwise be effec- riveting, or bolting (nuts on inside). tively immobilized by kingpin locking Hinges and hasps must be installed so devices or other methods approved by that they cannot be removed when the the Director. doors are closed and locked. (2) Construction. The doors are to be (4) Locks. Each door is to be equipped constructed of solid wood or metal. with (i) two mortise locks; (ii) two pad- (3) Hinges and hasps. Hinges and hasps locks fastened in separate hasps and are to be attached to doors by welding, staples; (iii) a combination of a mortise riveting, or bolting (nuts on inside of lock and a padlock; (iv) a mortise lock door). Hinges and hasps must be in- that requires two keys to open; or (v) a stalled so that they cannot be removed three-point lock. Padlocks must have when the doors are closed and locked. at least five tumblers and a case-hard- (4) Locks. Each door is to be equipped ened shackle of at least 3⁄8 inch diame- with (i) two mortise locks; (ii) two pad- ter. Padlocks must be protected with locks fastened in separate hasps and not less than 1⁄4 inch steel hoods con- staples; (iii) a combination of a mortise structed so as to prevent sawing or lock and a padlock; (iv) a mortise lock that requires two keys to open; or (v) a lever action on the locks, hasps, and three-point lock. Padlocks must have staples. Indoor magazines located in se- at least five tumblers and a case-hard- cure rooms that are locked as provided in this subparagraph may have each ened shackle of at least 3⁄8 inch diameter. Padlocks must be protected with door locked with one steel padlock (which need not be protected by a steel not less than 1⁄4 inch steel hoods constructed so as to prevent sawing or hood) having at least five tumblers and lever action on the locks, hasps, and a case-hardened shackle of at least 3⁄8 staples. Trailers, semitrailers, and inch diameter, if the door hinges and similar vehicular magazines may, for lock hasps are securely fastened to the each door, be locked with one steel magazine and to the door frame. These padlock (which need not be protected requirements do not apply to magazine by a steel hood) having at least five doors that are adequately secured on tumblers and a case-hardened shackle the inside by means of a bolt, lock, or of at least 3⁄8 inch diameter, if the door bar that cannot be actuated from the hinges and lock hasp are securely fas- outside. tened to the magazine and to the door [T.D. ATF–87, 46 FR 40384, Aug. 7, 1981, as frame. These requirements do not amended by T.D. ATF–298, 55 FR 21863, May apply to magazine doors that are ade- 30, 1990] quately secured on the inside by means of a bolt, lock, or bar that cannot be § 555.212 Smoking and open flames. actuated from the outside. Smoking, matches, open flames, and (5) Placards. The placards required by spark producing devices are not per- Department of Transportation regula- mitted: tions at 49 CFR part 172, subpart F, for the transportation of blasting agents (a) In any magazine; shall be displayed on all magazines. (b) Within 50 feet of any outdoor (b) Indoor magazines—(1) General. In- magazine; or door magazines are to be theft-resist- (c) Within any room containing an ant. They need not be weather-resist- indoor magazine. ant if the buildings in which they are stored provide protection from the § 555.213 Quantity and storage restric- weather. No indoor magazine is to be tions. located in a residence or dwelling. In- (a) Explosive materials in excess of door magazines containing quantities 300,000 pounds or detonators in excess of blasting agents in excess of 50 of 20 million are not to be stored in one pounds are subject to the requirements magazine unless approved by the Direc- of § 555.206 of this subpart. tor.

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(b) Detonators are not to be stored in maintenance of magazines must have the same magazine with other explo- no spark-producing metal parts, and sive materials, except under the fol- may be kept in magazines. Floors lowing circumstances: stained by leakage from explosive ma- (1) In a type 4 magazine, detonators terials are to be cleaned according to that will not mass detonate may be instructions of the explosives manufac- stored with electric squibs, safety fuse, turer. When any explosive material has shock tube, igniters, and igniter cord. deteriorated it is to be destroyed in ac- (2) In a type 1 or type 2 magazine, cordance with the advice or instruc- detonators may be stored with delay tions of the manufacturer. The area devices and any of the items listed in surrounding magazines is to be kept paragraph (b)(1) of this section. clear of rubbish, brush, dry grass, or [T.D. ATF–487, 68 FR 3748, Jan. 24, 2003, as trees (except live trees more than 10 amended by ATF 15F, 75 FR 3163, Jan. 20, feet tall), for not less than 25 feet in all 2010] directions. Volatile materials are to be kept a distance of not less than 50 feet § 555.214 Storage within types 1, 2, 3, from outdoor magazines. Living foliage and 4 magazines. which is used to stabilize the earthen (a) Explosive materials within a mag- covering of a magazine need not be re- azine are not to be placed directly moved. against interior walls and must be stored so as not to interfere with ven- § 555.216 Repair of magazines. tilation. To prevent contact of stored Before repairing the interior of mag- explosive materials with walls, a non- azines, all explosive materials are to be sparking lattice work or other non- removed and the interior cleaned. Be- sparking material may be used. (b) Containers of explosive materials fore repairing the exterior of maga- are to be stored so that marks are visi- zines, all explosive materials must be ble. Stocks of explosive materials are removed if there exists any possibility to be stored so they can be easily that repairs may produce sparks or counted and checked upon inspection. flame. Explosive materials removed (c) Except with respect to fiberboard from magazines under repair must be or other nonmetal containers, con- (a) placed in other magazines appro- tainers of explosive materials are not priate for the storage of those explo- to be unpacked or repacked inside a sive materials under this subpart, or magazine or within 50 feet of a maga- (b) placed a safe distance from the zine, and must not be unpacked or re- magazines under repair where they are packed close to other explosive mate- to be properly guarded and protected rials. Containers of explosive materials until the repairs have been completed. must be closed while being stored. § 555.217 Lighting. (d) Tools used for opening or closing containers of explosive materials are (a) Battery-activated safety lights or to be of nonsparking materials, except battery-activated safety lanterns may that metal slitters may be used for be used in explosives storage maga- opening fiberboard containers. A wood zines. wedge and a fiber, rubber, or wooden (b) Electric lighting used in any ex- mallet are to be used for opening or plosives storage magazine must meet closing wood containers of explosive the standards prescribed by the ‘‘Na- materials. Metal tools other than non- tional Electrical Code,’’ (National Fire sparking transfer conveyors are not to Protection Association, NFPA 70–81), be stored in any magazine containing for the conditions present in the maga- high explosives. zine at any time. All electrical switch- es are to be located outside of the mag- § 555.215 Housekeeping. azine and also meet the standards pre- Magazines are to be kept clean, dry, scribed by the National Electrical and free of grit, paper, empty packages Code. and containers, and rubbish. Floors are (c) Copies of invoices, work orders or to be regularly swept. Brooms and similar documents which indicate the other utensils used in the cleaning and lighting complies with the National

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Electrical Code must be available for inspection by ATF officers.

§ 555.218 Table of distances for storage of explosive materials.

Quantity of explosives Distances in feet

Public highways with Passenger railways— Inhabited buildings traffic volume of 3000 public highways with traf- Separation of maga- Pounds Pounds or fewer vehicles/day fic volume of more than zines over not over 3,000 vehicles/day Barri- Barri- Barri- Barri- caded Unbarricaded caded Unbarricaded caded Unbarricaded caded Unbarricaded

0 5 70 140 30 60 51 102 6 12 5 10 90 180 35 70 64 128 8 16 10 20 110 220 45 90 81 162 10 20 20 30 125 250 50 100 93 186 11 22 30 40 140 280 55 110 103 206 12 24 40 50 150 300 60 120 110 220 14 28 50 75 170 340 70 140 127 254 15 30 75 100 190 380 75 150 139 278 16 32 100 125 200 400 80 160 150 300 18 36 125 150 215 430 85 170 159 318 19 38 150 200 235 470 95 190 175 350 21 42 200 250 255 510 105 210 189 378 23 46 250 300 270 540 110 220 201 402 24 48 300 400 295 590 120 240 221 442 27 54 400 500 320 640 130 260 238 476 29 58 500 600 340 680 135 270 253 506 31 62 600 700 355 710 145 290 266 532 32 64 700 800 375 750 150 300 278 556 33 66 800 900 390 780 155 310 289 578 35 70 900 1,000 400 800 160 320 300 600 36 72 1,000 1,200 425 850 165 330 318 636 39 78 1,200 1,400 450 900 170 340 336 672 41 82 1,400 1,600 470 940 175 350 351 702 43 86 1,600 1,800 490 980 180 360 366 732 44 88 1,800 2,000 505 1,010 185 370 378 756 45 90 2,000 2,500 545 1,090 190 380 408 816 49 98 2,500 3,000 580 1,160 195 390 432 864 52 104 3,000 4,000 635 1,270 210 420 474 948 58 116 4,000 5,000 685 1,370 225 450 513 1,026 61 122 5,000 6,000 730 1,460 235 470 546 1,092 65 130 6,000 7,000 770 1,540 245 490 573 1,146 68 136 7,000 8,000 800 1,600 250 500 600 1,200 72 144 8,000 9,000 835 1,670 255 510 624 1,248 75 150 9,000 10,000 865 1,730 260 520 645 1,290 78 156 10,000 12,000 875 1,750 270 540 687 1,374 82 164 12,000 14,000 885 1,770 275 550 723 1,446 87 174 14,000 16,000 900 1,800 280 560 756 1,512 90 180 16,000 18,000 940 1,880 285 570 786 1,572 94 188 18,000 20,000 975 1,950 290 580 813 1,626 98 196 20,000 25,000 1,055 2,000 315 630 876 1,752 105 210 25,000 30,000 1,130 2,000 340 680 933 1,866 112 224 30,000 35,000 1,205 2,000 360 720 981 1,962 119 238 35,000 40,000 1,275 2,000 380 760 1,026 2,000 124 248 40,000 45,000 1,340 2,000 400 800 1,068 2,000 129 258 45,000 50,000 1,400 2,000 420 840 1,104 2,000 135 270 50,000 55,000 1,460 2,000 440 880 1,140 2,000 140 280 55,000 60,000 1,515 2,000 455 910 1,173 2,000 145 290 60,000 65,000 1,565 2,000 470 940 1,206 2,000 150 300 65,000 70,000 1,610 2,000 485 970 1,236 2,000 155 310 70,000 75,000 1,655 2,000 500 1,000 1,263 2,000 160 320 75,000 80,000 1,695 2,000 510 1,020 1,293 2,000 165 330 80,000 85,000 1,730 2,000 520 1,040 1,317 2,000 170 340 85,000 90,000 1,760 2,000 530 1,060 1,344 2,000 175 350 90,000 95,000 1,790 2,000 540 1,080 1,368 2,000 180 360 95,000 100,000 1,815 2,000 545 1,090 1,392 2,000 185 370 100,000 110,000 1,835 2,000 550 1,100 1,437 2,000 195 390 110,000 120,000 1,855 2,000 555 1,110 1,479 2,000 205 410 120,000 130,000 1,875 2,000 560 1,120 1,521 2,000 215 430 130,000 140,000 1,890 2,000 565 1,130 1,557 2,000 225 450 140,000 150,000 1,900 2,000 570 1,140 1,593 2,000 235 470

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Quantity of explosives Distances in feet

150,000 160,000 1,935 2,000 580 1,160 1,629 2,000 245 490 160,000 170,000 1,965 2,000 590 1,180 1,662 2,000 255 510 170,000 180,000 1,990 2,000 600 1,200 1,695 2,000 265 530 180,000 190,000 2,010 2,010 605 1,210 1,725 2,000 275 550 190,000 200,000 2,030 2,030 610 1,220 1,755 2,000 285 570 200,000 210,000 2,055 2,055 620 1,240 1,782 2,000 295 590 210,000 230,000 2,100 2,100 635 1,270 1,836 2,000 315 630 230,000 250,000 2,155 2,155 650 1,300 1,890 2,000 335 670 250,000 275,000 2,215 2,215 670 1,340 1,950 2,000 360 720 275,000 300,000 2,275 2,275 690 1,380 2,000 2,000 385 770

TABLE: AMERICAN TABLE OF DISTANCES FOR lighter core loads should be rated propor- STORAGE OF EXPLOSIVES (DECEMBER 1910), tionately. AS REVISED AND APPROVED BY THE INSTI- [T.D. ATF–87, 46 FR 40384, Aug. 7, 1981, as TUTE OF MAKERS OF EXPLOSIVES—JULY, amended by T.D. ATF–400, 63 FR 45003, Aug. 1991. 24, 1998; T.D. ATF–446, 66 FR 16602, Mar. 27, 2001; T.D. ATF–446a, 66 FR 19089, Apr. 13, Notes to the Table of Distances for Storage of 2001] Explosives (1) Terms found in the table of distances § 555.219 Table of distances for storage for storage of explosive materials are defined of low explosives. in § 555.11. Pounds From pub- (2) When two or more storage magazines From in- From habited lic railroad above are located on the same property, each mag- and high- building way dis- ground azine must comply with the minimum dis- Over Not over distance tance magazine tances specified from inhabited buildings, (feet) (feet) (feet) railways, and highways, and, in addition, 0 1,000 75 75 50 they should be separated from each other by 1,000 5,000 115 115 75 not less than the distances shown for ‘‘Sepa- 5,000 10,000 150 150 100 ration of Magazines,’’ except that the quan- 10,000 20,000 190 190 125 tity of explosives contained in cap magazines 20,000 30,000 215 215 145 shall govern in regard to the spacing of said 30,000 40,000 235 235 155 40,000 50,000 250 250 165 cap magazines from magazines containing 50,000 60,000 260 260 175 other explosives. If any two or more maga- 60,000 70,000 270 270 185 zines are separated from each other by less 70,000 80,000 280 280 190 than the specified ‘‘Separation of Maga- 80,000 90,000 295 295 195 zines’’ distances, then such two or more 90,000 100,000 300 300 200 100,000 200,000 375 375 250 magazines, as a group, must be considered as 200,000 300,000 450 450 300 one magazine, and the total quantity of explosives stored in such group must be treated as if stored in a single magazine located on § 555.220 Table of separation distances the site of any magazine of the group, and of ammonium nitrate and blasting must comply with the minimum of distances agents from explosives or blasting specified from other magazines, inhabited agents. buildings, railways, and highways. TABLE: DEPARTMENT OF DEFENSE AMMUNITION (3) All types of blasting caps in strengths AND EXPLOSIVES STANDARDS, TABLE 5–4.1 through No. 8 cap should be rated at 11⁄2 lbs. EXTRACT; 4145.27 M, MARCH 1969 (1.5 lbs.) of explosives per 1,000 caps. For strengths higher than No. 8 cap, consult the Donor weight (pounds) Minimum separation distance of acceptor manufacturer. from donor when barri- Minimum thickness (4) For quantity and distance purposes, caded (ft.) of artificial detonating cord of 50 or 60 grains per foot Over Not over Ammo- barricades should be calculated as equivalent to 9 lbs. of Blasting (in.) nium ni- agent high explosives per 1,000 feet. Heavier or trate ...... 100 3 11 12

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Donor weight (pounds) Minimum separation structures, metal containers, and the like distance of acceptor which may enclose the ‘‘donor.’’ Where ex- from donor when barri- Minimum caded (ft.) thickness plosives storage is in bullet-resistant maga- of artificial zines or where the storage is protected by a Over Not over barricades Ammo- bullet-resistant wall, distances and barricade nium ni- Blasting (in.) trate agent thicknesses in excess of those prescribed in the table in § 555.218 are not required. 100 300 4 14 12 (3) These distances apply to ammonium ni- 300 600 5 18 12 trate that passes the insensitivity test pre- 600 1,000 6 22 12 1,000 1,600 7 25 12 scribed in the definition of ammonium ni- 1,600 2,000 8 29 12 trate fertilizer issued by the Fertilizer Insti- 2,000 3,000 9 32 15 tute. 1 Ammonium nitrate failing to pass the 3,000 4,000 10 36 15 test must be stored at separation distances 4,000 6,000 11 40 15 in accordance with the table in § 555.218. 6,000 8,000 12 43 20 8,000 10,000 13 47 20 (4) These distances apply to blasting 10,000 12,000 14 50 20 agents which pass the insensitivity test pre- 12,000 16,000 15 54 25 scribed in regulations of the U.S. Depart- 16,000 20,000 16 58 25 ment of Transportation (49 CFR part 173). 20,000 25,000 18 65 25 (5) Earth or sand dikes, or enclosures filled 25,000 30,000 19 68 30 30,000 35,000 20 72 30 with the prescribed minimum thickness of 35,000 40,000 21 76 30 earth or sand are acceptable artificial barri- 40,000 45,000 22 79 35 cades. Natural barricades, such as hills or 45,000 50,000 23 83 35 timber of sufficient density that the sur- 50,000 55,000 24 86 35 rounding exposures which require protection 55,000 60,000 25 90 35 cannot be seen from the ‘‘donor’’ when the 60,000 70,000 26 94 40 70,000 80,000 28 101 40 trees are bare of leaves, are also acceptable. 80,000 90,000 30 108 40 (6) For determining the distances to be 90,000 100,000 32 115 40 maintained from inhabited buildings, pas- 100,000 120,000 34 122 50 senger railways, and public highways, use 120,000 140,000 37 133 50 the table in § 555.218. 140,000 160,000 40 144 50 160,000 180,000 44 158 50 180,000 200,000 48 173 50 § 555.221 Requirements for display 200,000 220,000 52 187 60 fireworks, pyrotechnic composi- 220,000 250,000 56 202 60 tions, and explosive materials used 250,000 275,000 60 216 60 in assembling fireworks or articles 275,000 300,000 64 230 60 pyrotechnic.

TABLE: NATIONAL FIRE PROTECTION ASSOCIA- (a) Display fireworks, pyrotechnic TION (NFPA) OFFICIAL STANDARD NO. 492, compositions, and explosive materials 1968 used to assemble fireworks and articles pyrotechnic shall be stored at all times Notes of Table of Separation Distances of Am- monium Nitrate and Blasting Agents From Ex- as required by this Subpart unless they plosives or Blasting Agents are in the process of manufacture, assembly, packaging, or are being trans- (1) This table specifies separation distances ported. to prevent explosion of ammonium nitrate and ammonium nitrate-based blasting agents (b) No more than 500 pounds (227 kg) by propagation from nearby stores of high of pyrotechnic compositions or explo- explosives or blasting agents referred to in sive materials are permitted at one the table as the ‘‘donor.’’ Ammonium ni- time in any fireworks mixing building, trate, by itself, is not considered to be a any building or area in which the pyro- donor when applying this table. Ammonium technic compositions or explosive ma- nitrate, ammonium nitrate-fuel oil or com- binations thereof are acceptors. If stores of terials are pressed or otherwise pre- ammonium nitrate are located within the pared for finishing or assembly, or any sympathetic detonation distance of explo- finishing or assembly building. All py- sives or blasting agents, one-half the mass of rotechnic compositions or explosive the ammonium nitrate is to be included in materials not in immediate use will be the mass of the donor. stored in covered, non-ferrous con- (2) When the ammonium nitrate and/or tainers. blasting agent is not barricaded, the distances shown in the table must be multiplied by six. These distances allow for the possi- 1 Definition and Test Procedures for Am- bility of high velocity metal fragments from monium Nitrate Fertilizer, Fertilizer Insti- mixers, hoppers, truck bodies, sheet metal tute 1015–18th St. N.W. Washington, DC 20036.

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(c) The maximum quantity of flash DISTANCE FROM PASSENGER RAILWAYS, PUBLIC powder permitted in any fireworks HIGHWAYS, FIREWORKS PLANT BUILDINGS process building is 10 pounds (4.5 kg). USED TO STORE CONSUMER FIREWORKS AND (d) All dry explosive powders and ARTICLES PYROTECHNIC, MAGAZINES AND mixtures, partially assembled display FIREWORKS SHIPPING BUILDINGS, AND INHAB- fireworks, and finished display fire- ITED BUILDINGS. 3,4,5—Continued works shall be removed from fireworks process buildings at the conclusion of a Net weight of fire- Display fireworks 1 Consumer fireworks 1 (pounds) (feet) works 2 (feet) day’s operations and placed in approved magazines. 101–200 ...... 200 ...... 50 201–300 ...... 200 ...... 50 [T.D. ATF–293, 55 FR 3722, Feb. 5, 1990, as 301–400 ...... 200 ...... 50 amended by T.D. ATF–400, 63 FR 45004, Aug. 401–500 ...... 200 ...... 50 24, 1998] Above 500 ...... Not permitted ...... Not permitted. § 555.222 Table of distances between 1 Net weight is the weight of all pyrotechnic compositions, and exposive materials and fuse only. fireworks process buildings and be- 2 While consumer fireworks or articles pyrotechnic in a fin- tween fireworks process and fire- ished state are not subject to regulation, explosive materials works nonprocess buildings. used to manufacture or assemble such fireworks or articles are subject to regulation. Thus, fireworks process buildings where consumer fireworks or articles pyrotechnic are being Net weight of 2 1 Display fireworks Consumer fire- processed shall meet these requirements. fireworks 3 3 (pounds) (feet) works (feet) This table does not apply to the separation distances between fireworks process buildings (see § 555.222) and between magazines (see §§ 555.218 and 555.224). 0–100 ...... 57 ...... 37 4 The distances in this table apply with or without artificial or 101–200 ...... 69 ...... 37 natural barricades or screen barricades. However, the use of 201–300 ...... 77 ...... 37 barricades is highly recommended. 301–400 ...... 85 ...... 37 5 No work of any kind, except to place or move items other 401–500 ...... 91 ...... 37 than explosive materials from storage, shall be conducted in Above 500 ...... Not permitted 4,5 .... Not permitted 4,5 any building designated as a warehouse. A fireworks plant warehouse is not subject to § 555.222 or this section, tables 1 Net weight is the weight of all pyrotechnic compositions, of distances. and explosive materials and fuse only. 2 The distances in this column apply only with natural or artificial barricades. If such barricades are not used, the dis- [T.D. ATF–293, 55 FR 3723, Feb. 5, 1990, as tances must be doubled. amended by T.D. ATF–400, 63 FR 45004, Aug. 3 While consumer fireworks or articles pyrotechnic in a finished state are not subject to regulation, explosive materials 24, 1998] used to manufacture or assemble such fireworks or articles are subject to regulation. Thus, fireworks process buildings where consumer fireworks or articles pyrotechnic are being § 555.224 Table of distances for the processed shall meet these requirements. storage of display fireworks (except 4 A maximum of 500 pounds of in-process pyrotechnic compositions, either loose or in partially-assembled fireworks, is bulk salutes). permitted in any fireworks process building. Finished display fireworks may not be stored in a fireworks process building. Distance between 5 A maximum of 10 pounds of flash powder, either in loose Distance magazine and inhab- between form or in assembled units, is permitted in any fireworks proc- Net weight of firework 1 ited building, pas- ess building. Quantities in excess of 10 pounds must be kept (pounds) senger railway, or magazines 2,3 in an approved magazine. public highway 3,4 (feet) (feet) [T.D. ATF–293, 55 FR 3723, Feb. 5, 1990, as amended by T.D. ATF–400, 63 FR 45004, Aug. 0–1000 ...... 150 ...... 100 24, 1998] 1001–5000 ...... 230 ...... 150 5001–10000 ...... 300 ...... 200 § 555.223 Table of distances between Above 10000 ...... Use table § 555.218 ...... fireworks process buildings and 1 Net weight is the weight of all pyrotechnic compositions, other specified areas. and explosive materials and fuse only. 2 For the purposes of applying this table, the term ‘‘magazine’’ also includes fireworks shipping buildings for display DISTANCE FROM PASSENGER RAILWAYS, PUBLIC fireworks. HIGHWAYS, FIREWORKS PLANT BUILDINGS 3 For fireworks storage magazines in use prior to (30 days from the date of publication of the final rule in the FEDERAL USED TO STORE CONSUMER FIREWORKS AND REGISTER), the distances in this table may be halved if prop- ARTICLES PYROTECHNIC, MAGAZINES AND erly barricaded between the magazine and potential receptor sites. FIREWORKS SHIPPING BUILDINGS, AND INHAB- 4 This table does not apply to the storage of bulk salutes. ITED BUILDINGS. 3,4,5 Use table at § 555.218.

Net weight of fire- Display fireworks 1 Consumer fire- [T.D. ATF–293, 55 FR 3723, Feb. 5, 1990, as works 1 (pounds) (feet) works 2 (feet) amended by T.D. ATF–400, 63 FR 45004, Aug. 0–100 ...... 200 ...... 25 24, 1998]

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PART 646—CONTRABAND same general class or are otherwise CIGARETTES within the scope of the term defined. Appropriate ATF officer. An officer or Sec. employee of the Bureau of Alcohol, To- bacco and Firearms (ATF) authorized GENERAL to perform any functions relating to 646.141 Scope of part. the administration or enforcement of 646.142 Territorial extent. this part by ATF Order 1130.28, Delega- 646.143 Meaning of terms. tion of the Director’s Authorities in 27 CFR Parts 45 and 646. RECORDS Business premises. When used with re- 646.146 General requirements. spect to a distributor, the property on 646.147 Required information. which the cigarettes are kept or stored. 646.150 Retention of records. The business premises includes the OTHER PROVISIONS RELATING TO THE property where the records of a dis- DISTRIBUTION OF CIGARETTES tributor are kept. Common or contract carrier. A carrier 646.153 Authority of appropriate ATF officers to enter business premises. holding a certificate of convenience and necessity, a permit for contract PENALTIES AND FORFEITURES carrier by motor vehicle, or other valid 646.154 Penalties. operating authority under the Inter- 646.155 Forfeitures. state Commerce Act, or under equivalent operating authority from a regu- AUTHORITY: 18 U.S.C. 2341–2346, unless otherwise noted. latory agency of the United States or of any State. SOURCE: 45 FR 48612, July 21, 1980, unless Contraband cigarettes. Any quantity otherwise noted. Redesignated by T.D. ATF– of cigarettes in excess of 60,000, if— 487, 68 FR 3753, Jan. 24, 2003. (a) The cigarettes bear no evidence of EDITORIAL NOTE: Nomenclature changes to the payment of applicable State ciga- part 646 appear by T.D. ATF–487, 68 FR 4753, rette taxes in the State where the ciga- Jan. 24, 2003. rettes are found; (b) The State in which the cigarettes GENERAL are found requires a stamp, impression, § 646.141 Scope of part. or other indication to be placed on packages or other containers of ciga- The regulations in this subpart relate rettes to evidence payment of cigarette to the distribution of cigarettes in ex- taxes; and cess of 60,000 in a single transaction. (c) The cigarettes are in the possession of any person other than an ex- § 646.142 Territorial extent. empted person. The provisions of the regulations in Disposition. The movement of ciga- this part apply in the several States of rettes from a person’s business prem- the United States, the District of Co- ises, wherever situated, by shipment or lumbia, the Commonwealth of Puerto other means of distribution. Rico, and the Virgin Islands. Distribute. To sell, ship, issue, give, transfer, or otherwise dispose of. § 646.143 Meaning of terms. Distributor. Any person who distrib- When used in this part, terms are de- utes more than 60,000 cigarettes in a fined as follows in this section. Words single transaction. in the plural shall include the singular, Exempted person. Any person who is— and vice versa. Words indicating the (a) Holding a permit issued pursuant masculine gender shall include the to Chapter 52 of the Internal Revenue feminine. The terms ‘‘includes’’ and Code of 1954 as a manufacturer of to- ‘‘including’’ do not exclude other bacco products or as an export ware- things not named which are in the house proprietor;

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(b) Operating a customs bonded ware- prescribed in § 646.147 in his commercial house pursuant to section 311 or 555 of records of disposition. the Tariff Act of 1930 (19 U.S.C. 1311 or 1555); § 646.147 Required information. (c) An agent of a tobacco products (a) Distributors who are exempted per- manufacturer, an export warehouse sons. Each distributor who is an ex- proprietor, or an operator of a customs empted person as defined in § 646.143 bonded warehouse; shall show the following information in (d) A common or contract carrier his commercial records. transporting the cigarettes involved (1) For each disposition of more than under a proper bill of lading or freight 60,000 cigarettes to an exempted per- bill which states the quantity, source, son; or for each disposition of more and destination of the cigarettes; than 60,000 cigarettes to a person who (e) Licensed or otherwise authorized is not an exempted person and which is by the State, in which he possesses delivered by the distributor to the re- cigarettes, to account for and pay ciga- cipient’s place of business, the dis- rette taxes imposed by that State; and tributor shall show on dated records— who has complied with the accounting (i) The full name of the purchaser (or and payment requirements relating to the recipient if there is no purchaser); his license or authorization with re- (ii) The street address (including city spect to the cigarettes involved; or and state) to which the cigarettes are (f) An agent of the United States, of destined; and an individual State, or of a political (iii) The quantity of cigarettes dis- subdivision of a State and having pos- posed of. session of cigarettes in connection with (2) For each disposition of more than the performance of official duties. 60,000 cigarettes, other than the dis- (g) Operating within a foreign-trade positions specified in paragraph (a)(1) zone established under 19 U.S.C., sec- of this section, the distributor shall tion 81b, when the cigarettes involved show on dated records— have been entered into the zone under (i) The full name of the purchaser (if zone-restricted status or, in respect to any); foreign cigarettes, have been admitted (ii) The name, address (including city into the zone but have not been entered and state), and signature of the person in the United States. receiving the cigarettes; Person. Any individual, corporation, (iii) The street address (including company, association, firm, partner- city and state) to which the cigarettes ship, society, or joint stock company. are destined; State. A State of the United States, (iv) The quantity of cigarettes dis- the District of Columbia, the Common- posed of; wealth of Puerto Rico, or the Virgin Is- (v) The driver’s license number of the lands. individual receiving the cigarettes; [45 FR 48612, July 21, 1980, as amended by (vi) The license number of the vehicle T.D. ATF–472, 67 FR 8881, Feb. 27, 2002] in which the cigarettes are removed from the distributor’s business prem- RECORDS ises; (vii) A declaration by the individual § 646.146 General requirements. receiving the cigarettes of the specific Each distributor of cigarettes shall purpose of receipt (such as personal keep copies of invoices, bills of lading, use, resale, delivery to another person, or other suitable commercial records etc.); and relating to each disposition of more (viii) A declaration by the person re- than 60,000 cigarettes. Dividing a single ceiving the cigarettes of the name and agreement for the disposition of more address of his principal when he is act- than 60,000 cigarettes into the delivery ing as an agent. of smaller components of 60,000 ciga- (b) Distributors who are not exempted rettes or less does not exempt the dis- persons. Each distributor who is not an tributor from the recordkeeping re- exempted person as defined in § 646.143 quirements of this part. The dis- shall show on dated commercial tributor shall include the information records the information specified in

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paragraphs (a)(2) (i) through (viii) of 646.147 or to inspect any cigarettes this section for each disposition of stored on the premises— more than 60,000 cigarettes. (a) Pursuant to duly issued search (Approved by the Office of Management and warrant or an administrative inspec- Budget under control number 1512–0391) tion warrant; or [45 FR 48612, July 21, 1980, as amended by (b) Upon the consent of the dis- T.D. ATF–172, 49 FR 14943, Apr. 16, 1984] tributor to enter his premises. [45 FR 48612, July 21, 1980, as amended by § 646.150 Retention of records. T.D. ATF–472, 67 FR 8881, Feb. 27, 2002] (a) General. Each distributor of cigarettes shall retain the records required PENALTIES AND FORFEITURES by §§ 646.146 and 646.147 for three years following the close of the year in which § 646.154 Penalties. the records are made. The distributor (a) Any person who knowingly ships, shall keep the required records on his transports, receives, possesses, sells, business premises. distributes, or purchases contraband (b) Shorter retention periods. The ap- cigarettes shall be fined not more than propriate ATF officer may, pursuant to $100,000 or imprisoned not more than an application submitted by a dis- five years, or both. tributor, approve a shorter retention (b) Any person who knowingly vio- period where— lates any regulation contained in this (1) The distributor requesting the shorter retention period is an agent of part or makes any false statement or a tobacco products manufacturer; misrepresentation with respect to the (2) The tobacco products manufac- information required to be recorded by turer will keep the required record for this part shall be fined not more than each disposition of more than 60,000 $5,000 or imprisoned not more than cigarettes from the agent’s premises three years, or both. for the full retention period specified in paragraph (a) of this section; and § 646.155 Forfeitures. (3) The approval of a shorter reten- (a) Any contraband cigarettes in- tion period will not unduly hinder the volved in any violation of the provi- administration of enforcement of this sions of 18 U.S.C. chapter 114 shall be subpart. subject to seizure and forfeiture. All (c) Application requirements. Each dis- provisions of the Internal Revenue tributor proposing to employ a shorter Code of 1954 (title 26 U.S.C.) relating to retention period shall submit a written the seizure, forfeiture, and disposition application, in duplicate, to the appro- of firearms, as defined in section priate ATF officer. A distributor may 5845(a) of that Code, shall, so far as ap- not employ a shorter retention period plicable, extend to seizures and forfeit- until approval is received from the ap- ures of contraband cigarettes under the propriate ATF officer. Each applica- provisions of 18 U.S.C. chapter 114. tion should indicate the duration of the proposed retention period and should (b) Any vessel, vehicle or aircraft include the information required by used to transport, carry, convey, or paragraph (b) of this section. conceal or possess any contraband cigarettes with respect to which there [45 FR 48612, July 21, 1980, as amended by has been committed any violation of T.D. ATF–472, 67 FR 8880, 8881, Feb. 27, 2002] any provision of 18 U.S.C. chapter 114 OTHER PROVISIONS RELATING TO THE or the regulations in this subpart shall DISTRIBUTION OF CIGARETTES be subject to seizure and forfeiture under the Customs laws, as provided by § 646.153 Authority of appropriate ATF the Act of August 9, 1939 (49 U.S.C. 781– officers to enter business premises. 788). Any appropriate ATF officer may (18 U.S.C. 2344; 53 Stat. 1291 (49 U.S.C. 782)) enter the business premises of any distributor of cigarettes to inspect the records required by §§ 646.146 through

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A list of CFR titles, subtitles, chapters, subchapters and parts and an alphabetical list of agencies publishing in the CFR are included in the CFR Index and Finding Aids volume to the Code of Federal Regulations which is published separately and revised annually. Table of CFR Titles and Chapters Alphabetical List of Agencies Appearing in the CFR List of CFR Sections Affected

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Title 1—General Provisions

I Administrative Committee of the Federal Register (Parts 1—49) II Office of the Federal Register (Parts 50—299) IV Miscellaneous Agencies (Parts 400—500)

Title 2—Grants and Agreements

SUBTITLE A—OFFICE OF MANAGEMENT AND BUDGET GUIDANCE FOR GRANTS AND AGREEMENTS I Office of Management and Budget Governmentwide Guidance for Grants and Agreements (Parts 100—199) II Office of Management and Budget Circulars and Guidance (200— 299) SUBTITLE B—FEDERAL AGENCY REGULATIONS FOR GRANTS AND AGREEMENTS III Department of Health and Human Services (Parts 300— 399) VI Department of State (Parts 600—699) VIII Department of Veterans Affairs (Parts 800—899) IX Department of Energy (Parts 900—999) XI Department of Defense (Parts 1100—1199) XII Department of Transportation (Parts 1200—1299) XIII Department of Commerce (Parts 1300—1399) XIV Department of the Interior (Parts 1400—1499) XV Environmental Protection Agency (Parts 1500—1599) XVIII National Aeronautics and Space Administration (Parts 1880— 1899) XXII Corporation for National and Community Service (Parts 2200— 2299) XXIII Social Security Administration (Parts 2300—2399) XXIV Housing and Urban Development (Parts 2400—2499) XXV National Science Foundation (Parts 2500—2599) XXVI National Archives and Records Administration (Parts 2600—2699) XXVII Small Business Administration (Parts 2700—2799) XXVIII Department of Justice (Parts 2800—2899) XXX Department of Homeland Security (Parts 3000—3099) XXXI Institute of Museum and Library Services (Parts 3100—3199) XXXII National Endowment for the Arts (Parts 3200—3299) XXXIII National Endowment for the Humanities (Parts 3300—3399)

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XXXV Export-Import Bank of the United States (Parts 3500—3599) XXXVII Peace Corps (Parts 3700—3799)

Title 3—The President

I Executive Office of the President (Parts 100—199)

Title 4—Accounts

I Government Accountability Office (Parts 1—99) II Recovery Accountability and Transparency Board (Parts 200— 299)

Title 5—Administrative Personnel

I Office of Personnel Management (Parts 1—1199) II Merit Systems Protection Board (Parts 1200—1299) III Office of Management and Budget (Parts 1300—1399) V The International Organizations Employees Loyalty Board (Parts 1500—1599) VI Federal Retirement Thrift Investment Board (Parts 1600—1699) VIII Office of Special Counsel (Parts 1800—1899) IX Appalachian Regional Commission (Parts 1900—1999) XI Armed Forces Retirement Home (Parts 2100—2199) XIV Federal Labor Relations Authority, General Counsel of the Fed- eral Labor Relations Authority and Federal Service Impasses Panel (Parts 2400—2499) XV Office of Administration, Executive Office of the President (Parts 2500—2599) XVI Office of Government Ethics (Parts 2600—2699) XXI Department of the Treasury (Parts 3100—3199) XXII Federal Deposit Insurance Corporation (Parts 3200—3299) XXIII Department of Energy (Parts 3300—3399) XXIV Federal Energy Regulatory Commission (Parts 3400—3499) XXV Department of the Interior (Parts 3500—3599) XXVI Department of Defense (Parts 3600— 3699) XXVIII Department of Justice (Parts 3800—3899) XXIX Federal Communications Commission (Parts 3900—3999) XXX Farm Credit System Insurance Corporation (Parts 4000—4099) XXXI Farm Credit Administration (Parts 4100—4199) XXXIII Overseas Private Investment Corporation (Parts 4300—4399) XXXV Office of Personnel Management (Parts 4500—4599) XL Interstate Commerce Commission (Parts 5000—5099) XLI Commodity Futures Trading Commission (Parts 5100—5199) XLII Department of Labor (Parts 5200—5299) XLIII National Science Foundation (Parts 5300—5399)

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XLV Department of Health and Human Services (Parts 5500—5599) XLVI Postal Rate Commission (Parts 5600—5699) XLVII Federal Trade Commission (Parts 5700—5799) XLVIII Nuclear Regulatory Commission (Parts 5800—5899) L Department of Transportation (Parts 6000—6099) LII Export-Import Bank of the United States (Parts 6200—6299) LIII Department of Education (Parts 6300—6399) LIV Environmental Protection Agency (Parts 6400—6499) LV National Endowment for the Arts (Parts 6500—6599) LVI National Endowment for the Humanities (Parts 6600—6699) LVII General Services Administration (Parts 6700—6799) LVIII Board of Governors of the Federal Reserve System (Parts 6800— 6899) LIX National Aeronautics and Space Administration (Parts 6900— 6999) LX United States Postal Service (Parts 7000—7099) LXI National Labor Relations Board (Parts 7100—7199) LXII Equal Employment Opportunity Commission (Parts 7200—7299) LXIII Inter-American Foundation (Parts 7300—7399) LXIV Merit Systems Protection Board (Parts 7400—7499) LXV Department of Housing and Urban Development (Parts 7500— 7599) LXVI National Archives and Records Administration (Parts 7600—7699) LXVII Institute of Museum and Library Services (Parts 7700—7799) LXVIII Commission on Civil Rights (Parts 7800—7899) LXIX Tennessee Valley Authority (Parts 7900—7999) LXXI Consumer Product Safety Commission (Parts 8100—8199) LXXIII Department of Agriculture (Parts 8300—8399) LXXIV Federal Mine Safety and Health Review Commission (Parts 8400—8499) LXXVI Federal Retirement Thrift Investment Board (Parts 8600—8699) LXXVII Office of Management and Budget (Parts 8700—8799) XCVII Department of Homeland Security Human Resources Manage- ment System (Department of Homeland Security—Office of Personnel Management) (Parts 9700—9799) XCIX Department of Defense Human Resources Management and Labor Relations Systems (Department of Defense—Office of Personnel Management) (Parts 9900—9999)

Title 6—Domestic Security

I Department of Homeland Security, Office of the Secretary (Parts 0—99)

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SUBTITLE A—OFFICE OF THE SECRETARY OF AGRICULTURE (PARTS 0—26) SUBTITLE B—REGULATIONS OF THE DEPARTMENT OF AGRICULTURE I Agricultural Marketing Service (Standards, Inspections, Mar- keting Practices), Department of Agriculture (Parts 27—209) II Food and Nutrition Service, Department of Agriculture (Parts 210—299) III Animal and Plant Health Inspection Service, Department of Ag- riculture (Parts 300—399) IV Federal Crop Insurance Corporation, Department of Agriculture (Parts 400—499) V Agricultural Research Service, Department of Agriculture (Parts 500—599) VI Natural Resources Conservation Service, Department of Agri- culture (Parts 600—699) VII Farm Service Agency, Department of Agriculture (Parts 700— 799) VIII Grain Inspection, Packers and Stockyards Administration (Fed- eral Grain Inspection Service), Department of Agriculture (Parts 800—899) IX Agricultural Marketing Service (Marketing Agreements and Or- ders; Fruits, Vegetables, Nuts), Department of Agriculture (Parts 900—999) X Agricultural Marketing Service (Marketing Agreements and Or- ders; Milk), Department of Agriculture (Parts 1000—1199) XI Agricultural Marketing Service (Marketing Agreements and Or- ders; Miscellaneous Commodities), Department of Agriculture (Parts 1200—1299) XIV Commodity Credit Corporation, Department of Agriculture (Parts 1400—1499) XV Foreign Agricultural Service, Department of Agriculture (Parts 1500—1599) XVI Rural Telephone Bank, Department of Agriculture (Parts 1600— 1699) XVII Rural Utilities Service, Department of Agriculture (Parts 1700— 1799) XVIII Rural Housing Service, Rural Business-Cooperative Service, Rural Utilities Service, and Farm Service Agency, Depart- ment of Agriculture (Parts 1800—2099) XX Local Television Loan Guarantee Board (Parts 2200—2299) XXVI Office of Inspector General, Department of Agriculture (Parts 2600—2699) XXVII Office of Information Resources Management, Department of Agriculture (Parts 2700—2799) XXVIII Office of Operations, Department of Agriculture (Parts 2800— 2899) XXIX Office of Energy Policy and New Uses, Department of Agri- culture (Parts 2900—2999) XXX Office of the Chief Financial Officer, Department of Agriculture (Parts 3000—3099)

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XXXI Office of Environmental Quality, Department of Agriculture (Parts 3100—3199) XXXII Office of Procurement and Property Management, Department of Agriculture (Parts 3200—3299) XXXIII Office of Transportation, Department of Agriculture (Parts 3300—3399) XXXIV Cooperative State Research, Education, and Extension Service, Department of Agriculture (Parts 3400—3499) XXXV Rural Housing Service, Department of Agriculture (Parts 3500— 3599) XXXVI National Agricultural Statistics Service, Department of Agri- culture (Parts 3600—3699) XXXVII Economic Research Service, Department of Agriculture (Parts 3700—3799) XXXVIII World Agricultural Outlook Board, Department of Agriculture (Parts 3800—3899) XLI [Reserved] XLII Rural Business-Cooperative Service and Rural Utilities Service, Department of Agriculture (Parts 4200—4299) L Rural Business-Cooperative Service, Rurual Housing Service, and Rural Utilities Service, Department of Agriculture (Parts 5000—5099)

Title 8—Aliens and Nationality

I Department of Homeland Security (Immigration and Naturaliza- tion) (Parts 1—499) V Executive Office for Immigration Review, Department of Justice (Parts 1000—1399)

Title 9—Animals and Animal Products

I Animal and Plant Health Inspection Service, Department of Ag- riculture (Parts 1—199) II Grain Inspection, Packers and Stockyards Administration (Packers and Stockyards Programs), Department of Agri- culture (Parts 200—299) III Food Safety and Inspection Service, Department of Agriculture (Parts 300—599)

Title 10—Energy

I Nuclear Regulatory Commission (Parts 0—199) II Department of Energy (Parts 200—699) III Department of Energy (Parts 700—999) X Department of Energy (General Provisions) (Parts 1000—1099) XIII Nuclear Waste Technical Review Board (Parts 1303—1399) XVII Defense Nuclear Facilities Safety Board (Parts 1700—1799)

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XVIII Northeast Interstate Low-Level Radioactive Waste Commission (Parts 1800—1899)

Title 11—Federal Elections

I Federal Election Commission (Parts 1—9099) II Election Assistance Commission (Parts 9400—9499)

Title 12—Banks and Banking

I Comptroller of the Currency, Department of the Treasury (Parts 1—199) II Federal Reserve System (Parts 200—299) III Federal Deposit Insurance Corporation (Parts 300—399) IV Export-Import Bank of the United States (Parts 400—499) V Office of Thrift Supervision, Department of the Treasury (Parts 500—599) VI Farm Credit Administration (Parts 600—699) VII National Credit Union Administration (Parts 700—799) VIII Federal Financing Bank (Parts 800—899) IX Federal Housing Finance Board (Parts 900—999) XI Federal Financial Institutions Examination Council (Parts 1100—1199) XII Federal Housing Finance Agency (Parts 1200—1299) XIV Farm Credit System Insurance Corporation (Parts 1400—1499) XV Department of the Treasury (Parts 1500—1599) XVII Office of Federal Housing Enterprise Oversight, Department of Housing and Urban Development (Parts 1700—1799) XVIII Community Development Financial Institutions Fund, Depart- ment of the Treasury (Parts 1800—1899)

Title 13—Business Credit and Assistance

I Small Business Administration (Parts 1—199) III Economic Development Administration, Department of Com- merce (Parts 300—399) IV Emergency Steel Guarantee Loan Board (Parts 400—499) V Emergency Oil and Gas Guaranteed Loan Board (Parts 500—599)

Title 14—Aeronautics and Space

I Federal Aviation Administration, Department of Transportation (Parts 1—199) II Office of the Secretary, Department of Transportation (Aviation Proceedings) (Parts 200—399) III Commercial Space Transportation, Federal Aviation Adminis- tration, Department of Transportation (Parts 400—499)

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V National Aeronautics and Space Administration (Parts 1200— 1299) VI Air Transportation System Stabilization (Parts 1300—1399)

Title 15—Commerce and Foreign Trade

SUBTITLE A—OFFICE OF THE SECRETARY OF COMMERCE (PARTS 0— 29) SUBTITLE B—REGULATIONS RELATING TO COMMERCE AND FOREIGN TRADE I Bureau of the Census, Department of Commerce (Parts 30—199) II National Institute of Standards and Technology, Department of Commerce (Parts 200—299) III International Trade Administration, Department of Commerce (Parts 300—399) IV Foreign-Trade Zones Board, Department of Commerce (Parts 400—499) VII Bureau of Industry and Security, Department of Commerce (Parts 700—799) VIII Bureau of Economic Analysis, Department of Commerce (Parts 800—899) IX National Oceanic and Atmospheric Administration, Department of Commerce (Parts 900—999) XI Technology Administration, Department of Commerce (Parts 1100—1199) XIII East-West Foreign Trade Board (Parts 1300—1399) XIV Minority Business Development Agency (Parts 1400—1499) SUBTITLE C—REGULATIONS RELATING TO FOREIGN TRADE AGREE- MENTS XX Office of the United States Trade Representative (Parts 2000— 2099) SUBTITLE D—REGULATIONS RELATING TO TELECOMMUNICATIONS AND INFORMATION XXIII National Telecommunications and Information Administration, Department of Commerce (Parts 2300—2399)

Title 16—Commercial Practices

I Federal Trade Commission (Parts 0—999) II Consumer Product Safety Commission (Parts 1000—1799)

Title 17—Commodity and Securities Exchanges

I Commodity Futures Trading Commission (Parts 1—199) II Securities and Exchange Commission (Parts 200—399) IV Department of the Treasury (Parts 400—499)

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I Federal Energy Regulatory Commission, Department of Energy (Parts 1—399) III Delaware River Basin Commission (Parts 400—499) VI Water Resources Council (Parts 700—799) VIII Susquehanna River Basin Commission (Parts 800—899) XIII Tennessee Valley Authority (Parts 1300—1399)

Title 19—Customs Duties

I U.S. Customs and Border Protection, Department of Homeland Security; Department of the Treasury (Parts 0—199) II United States International Trade Commission (Parts 200—299) III International Trade Administration, Department of Commerce (Parts 300—399) IV U.S. Immigration and Customs Enforcement, Department of Homeland Security (Parts 400—599)

Title 20—Employees’ Benefits

I Office of Workers’ Compensation Programs, Department of Labor (Parts 1—199) II Railroad Retirement Board (Parts 200—399) III Social Security Administration (Parts 400—499) IV Employees Compensation Appeals Board, Department of Labor (Parts 500—599) V Employment and Training Administration, Department of Labor (Parts 600—699) VI Employment Standards Administration, Department of Labor (Parts 700—799) VII Benefits Review Board, Department of Labor (Parts 800—899) VIII Joint Board for the Enrollment of Actuaries (Parts 900—999) IX Office of the Assistant Secretary for Veterans’ Employment and Training Service, Department of Labor (Parts 1000—1099)

Title 21—Food and Drugs

I Food and Drug Administration, Department of Health and Human Services (Parts 1—1299) II Drug Enforcement Administration, Department of Justice (Parts 1300—1399) III Office of National Drug Control Policy (Parts 1400—1499)

Title 22—Foreign Relations

I Department of State (Parts 1—199) II Agency for International Development (Parts 200—299) III Peace Corps (Parts 300—399)

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IV International Joint Commission, United States and Canada (Parts 400—499) V Broadcasting Board of Governors (Parts 500—599) VII Overseas Private Investment Corporation (Parts 700—799) IX Foreign Service Grievance Board (Parts 900—999) X Inter-American Foundation (Parts 1000—1099) XI International Boundary and Water Commission, United States and Mexico, United States Section (Parts 1100—1199) XII United States International Development Cooperation Agency (Parts 1200—1299) XIII Millenium Challenge Corporation (Parts 1300—1399) XIV Foreign Service Labor Relations Board; Federal Labor Relations Authority; General Counsel of the Federal Labor Relations Authority; and the Foreign Service Impasse Disputes Panel (Parts 1400—1499) XV African Development Foundation (Parts 1500—1599) XVI Japan-United States Friendship Commission (Parts 1600—1699) XVII United States Institute of Peace (Parts 1700—1799)

Title 23—Highways

I Federal Highway Administration, Department of Transportation (Parts 1—999) II National Highway Traffic Safety Administration and Federal Highway Administration, Department of Transportation (Parts 1200—1299) III National Highway Traffic Safety Administration, Department of Transportation (Parts 1300—1399)

Title 24—Housing and Urban Development

SUBTITLE A—OFFICE OF THE SECRETARY, DEPARTMENT OF HOUSING AND URBAN DEVELOPMENT (PARTS 0—99) SUBTITLE B—REGULATIONS RELATING TO HOUSING AND URBAN DE- VELOPMENT I Office of Assistant Secretary for Equal Opportunity, Department of Housing and Urban Development (Parts 100—199) II Office of Assistant Secretary for Housing-Federal HousingCommissioner, Department of Housing and Urban De- velopment (Parts 200—299) III Government National Mortgage Association, Department of Housing and Urban Development (Parts 300—399) IV Office of Housing and Office of Multifamily Housing Assistance Restructuring, Department of Housing and Urban Develop- ment (Parts 400—499) V Office of Assistant Secretary for Community Planning and De- velopment, Department of Housing and Urban Development (Parts 500—599)

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VI Office of Assistant Secretary for Community Planning and De- velopment, Department of Housing and Urban Development (Parts 600—699) [Reserved] VII Office of the Secretary, Department of Housing and Urban Devel- opment (Housing Assistance Programs and Public and Indian Housing Programs) (Parts 700—799) VIII Office of the Assistant Secretary for Housing—Federal Housing Commissioner, Department of Housing and Urban Develop- ment (Section 8 Housing Assistance Programs, Section 202 Di- rect Loan Program, Section 202 Supportive Housing for the El- derly Program and Section 811 Supportive Housing for Persons With Disabilities Program) (Parts 800—899) IX Office of Assistant Secretary for Public and Indian Housing, De- partment of Housing and Urban Development (Parts 900—1699) X Office of Assistant Secretary for Housing—Federal Housing Commissioner, Department of Housing and Urban Develop- ment (Interstate Land Sales Registration Program) (Parts 1700—1799) XII Office of Inspector General, Department of Housing and Urban Development (Parts 2000—2099) XX Office of Assistant Secretary for Housing—Federal Housing Commissioner, Department of Housing and Urban Develop- ment (Parts 3200—3899) XXIV Board of Directors of the HOPE for Homeowners Program (Parts 4000—4099) XXV Neighborhood Reinvestment Corporation (Parts 4100—4199)

Title 25—Indians

I Bureau of Indian Affairs, Department of the Interior (Parts 1— 299) II Indian Arts and Crafts Board, Department of the Interior (Parts 300—399) III National Indian Gaming Commission, Department of the Inte- rior (Parts 500—599) IV Office of Navajo and Hopi Indian Relocation (Parts 700—799) V Bureau of Indian Affairs, Department of the Interior, and Indian Health Service, Department of Health and Human Services (Part 900) VI Office of the Assistant Secretary-Indian Affairs, Department of the Interior (Parts 1000—1199) VII Office of the Special Trustee for American Indians, Department of the Interior (Parts 1200—1299)

Title 26—Internal Revenue

I Internal Revenue Service, Department of the Treasury (Parts 1— 899)

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I Alcohol and Tobacco Tax and Trade Bureau, Department of the Treasury (Parts 1—399) II Bureau of Alcohol, Tobacco, Firearms, and Explosives, Depart- ment of Justice (Parts 400—699)

Title 28—Judicial Administration

I Department of Justice (Parts 0—299) III Federal Prison Industries, Inc., Department of Justice (Parts 300—399) V Bureau of Prisons, Department of Justice (Parts 500—599) VI Offices of Independent Counsel, Department of Justice (Parts 600—699) VII Office of Independent Counsel (Parts 700—799) VIII Court Services and Offender Supervision Agency for the District of Columbia (Parts 800—899) IX National Crime Prevention and Privacy Compact Council (Parts 900—999) XI Department of Justice and Department of State (Parts 1100— 1199)

Title 29—Labor

SUBTITLE A—OFFICE OF THE SECRETARY OF LABOR (PARTS 0—99) SUBTITLE B—REGULATIONS RELATING TO LABOR I National Labor Relations Board (Parts 100—199) II Office of Labor-Management Standards, Department of Labor (Parts 200—299) III National Railroad Adjustment Board (Parts 300—399) IV Office of Labor-Management Standards, Department of Labor (Parts 400—499) V Wage and Hour Division, Department of Labor (Parts 500—899) IX Construction Industry Collective Bargaining Commission (Parts 900—999) X National Mediation Board (Parts 1200—1299) XII Federal Mediation and Conciliation Service (Parts 1400—1499) XIV Equal Employment Opportunity Commission (Parts 1600—1699) XVII Occupational Safety and Health Administration, Department of Labor (Parts 1900—1999) XX Occupational Safety and Health Review Commission (Parts 2200—2499) XXV Employee Benefits Security Administration, Department of Labor (Parts 2500—2599) XXVII Federal Mine Safety and Health Review Commission (Parts 2700—2799) XL Pension Benefit Guaranty Corporation (Parts 4000—4999)

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I Mine Safety and Health Administration, Department of Labor (Parts 1—199) II Minerals Management Service, Department of the Interior (Parts 200—299) III Board of Surface Mining and Reclamation Appeals, Department of the Interior (Parts 300—399) IV Geological Survey, Department of the Interior (Parts 400—499) VII Office of Surface Mining Reclamation and Enforcement, Depart- ment of the Interior (Parts 700—999)

Title 31—Money and Finance: Treasury

SUBTITLE A—OFFICE OF THE SECRETARY OF THE TREASURY (PARTS 0—50) SUBTITLE B—REGULATIONS RELATING TO MONEY AND FINANCE I Monetary Offices, Department of the Treasury (Parts 51—199) II Fiscal Service, Department of the Treasury (Parts 200—399) IV Secret Service, Department of the Treasury (Parts 400—499) V Office of Foreign Assets Control, Department of the Treasury (Parts 500—599) VI Bureau of Engraving and Printing, Department of the Treasury (Parts 600—699) VII Federal Law Enforcement Training Center, Department of the Treasury (Parts 700—799) VIII Office of International Investment, Department of the Treasury (Parts 800—899) IX Federal Claims Collection Standards (Department of the Treas- ury—Department of Justice) (Parts 900—999)

Title 32—National Defense

SUBTITLE A—DEPARTMENT OF DEFENSE I Office of the Secretary of Defense (Parts 1—399) V Department of the Army (Parts 400—699) VI Department of the Navy (Parts 700—799) VII Department of the Air Force (Parts 800—1099) SUBTITLE B—OTHER REGULATIONS RELATING TO NATIONAL DE- FENSE XII Defense Logistics Agency (Parts 1200—1299) XVI Selective Service System (Parts 1600—1699) XVII Office of the Director of National Intelligence (Parts 1700—1799) XVIII National Counterintelligence Center (Parts 1800—1899) XIX Central Intelligence Agency (Parts 1900—1999) XX Information Security Oversight Office, National Archives and Records Administration (Parts 2000—2099) XXI National Security Council (Parts 2100—2199) XXIV Office of Science and Technology Policy (Parts 2400—2499) XXVII Office for Micronesian Status Negotiations (Parts 2700—2799)

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XXVIII Office of the Vice President of the United States (Parts 2800— 2899)

Title 33—Navigation and Navigable Waters

I Coast Guard, Department of Homeland Security (Parts 1—199) II Corps of Engineers, Department of the Army (Parts 200—399) IV Saint Lawrence Seaway Development Corporation, Department of Transportation (Parts 400—499)

Title 34—Education

SUBTITLE A—OFFICE OF THE SECRETARY, DEPARTMENT OF EDU- CATION (PARTS 1—99) SUBTITLE B—REGULATIONS OF THE OFFICES OF THE DEPARTMENT OF EDUCATION I Office for Civil Rights, Department of Education (Parts 100—199) II Office of Elementary and Secondary Education, Department of Education (Parts 200—299) III Office of Special Education and Rehabilitative Services, Depart- ment of Education (Parts 300—399) IV Office of Vocational and Adult Education, Department of Edu- cation (Parts 400—499) V Office of Bilingual Education and Minority Languages Affairs, Department of Education (Parts 500—599) VI Office of Postsecondary Education, Department of Education (Parts 600—699) VII Office of Educational Research and Improvmeent, Department of Education [Reserved] XI National Institute for Literacy (Parts 1100—1199) SUBTITLE C—REGULATIONS RELATING TO EDUCATION XII National Council on Disability (Parts 1200—1299)

Title 35 [Reserved]

Title 36—Parks, Forests, and Public Property

I National Park Service, Department of the Interior (Parts 1—199) II Forest Service, Department of Agriculture (Parts 200—299) III Corps of Engineers, Department of the Army (Parts 300—399) IV American Battle Monuments Commission (Parts 400—499) V Smithsonian Institution (Parts 500—599) VI [Reserved] VII Library of Congress (Parts 700—799) VIII Advisory Council on Historic Preservation (Parts 800—899) IX Pennsylvania Avenue Development Corporation (Parts 900—999) X Presidio Trust (Parts 1000—1099)

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XI Architectural and Transportation Barriers Compliance Board (Parts 1100—1199) XII National Archives and Records Administration (Parts 1200—1299) XV Oklahoma City National Memorial Trust (Parts 1500—1599) XVI Morris K. Udall Scholarship and Excellence in National Environ- mental Policy Foundation (Parts 1600—1699)

Title 37—Patents, Trademarks, and Copyrights

I United States Patent and Trademark Office, Department of Commerce (Parts 1—199) II Copyright Office, Library of Congress (Parts 200—299) III Copyright Royalty Board, Library of Congress (Parts 301—399) IV Assistant Secretary for Technology Policy, Department of Com- merce (Parts 400—499) V Under Secretary for Technology, Department of Commerce (Parts 500—599)

Title 38—Pensions, Bonuses, and Veterans’ Relief

I Department of Veterans Affairs (Parts 0—99) II Armed Forces Retirement Home

Title 39—Postal Service

I United States Postal Service (Parts 1—999) III Postal Regulatory Commission (Parts 3000—3099)

Title 40—Protection of Environment

I Environmental Protection Agency (Parts 1—1099) IV Environmental Protection Agency and Department of Justice (Parts 1400—1499) V Council on Environmental Quality (Parts 1500—1599) VI Chemical Safety and Hazard Investigation Board (Parts 1600— 1699) VII Environmental Protection Agency and Department of Defense; Uniform National Discharge Standards for Vessels of the Armed Forces (Parts 1700—1799)

Title 41—Public Contracts and Property Management

SUBTITLE B—OTHER PROVISIONS RELATING TO PUBLIC CONTRACTS 50 Public Contracts, Department of Labor (Parts 50–1—50–999) 51 Committee for Purchase From People Who Are Blind or Severely Disabled (Parts 51–1—51–99) 60 Office of Federal Contract Compliance Programs, Equal Employ- ment Opportunity, Department of Labor (Parts 60–1—60–999)

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61 Office of the Assistant Secretary for Veterans’ Employment and Training Service, Department of Labor (Parts 61–1—61–999) Chapters 62—100 [Reserved] SUBTITLE C—FEDERAL PROPERTY MANAGEMENT REGULATIONS SYSTEM 101 Federal Property Management Regulations (Parts 101–1—101–99) 102 Federal Management Regulation (Parts 102–1—102–299) Chapters 103—104 [Reserved] 105 General Services Administration (Parts 105–1—105–999) 109 Department of Energy Property Management Regulations (Parts 109–1—109–99) 114 Department of the Interior (Parts 114–1—114–99) 115 Environmental Protection Agency (Parts 115–1—115–99) 128 Department of Justice (Parts 128–1—128–99) Chapters 129—200 [Reserved] SUBTITLE D—OTHER PROVISIONS RELATING TO PROPERTY MANAGE- MENT [RESERVED] SUBTITLE E—FEDERAL INFORMATION RESOURCES MANAGEMENT REGULATIONS SYSTEM [RESERVED] SUBTITLE F—FEDERAL TRAVEL REGULATION SYSTEM 300 General (Parts 300–1—300–99) 301 Temporary Duty (TDY) Travel Allowances (Parts 301–1—301–99) 302 Relocation Allowances (Parts 302–1—302–99) 303 Payment of Expenses Connected with the Death of Certain Em- ployees (Part 303–1—303–99) 304 Payment of Travel Expenses from a Non-Federal Source (Parts 304–1—304–99)

Title 42—Public Health

I Public Health Service, Department of Health and Human Serv- ices (Parts 1—199) IV Centers for Medicare & Medicaid Services, Department of Health and Human Services (Parts 400—499) V Office of Inspector General-Health Care, Department of Health and Human Services (Parts 1000—1999)

Title 43—Public Lands: Interior

SUBTITLE A—OFFICE OF THE SECRETARY OF THE INTERIOR (PARTS 1—199) SUBTITLE B—REGULATIONS RELATING TO PUBLIC LANDS I Bureau of Reclamation, Department of the Interior (Parts 200— 499) II Bureau of Land Management, Department of the Interior (Parts 1000—9999) III Utah Reclamation Mitigation and Conservation Commission (Parts 10000—10010)

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I Federal Emergency Management Agency, Department of Home- land Security (Parts 0—399) IV Department of Commerce and Department of Transportation (Parts 400—499)

Title 45—Public Welfare

SUBTITLE A—DEPARTMENT OF HEALTH AND HUMAN SERVICES (PARTS 1—199) SUBTITLE B—REGULATIONS RELATING TO PUBLIC WELFARE II Office of Family Assistance (Assistance Programs), Administra- tion for Children and Families, Department of Health and Human Services (Parts 200—299) III Office of Child Support Enforcement (Child Support Enforce- ment Program), Administration for Children and Families, Department of Health and Human Services (Parts 300—399) IV Office of Refugee Resettlement, Administration for Children and Families, Department of Health and Human Services (Parts 400—499) V Foreign Claims Settlement Commission of the United States, Department of Justice (Parts 500—599) VI National Science Foundation (Parts 600—699) VII Commission on Civil Rights (Parts 700—799) VIII Office of Personnel Management (Parts 800—899) [Reserved] X Office of Community Services, Administration for Children and Families, Department of Health and Human Services (Parts 1000—1099) XI National Foundation on the Arts and the Humanities (Parts 1100—1199) XII Corporation for National and Community Service (Parts 1200— 1299) XIII Office of Human Development Services, Department of Health and Human Services (Parts 1300—1399) XVI Legal Services Corporation (Parts 1600—1699) XVII National Commission on Libraries and Information Science (Parts 1700—1799) XVIII Harry S. Truman Scholarship Foundation (Parts 1800—1899) XXI Commission on Fine Arts (Parts 2100—2199) XXIII Arctic Research Commission (Part 2301) XXIV James Madison Memorial Fellowship Foundation (Parts 2400— 2499) XXV Corporation for National and Community Service (Parts 2500— 2599)

Title 46—Shipping

I Coast Guard, Department of Homeland Security (Parts 1—199) II Maritime Administration, Department of Transportation (Parts 200—399)

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III Coast Guard (Great Lakes Pilotage), Department of Homeland Security (Parts 400—499) IV Federal Maritime Commission (Parts 500—599)

Title 47—Telecommunication

I Federal Communications Commission (Parts 0—199) II Office of Science and Technology Policy and National Security Council (Parts 200—299) III National Telecommunications and Information Administration, Department of Commerce (Parts 300—399) IV National Telecommunications and Information Administration, Department of Commerce, and National Highway Traffic Safe- ty Administration, Department of Transportation (Parts 400— 499)

Title 48—Federal Acquisition Regulations System

1 Federal Acquisition Regulation (Parts 1—99) 2 Defense Acquisition Regulations System, Department of Defense (Parts 200—299) 3 Health and Human Services (Parts 300—399) 4 Department of Agriculture (Parts 400—499) 5 General Services Administration (Parts 500—599) 6 Department of State (Parts 600—699) 7 Agency for International Development (Parts 700—799) 8 Department of Veterans Affairs (Parts 800—899) 9 Department of Energy (Parts 900—999) 10 Department of the Treasury (Parts 1000—1099) 12 Department of Transportation (Parts 1200—1299) 13 Department of Commerce (Parts 1300—1399) 14 Department of the Interior (Parts 1400—1499) 15 Environmental Protection Agency (Parts 1500—1599) 16 Office of Personnel Management, Federal Employees Health Benefits Acquisition Regulation (Parts 1600—1699) 17 Office of Personnel Management (Parts 1700—1799) 18 National Aeronautics and Space Administration (Parts 1800— 1899) 19 Broadcasting Board of Governors (Parts 1900—1999) 20 Nuclear Regulatory Commission (Parts 2000—2099) 21 Office of Personnel Management, Federal Employees Group Life Insurance Federal Acquisition Regulation (Parts 2100—2199) 23 Social Security Administration (Parts 2300—2399) 24 Department of Housing and Urban Development (Parts 2400— 2499) 25 National Science Foundation (Parts 2500—2599) 28 Department of Justice (Parts 2800—2899)

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29 Department of Labor (Parts 2900—2999) 30 Department of Homeland Security, Homeland Security Acquisi- tion Regulation (HSAR) (Parts 3000—3099) 34 Department of Education Acquisition Regulation (Parts 3400— 3499) 51 Department of the Army Acquisition Regulations (Parts 5100— 5199) 52 Department of the Navy Acquisition Regulations (Parts 5200— 5299) 53 Department of the Air Force Federal Acquisition Regulation Supplement [Reserved] 54 Defense Logistics Agency, Department of Defense (Parts 5400— 5499) 57 African Development Foundation (Parts 5700—5799) 61 Civilian Board of Contract Appeals, General Services Adminis- tration (Parts 6100—6199) 63 Department of Transportation Board of Contract Appeals (Parts 6300—6399) 99 Cost Accounting Standards Board, Office of Federal Procure- ment Policy, Office of Management and Budget (Parts 9900— 9999)

Title 49—Transportation

SUBTITLE A—OFFICE OF THE SECRETARY OF TRANSPORTATION (PARTS 1—99) SUBTITLE B—OTHER REGULATIONS RELATING TO TRANSPORTATION I Pipeline and Hazardous Materials Safety Administration, De- partment of Transportation (Parts 100—199) II Federal Railroad Administration, Department of Transportation (Parts 200—299) III Federal Motor Carrier Safety Administration, Department of Transportation (Parts 300—399) IV Coast Guard, Department of Homeland Security (Parts 400—499) V National Highway Traffic Safety Administration, Department of Transportation (Parts 500—599) VI Federal Transit Administration, Department of Transportation (Parts 600—699) VII National Railroad Passenger Corporation (AMTRAK) (Parts 700—799) VIII National Transportation Safety Board (Parts 800—999) X Surface Transportation Board, Department of Transportation (Parts 1000—1399) XI Research and Innovative Technology Administration, Depart- ment of Transportation [Reserved] XII Transportation Security Administration, Department of Home- land Security (Parts 1500—1699)

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I United States Fish and Wildlife Service, Department of the Inte- rior (Parts 1—199) II National Marine Fisheries Service, National Oceanic and Atmos- pheric Administration, Department of Commerce (Parts 200— 299) III International Fishing and Related Activities (Parts 300—399) IV Joint Regulations (United States Fish and Wildlife Service, De- partment of the Interior and National Marine Fisheries Serv- ice, National Oceanic and Atmospheric Administration, De- partment of Commerce); Endangered Species Committee Reg- ulations (Parts 400—499) V Marine Mammal Commission (Parts 500—599) VI Fishery Conservation and Management, National Oceanic and Atmospheric Administration, Department of Commerce (Parts 600—699)

CFR Index and Finding Aids

Subject/Agency Index List of Agency Prepared Indexes Parallel Tables of Statutory Authorities and Rules List of CFR Titles, Chapters, Subchapters, and Parts Alphabetical List of Agencies Appearing in the CFR

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CFR Title, Subtitle or Agency Chapter Administrative Committee of the Federal Register 1, I Advanced Research Projects Agency 32, I Advisory Council on Historic Preservation 36, VIII African Development Foundation 22, XV Federal Acquisition Regulation 48, 57 Agency for International Development 22, II Federal Acquisition Regulation 48, 7 Agricultural Marketing Service 7, I, IX, X, XI Agricultural Research Service 7, V Agriculture Department 5, LXXIII Agricultural Marketing Service 7, I, IX, X, XI Agricultural Research Service 7, V Animal and Plant Health Inspection Service 7, III; 9, I Chief Financial Officer, Office of 7, XXX Commodity Credit Corporation 7, XIV Cooperative State Research, Education, and Extension 7, XXXIV Service Economic Research Service 7, XXXVII Energy, Office of 2, IX; 7, XXIX Environmental Quality, Office of 7, XXXI Farm Service Agency 7, VII, XVIII Federal Acquisition Regulation 48, 4 Federal Crop Insurance Corporation 7, IV Food and Nutrition Service 7, II Food Safety and Inspection Service 9, III Foreign Agricultural Service 7, XV Forest Service 36, II Grain Inspection, Packers and Stockyards Administration 7, VIII; 9, II Information Resources Management, Office of 7, XXVII Inspector General, Office of 7, XXVI National Agricultural Library 7, XLI National Agricultural Statistics Service 7, XXXVI Natural Resources Conservation Service 7, VI Operations, Office of 7, XXVIII Procurement and Property Management, Office of 7, XXXII Rural Business-Cooperative Service 7, XVIII, XLII, L Rural Development Administration 7, XLII Rural Housing Service 7, XVIII, XXXV, L Rural Telephone Bank 7, XVI Rural Utilities Service 7, XVII, XVIII, XLII, L Secretary of Agriculture, Office of 7, Subtitle A Transportation, Office of 7, XXXIII World Agricultural Outlook Board 7, XXXVIII Air Force Department 32, VII Federal Acquisition Regulation Supplement 48, 53 Air Transportation Stabilization Board 14, VI Alcohol and Tobacco Tax and Trade Bureau 27, I Alcohol, Tobacco, Firearms, and Explosives, Bureau of 27, II AMTRAK 49, VII American Battle Monuments Commission 36, IV American Indians, Office of the Special Trustee 25, VII Animal and Plant Health Inspection Service 7, III; 9, I Appalachian Regional Commission 5, IX

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2001–2002 27 CFR—Continued 68 FR Page (No regulations published) Chapter II—Continued 478.55 Amended ...... 3750 2003 478.57 (a), (b) and (c) amended...... 3750 478.71 Amended ...... 3751 27 CFR 68 FR 478.72 Amended ...... 3751 Page 478.73 (b) amended ...... 3751 Chapter II 478.92 (a)(4)(iii) amended ...... 3751 Chapter II Established ...... 3747 478.93 Amended ...... 3751 447 Transferred and redesignated 478.95 Amended ...... 3751 from Chapter I, Part 47...... 3747 478.96 (b), (c)(1)(ii) and (iii) 447.2 (a), (b) and (c) amended ...... 3748 amended ...... 3751 447.11 Amended ...... 3748 478.97 (a) amended ...... 3751 447.34 (a) and (b) amended ...... 3748 478.98 (b) amended ...... 3751 447.41 (a) and (b) amended ...... 3748 478.99 (a), (c)(1), (5), (d)(3) and (e) 447.42 (a)(1) introductory text and amended ...... 3751 (b) amended...... 3748 478.100 (a)(1) amended...... 3751 447.52 (e) introductory text 478.102 (a)(3), (b), (d)(2), (3) and (e) amended ...... 3748 amended ...... 3751 447.56 (a) amended ...... 3748 478.112 (a) and (d)(2) amended...... 3751 447.57 (a)(1) and (b)(2) amended ...... 3748 478.113 (a) amended ...... 3751 478 Redesignated from 178 ...... 3750 478.116 Amended...... 3751 478.2 Amended...... 3750 478.118 Amended...... 3751 478.11 Note amended...... 3750 478.119 (c)(7), (f)(2) and (g) amend- 478.28 (c) amended ...... 3750 ed...... 3751 478.29 (b) and (c) amended ...... 3750 478.121 (a), (b) and (d) amended ...... 3751 478.36 (a) and (b) amended ...... 3750 478.122 (b) and (d) amended...... 3751 478.37 (c) amended ...... 3750 478.123 (b) and (d) amended...... 3751 478.39 (b)(2) amended ...... 3750 478.124 (c)(3)(i), (ii) and (iv), (d) 478.40 (b)(9) and (c)(5) amended ...... 3750 and (f) amended ...... 3751 478.40a (b)(5) and (c)(5) amend- 478.125 (b), (c), (e), (f)(2)(i) and (ii) ed...... 3750 amended ...... 3751 478.41 (b), (c) and (d) amended...... 3750 478.125a Introductory text, (2) and 478.45 Amended ...... 3750 (3) amended...... 3751 478.47 (c) amended ...... 3750 478.129 (b), (c) and (f) amended...... 3751 478.50 (c) and (d) amended ...... 3750 478.131 (a)(1), (2) and (3) amend- 478.51 Amended ...... 3750 ed...... 3751 478.52 (a) and (b) amended ...... 3750 478.132 (b)(2) amended...... 3752 478.54 Amended ...... 3750 478.133 Amended...... 3752

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27 CFR—Continued 68 FR 27 CFR—Continued 68 FR Page Page Chapter II—Continued Chapter II—Continued 478.141 Introductory text amend- 555.26 (a)(1) and (d) amended ...... 3748 ed...... 3752 Revised; interim ...... 13781 478.144 (a) and (i)(1) amended ...... 3752 555.27 Revised; interim ...... 13782 478.145 Amended...... 3752 555.33 Added; interim...... 13783 478.147 Amended...... 3752 555.34 Added; interim...... 13783 478.149 Amended...... 3752 555.41 (b) introductory text and 478.150 (a) introductory text and (c) amended...... 3748 (c) amended...... 3752 Revised; interim ...... 13783 478.151 (a) amended ...... 3752 555.43 Revised; interim ...... 13785 478.153 Amended...... 3752 555.45 (b) amended ...... 3748 479 Transferred and redesignated (a) and (b) amended; (a) heading, from Chapter I, Part 179 ...... 3752 (b) heading, and (c) added; OMB 479.25 Amended ...... 3752 numbers; interim...... 13785 479.31 (a) and (b) amended ...... 3752 555.46 (a) and (b) amended ...... 3748 479.32 (b) amended ...... 3752 555.49 (b)(6) and (c) amended ...... 3748 479.32a (a) amended ...... 3752 Revised; interim ...... 13785 479.34 (b)(3), (6) and (e) amend- 555.51 Revised; interim ...... 13786 ed...... 3752 555.52 (a) and (b) amended ...... 3748 479.38 Amended ...... 3752 555.53 Amended ...... 3748 479.42 Amended ...... 3752 555.54 Introductory text, (a), and 479.43 Amended ...... 3752 (b) redesignated as (a), (a)(1), 479.44 Amended ...... 3752 and (a)(2); new (b) added; OMB 479.46 Amended ...... 3752 numbers; interim...... 13786 479.48 Amended ...... 3752 555.55 Amended ...... 3748 479.49 Amended ...... 3752 555.57 Amended ...... 3748 479.50 Amended ...... 3752 Heading revised; existing text re- 479.52 Amended ...... 3752 designated as (a); new (b), (c), 479.62 Amended ...... 3752 (d) added; OMB numbers; in- 479.69 Amended ...... 3752 terim ...... 13786 479.70 Amended ...... 3752 555.58 Amended ...... 3748 479.84 Amended ...... 3752 555.61 Amended ...... 3748 479.87 Amended ...... 3752 555.71 Amended ...... 3748 479.89 Amended ...... 3752 555.72 Amended ...... 3748 479.90 (b) amended ...... 3752 555.73 Amended ...... 3749 479.91 Amended ...... 3752 555.74 Amended ...... 3749 479.92 Amended ...... 3752 555.75 Amended ...... 3749 479.93 Amended ...... 3752 555.76 (b) introductory text, (3) 479.111 (a)(3), (b) and (c) amend- and (c) amended ...... 3749 ed...... 3752 555.77 Amended ...... 3749 479.112 (a) amended ...... 3752 555.78 Amended ...... 3749 479.118 Amended...... 3752 555.79 Amended ...... 3749 479.119 Amended...... 3752 555.101 Amended; interim ...... 13786 479.120 Amended...... 3752 555.102 (b) amended ...... 3749 479.121 Amended...... 3752 (b) revised; interim ...... 13787 479.122 (a) amended ...... 3752 555.103 (e) amended...... 3749 479.131 Amended...... 3752 Revised; interim ...... 13787 479.192 Amended...... 3753 (b)(2)(ii) amended; (b)(3) revised; 479.193 Amended...... 3753 interim ...... 53513 555 Transferred and redesignated 555.104 introductory text amend- from Chapter I, Part 55...... 3748 ed...... 3749 555.1 (a) and (b)(3) revised; in- 555.105 (b) and (f) amended ...... 3749 terim...... 13780 Revised; interim ...... 13788 555.2 Amended...... 3748 (b)(6)(iii) and (iv) revised; in- 555.11 Amended ...... 3748 terim ...... 53513 Amended; interim...... 13780 555.106 (a), (c)(1) and (d) amend- 555.24 Revised; interim ...... 13781 ed...... 3749

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27 CFR—Continued 68 FR 27 CFR—Continued 68 FR Page Page Chapter II—Continued Chapter II—Continued (a) revised; (c)(3), (4), and (d) 646.141 Heading amended...... 3753 amended; (c)(5), (6), and (7) 646.142 Amended...... 3753 added; interim ...... 13790 646.143 Introductory text amend- 555.108 (a), (c) and (d) amended ...... 3749 ed...... 3753 (a) amended; interim...... 13790 646.146 Amended...... 3753 555.110 Added; interim ...... 13790 646.147 (a) introductory text and 555.121 (a)(2) and (b) amended...... 3749 (b) amended...... 3753 (a)(2) amended; (b) revised; in- 646.150 (a) amended...... 3753 terim ...... 13790 646.154 (b) amended...... 3753 555.122 (a)(4) and (f) amended ...... 3749 555.123 (a)(4) and (e) amended...... 3749 2004 555.124 (a)(4) and (f) amended ...... 3749 555.125 (a)(4), (c) and (d) amend- (No regulations published) ed...... 3749 Revised; interim ...... 13790 2005 555.126 (b) amended...... 3749 27 CFR 70 FR Heading revised; (a) amended; (a) Page through (f) redesignated as Chapter II (a)(1) through (6); (a) heading, new (a)(2), and (3) amended; (b) 555.41 (a)(3) and (b)(3)(ii) amend- added; OMB numbers; interim ed ...... 30633 ...... 13791 555.52 (a) and (b) amended...... 30633 555.127 Amended...... 3749 555.55 Removed...... 30633 555.128 Amended...... 3749 555.108 (e) added ...... 30633 Amended; interim...... 13792 555.109 Revised ...... 30633 555.129 Amended...... 3749 555.141 (a) introductory text 2006 amended ...... 3749 27 CFR 71 FR (a)(1) amended; interim ...... 13792 Page 555.142 Heading and (a) through Chapter II (d) revised; (f) added; OMB 555.141 (a)(10) added...... 46101 numbers; interim ...... 13792 555.165 Amended...... 3749 Existing text redesignated as (a); 2007 (b) added; interim...... 13793 27 CFR 72 FR 555.180 (d)(4) amended...... 3749 Page 555.182 Introductory text amend- Chapter II ed...... 3749 447.11 Amended...... 72938 555.183 (a) and (b) amended...... 3749 447.21 Amended...... 72938 555.201 (a), (c), (d) and (e) amend- 447.52 (a) amended ...... 72938 ed...... 3749 555.202 (a) and (c) amended...... 3749 555.203 Introductory text and (a) 2008 through (e) amended ...... 3749 27 CFR 73 FR 555.205 (d) amended ...... 3749 Page 555.206 (a), (b), (c)(1) and (2) Chapter II amended ...... 3749 447.32 (c) amended; OMB num- 555.208 (b)(1) amended...... 3749 ber...... 57240 555.211 (b)(1) amended...... 3749 447.33 OMB number ...... 57240 555.218 (1) table notes amended ...... 3749 447.34 OMB number ...... 57240 555.220 Table amended...... 3750 447.35 (b) amended ...... 57240 555.223 Table amended...... 3750 447.42 OMB number ...... 57240 555.224 Table amended...... 3750 447.45 OMB number ...... 57240 646 Transferred and redesignated 447.57 OMB number ...... 57240 from 46.141—46.155 (Subpart F); 447.58 Amended...... 57240 authority citation added ...... 3753 478.11 Amended...... 57240

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27 CFR—Continued 73 FR 27 CFR—Continued 73 FR Page Page Chapter II—Continued Chapter II—Continued 478.21 (b) amended ...... 57240 478.126a OMB number...... 57242 478.25a Amended; OMB num- 478.127 Amended ...... 57242 ber...... 57240 478.131 OMB number ...... 57242 478.39a Amended; OMB num- 478.132 OMB number ...... 57242 ber...... 57240 478.133 OMB number ...... 57242 478.40 OMB number ...... 57240 478.150 OMB number ...... 57242 478.40a OMB number ...... 57240 478.151 OMB number ...... 57242 478.41 (b) and (c) amended...... 57240 479.21 (b) amended ...... 57242 478.44 (a)(1)(iii) and (b) amended; 479.102 OMB number ...... 57242 (a)(1)(iv) removed; (a)(1)(v) redesignated as new (a)(1)(iv); 479.131 OMB number ...... 57242 new (a)(1)(iv) and (2) revised; 555.21 (b) amended ...... 57242 OMB number ...... 57240 555.23 Amended...... 57242 478.45 Revised ...... 57241 555.109 OMB number ...... 57242 478.47 Amended; (b)(4) and (5) 555.121 OMB number ...... 57242 amended; (b)(6) removed; OMB 555.122 OMB number ...... 57242 number...... 57241 555.123 OMB number ...... 57242 478.48 Amended...... 57241 555.124 OMB number ...... 57242 478.52 Amended; OMB number...... 57241 555.128 Amended ...... 57242 478.53 Amended...... 57241 555.181 OMB number ...... 57242 478.54 Amended...... 57241 555.184 OMB number ...... 57242 478.56 (b) amended...... 57241 555.201 OMB number ...... 57242 478.57 (a) amended ...... 57241 478.60 Amended...... 57241 2009 478.92 OMB number ...... 57241 478.94 OMB number ...... 57241 27 CFR 74 FR 478.95 Amended; OMB number...... 57241 Page 478.96 (b) amended; OMB num- Chapter II ber...... 57241 478.71 Amended; interim ...... 1878 478.102 OMB number ...... 57241 478.72 Amended; interim ...... 1878 478.112 OMB number ...... 57241 478.73 Amended; interim ...... 1878 478.113 OMB number ...... 57241 478.74 Amended; interim ...... 1878 478.113a OMB number...... 57241 478.76 Amended; interim ...... 1878 478.114 OMB number ...... 57241 478.78 Amended; interim ...... 1878 478.119 OMB number ...... 57241 555.11 Amended ...... 1892 478.120 OMB number ...... 57241 478.121 OMB number ...... 57241 478.122 OMB number ...... 57241 2010 478.123 OMB number ...... 57241 (Regulations published from January 1, 478.124 (i) amended; OMB num- 2010, through April 1, 2010) ber...... 57241 478.125 (f) introductory text 27 CFR 75 FR amended; OMB number ...... 57241 Page 478.125a OMB number...... 57242 Chapter II 478.126 OMB number ...... 57242 555.213 (b)(1) amended...... 3163 Æ

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